Board for Barbers and Cosmetology July 25, 2019 Guidance Document

: Master Barber Endorsement 18 VAC 41-20-30 - Interpretation of when a master barber endorsement candidate is considered “licensed to practice as a master barber” in another state.

On May 13, 2019, the Board issued the following guidance:

Individuals whose out-of-state barber or master barber license allows them to perform the services that fall under the master barber license in Virginia are considered licensed to practice as a master barber for the purpose of endorsement.

Board for Barbers and Cosmetology July 25, 2019 Guidance Document

: 18 VAC 41-20-30 defines when a master barber endorsement candidate is considered licensed to practice as a master barber in another state.

On May 13, 2019, the Board issued the following guidance:

Individuals whose out-of-state barber or master barber license allows them to perform the services that fall under the master barber license in Virginia are considered licensed to practice as a master barber for the purpose of endorsement.

Onsite Sewage System Inspections and Evaluations for Property Transfers

I. Policy

The Board adopts the following policy as it pertains to clarification on the Board’s authority to regulate inspections or evaluations.

The Board’s regulations are silent on inspections and evaluations for property transfers. Consequently, the Board has no authority to regulate inspections or evaluations for property transfers.

The Board regulates onsite sewage system professionals. If work performed during an inspection or evaluation for the transfer of property requires a licensed individual to perform the work, pursuant to the Board’s regulations, then the individual performing the work must be appropriately licensed.

Onsite Sewage System Inspections and Evaluations for Property Transfers

I. Policy

The Board clarifies its authority to regulate inspections or evaluations.

Since the Board’s regulations do not address inspections or evaluations for property transfers, the Board has no authority over them.

The Board regulates onsite sewage system professionals. If work during inspections or evaluations for property transfers requires a licensed individual under the Board’s regulations, that individual must be licensed.

Lead Regulation Interpretation - Aug 23 2011

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document

Effective Date: August 23, 2011

Lead-Based Paint Licensing Regulations Interpretations and Policies

Section: 18VAC15-30-166.A

Qualifications for renewal

August 12, 2009 - Refresher training courses must be specific to the discipline of license being renewed. Additionally, although project designers and risk assessors are required to take two initial training courses for licensure, they shall only be required to take the refresher course that directly corresponds to the discipline of the license being renewed.

Additional Notes

Lead Regulation Interpretation effective August 23, 2011.

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document..

Effective Date: August 23, 2011

Lead-Based Paint Licensing Regulations Interpretations and Policies..

Section 18VAC15-30-166.A.

Qualifications for renewal

August 12, 2009 - Refresher training courses must be specific to the discipline of license being renewed. Additionally, although project designers and risk assessors are required to take two initial training courses for licensure, they shall only be required to take the refresher course that directly corresponds to the discipline of the license being renewed.

Additional Notes.

Frequency of Providing School Rosters

Board for Barbers and Cosmetology

Effective: March 16, 2023

Guidance Document: Frequency of Providing School Rosters

In accordance with 18 VAC 41-20-250.A and 18 VAC 41-70-240.A, barber, cosmetology, nail, wax, and esthetics schools are required to provide rosters of current students and students who attended in the last six months in the manner, format, and frequency prescribed by the Board.

Schools should follow the requirements below:

1. Rosters must be submitted quarterly, with rosters due on January 15, April 15, July 15, and October 15 every year. The roster should be current to within 15 days of the submission. For example, the January 15 roster should be current through December 31. 2. Rosters will include all students enrolled in the school as well as any students who completed in the past six months. Students who are enrolled but have not begun classes must be included in the report. 3. Rosters will be provided on a Board supplied spreadsheet, which will include the student’s full name, date of birth, program type, date enrolled, the total number of hours to date, and the date completed, terminated, or withdrawn. 4. Schools with no students enrolled, but the intention of operating, must submit a report to that effect. Schools with no students enrolled that no longer wish to operate should terminate their license in accordance with Board regulations. 5. Rosters must be submitted via a secure link provided by the Board. 6. In each calendar year, schools will not be penalized on their first instance of reporting after the deadline, provided the report is provided within 15 days of the deadline. Subsequent late filings or failing to report within 15 days will result in a referral for disciplinary action.

School Roster Submission Frequency

Board for Barbers and Cosmetology

Effective: March 16, 2023

Guidance Document: School Roster Submission Frequency

In accordance with 18 VAC 41-20-250.A and 18 VAC 41-70-240.A, barber, cosmetology, nail, wax, and esthetics schools are required to provide rosters of current students and students who attended in the last six months in the manner, format, and frequency prescribed by the Board.

Schools must follow these requirements:

1. Rosters must be submitted quarterly, with rosters due on January 15, April 15, July 15, and October 15 every year. The roster should be current to within 15 days of the submission. For example, the January 15 roster should be current through December 31. 2. Rosters will include all students enrolled in the school as well as any students who completed in the past six months. Students who are enrolled but have not begun classes must be included in the report. 3. Rosters will be provided on a Board supplied spreadsheet, which will include the student’s full name, date of birth, program type, date enrolled, the total number of hours to date, and the date completed, terminated, or withdrawn. 4. Schools with no students enrolled, but the intention of operating, must submit a report to that effect. Schools with no students enrolled that no longer wish to operate should terminate their license in accordance with Board regulations. 5. Rosters must be submitted via a secure link provided by the Board. 6. In each calendar year, schools will not be penalized on their first instance of reporting after the deadline, provided the report is provided within 15 days of the deadline. Subsequent late filings or failing to report within 15 days will result in a referral for disciplinary action.

Board staff continues to receive inquiries regarding the license requirements for those acting as an operator of an alternative sewage system that exceeds 10,000 gallons per day design flow.

Specifically, Board staff has been asked whether a single individual must hold both licenses or whether two individuals can work together for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day.

Excerpt 18VAC160-40-170 F of the Board’s regulations states:

“No individual shall act as an alternative onsite sewage system operator of an alternative onsite sewage system that exceeds 10,000 gallons per day design flow without possessing a Class 4 or higher wastewater works operator license in addition to an alternative onsite sewage system operator license.”

As reflected in the January 29, 2019, Board meeting minutes, the Board previously considered this issue and agreed by consensus that one individual must hold both an alternative onsite sewage system operator license and a Class 4 or higher wastewater works operator license in order to operate an alternative system that exceeds 10,000 gallons per day, and two individuals would not meet the licensing requirement by partnering with one another.

At the April 29, 2021, Board meeting, the Board revisited this subject and requested that staff prepare a draft guidance document for consideration at a future meeting.

Accordingly, staff recommends the following:

As of April 2021, there are only 45 licensees that hold both a wastewater works operator license (of any class) and an alternative onsite sewage system operator license. Since the requirement that a single individual holding both licenses be responsible for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day design flow may be overly burdensome and restrictive for some areas of the state, the Board adopts guidance as follows: An alternative onsite sewage system that exceeds 10,000 gallons per day design flow is required to have operations and maintenance performed by either: (i) an individual who is licensed as both an alternative onsite sewage system operator and a Class 4 or higher wastewater works operator, or (ii) an individual who is licensed as an alternative onsite sewage system operator and an individual who is licensed as a Class 4 or higher wastewater works operator who are working together pursuant to an employment relationship, contract, or other written agreement.

Board staff receives inquiries about license requirements for operators of alternative sewage systems exceeding 10,000 gallons per day.

Specifically, Board staff has been asked whether a single individual must hold both licenses or whether two individuals can work together for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day.

Excerpt 18VAC160-40-170 F of the Board’s regulations states:

“No individual shall act as an alternative onsite sewage system operator of an alternative onsite sewage system that exceeds 10,000 gallons per day design flow without possessing a Class 4 or higher wastewater works operator license in addition to an alternative onsite sewage system operator license.”

As reflected in the January 29, 2019, Board meeting minutes, the Board previously considered this issue and agreed by consensus that one individual must hold both an alternative onsite sewage system operator license and a Class 4 or higher wastewater works operator license in order to operate an alternative system that exceeds 10,000 gallons per day, and two individuals would not meet the licensing requirement by partnering with one another.

At the April 29, 2021, meeting, the Board revisited this issue and asked staff to prepare draft guidance for future review.

Accordingly, staff recommends the following:

As of April 2021, there are only 45 licensees that hold both a wastewater works operator license (of any class) and an alternative onsite sewage system operator license. Since the requirement that a single individual holding both licenses be responsible for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day design flow may be overly burdensome and restrictive for some areas of the state, the Board adopts guidance as follows: An alternative onsite sewage system that exceeds 10,000 gallons per day design flow is required to have operations and maintenance performed by either: (i) an individual who is licensed as both an alternative onsite sewage system operator and a Class 4 or higher wastewater works operator, or (ii) an individual who is licensed as an alternative onsite sewage system operator and an individual who is licensed as a Class 4 or higher wastewater works operator who are working together pursuant to an employment relationship, contract, or other written agreement.

Board for Barbers and Cosmetology May 7, 2018 Guidance Document : License Required for Certain Procedures

Interpretation of what license is required to perform certain procedures under Code of Virginia § 54.1 -700 et. seq

Applying eyelashes, as referenced in § 54.1-700, refers to applying any natural or synthetic extension to an individual’s natural eyelashes. This practice may be known as eye tabbing or eyelash extensions. These services require a cosmetology or esthetics license.

Strip, band, or bundle eyelashes, which adhere to the skin, are services that are ancillary to makeup, and exempted under § 54.1-701.10.

Microblading, also called eyebrow embroidery, refers to the application of a semi-permanent ink to the skin of the eyebrow. This practice, when performed with a needle or group of needles, requires a tattooing or permanent cosmetic tattooing license.

Microblading performed with a scalpel is beyond the scope of licensure and should not be performed by a licensee of the Board.

Microneedling, also known as dermarolling, is the use of needles designed to pierce the skin for the purpose of collagen production or cellular renewal. This practice is beyond the scope of licensure and should not be performed by a licensee of the Board.

Chemical exfoliation is the removal of dead skin cells and/or the intercellular matrix through the use of chemicals. The Code of Virginia 54.1-700 defines master esthetician as “a licensed esthetician who, in addition to the practice of esthetics, offers to the public for compensation, without the use of laser technology, lymphatic drainage, chemical exfoliation, or microdermabrasion….”

Chemical Exfoliation Licensing Requirements

Chemical exfoliation requires a master esthetician license. As such, estheticians may not use chemicals, including the chemicals listed in 18VAC 41-70-250.B, to remove dead skin cells or the intercellular matrix in the skin without holding a master esthetician license.

Board for Barbers and Cosmetology's May 7, 2018 guidance clarifies license requirements for certain procedures.

Interpretation of license requirements for procedures under Virginia Code § 54.1-700 et seq.

Applying eyelashes, as referenced in § 54.1-700, refers to applying any natural or synthetic extension to an individual’s natural eyelashes. This practice may be known as eye tabbing or eyelash extensions. These services require a cosmetology or esthetics license.

Strip, band, or bundle eyelashes, which adhere to the skin, are services that are ancillary to makeup, and exempted under § 54.1-701.10.

Microblading, or eyebrow embroidery, involves applying semi-permanent ink to eyebrows with needles and requires a tattooing or permanent cosmetic tattooing license.

Microblading with a scalpel is outside the scope of licensure and should not be performed by Board licensees.

Microneedling, or dermarolling, uses needles to pierce skin for collagen or cell renewal and is outside the scope of licensure; licensees should not perform it.

Chemical exfoliation is the removal of dead skin cells and/or the intercellular matrix through the use of chemicals. The Code of Virginia 54.1-700 defines master esthetician as “a licensed esthetician who, in addition to the practice of esthetics, offers to the public for compensation, without the use of laser technology, lymphatic drainage, chemical exfoliation, or microdermabrasion….”

Chemical exfoliation licensing requirements

Only licensed master estheticians may perform chemical exfoliation; estheticians without this license cannot use chemicals listed in 18VAC 41-70-250.B for this purpose.

Virginia Real Estate Board Guidance Document Continuing Education Elective Courses

May 22, 2014

Introduction

The Board is issuing this guidance document to interpret and implement the requirements of 18 VAC 135‐20‐101, 18 VAC 135‐20‐101.2, and 18 VAC 135‐20‐101.4 of the Board’s Regulations as a means of providing information or guidance of general applicability to the public:

Purpose and Authority

To ensure that Board‐approved salesperson and broker general elective continuing education courses meet the standards of quality deemed by the Board to be necessary to protect the public health, safety and welfare pursuant to §§ 54.1‐2105.02.A, 54.1‐2105.02.B, 54.1‐2105.03.A.1.c and 54.1‐2105.03.A.2.b of the Code of Virginia, every general elective continuing education course application must be for one of the subject matters listed in 18 VAC 135‐20‐101.2.a.‐hh as a condition for approval.

However, the Board may approve additional subjects at its discretion in accordance with 18 VAC 135‐20‐101.4.

Virginia Real Estate Board Guidance Document: Continuing Education Elective Courses

May 22, 2014

Introduction

The Board is issuing this guidance document to interpret and implement the requirements of 18 VAC 135‐20‐101, 18 VAC 135‐20‐101.2, and 18 VAC 135‐20‐101.4 of the Board’s Regulations as a means of providing information or guidance of general applicability to the public:

Purpose and Authority

To ensure that Board‐approved salesperson and broker general elective continuing education courses meet the standards of quality deemed by the Board to be necessary to protect the public health, safety and welfare pursuant to §§ 54.1‐2105.02.A, 54.1‐2105.02.B, 54.1‐2105.03.A.1.c and 54.1‐2105.03.A.2.b of the Code of Virginia, every general elective continuing education course application must be for one of the subject matters listed in 18 VAC 135‐20‐101.2.a.‐hh as a condition for approval.

However, the Board may approve additional subjects at its discretion in accordance with 18 VAC 135‐20‐101.4.

Guidance Regarding WWWOOSSP Licensees Earning CPE

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

Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals

GUIDANCE DOCUMENT

Guidance Regarding WWWOOSSP Licensees Earning CPE Credit for Attending WWWOOSSP Board Meetings

Adopted: April 29, 2021

Effective Date: June 24, 2021

Board Guidance Sections 18VAC160-30-200 and 210 and 18VAC160-40-340, 350, and 360

of the Board’s regulations provide the topic areas for earning CPE credit as a licensee of the Board. Each of these regulation sections include the following in the list of acceptable CPE topics:

administrative processes and procedures applicable to licensure, and laws and regulations applicable to the profession.

As it has been previously suggested that licensees can earn CPE credit for attending Board meetings but there has not been any formal guidance established regarding earning CPE credit in this manner, the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals (Board).

In order to earn CPE credit for attending a WWWOOSSP Board meeting, each of the following must be met:

A licensee of the Board must sign in and out of the Board meeting on forms provided by staff to include providing, at a minimum, the licensee’s name, address, and license number(s). For virtual Board meetings, Board staff will provide instructions in advance of the Board meeting on how a licensee is to confirm attendance at the meeting and provide their identifying information. A licensee can only earn CPE credit for attending a Board meeting once per license cycle. CPE credit will be awarded pursuant to the provisions in the regulations, including the calculation of a “contact hour” as 50 minutes. However, the maximum credit that can be earned for attending a Board meeting is seven (7) hours of CPE credit. A licensee who attends a Board meeting as a participant in a disciplinary matter being considered at that meeting is not eligible to earn CPE credit for attending that Board meeting. Board staff may request additional information or documentation to ensure compliance with these guidelines. Failure to follow these instructions, including providing all necessary information, or failure for Board staff to confirm the licensee’s attendance at the Board meeting may result in CPE credit not being awarded.

In addition to the information above, it should be noted that a licensee could be subject to disciplinary action if he falsely claimed CPE credit or misrepresented his attendance at a Board meeting.

Guidance on WWWOOSSP Licensees Earning CPE

This guidance document complies with § 2.2-4002.1 of the Code of Virginia and the definition in § 2.2-4101.

Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals

Guidance Document

Guidance on WWWOOSSP Licensees Earning CPE Credit for Board Meetings

Adopted: April 29, 2021

Effective Date: June 24, 2021

Board Guidance Sections 18VAC160-30-200, 210, and 18VAC160-40-340, 350, and 360

of the Board’s regulations provide the topic areas for earning CPE credit as a licensee of the Board. Each of these regulation sections include the following in the list of acceptable CPE topics:

administrative processes and procedures applicable to licensure, and laws and regulations applicable to the profession.

Although it was suggested licensees could earn CPE for attending Board meetings, no formal guidance was established until now.

In order to earn CPE credit for attending a WWWOOSSP Board meeting, each of the following must be met:

A licensee of the Board must sign in and out of the Board meeting on forms provided by staff to include providing, at a minimum, the licensee’s name, address, and license number(s). For virtual Board meetings, Board staff will provide instructions in advance of the Board meeting on how a licensee is to confirm attendance at the meeting and provide their identifying information. A licensee can only earn CPE credit for attending a Board meeting once per license cycle. CPE credit will be awarded pursuant to the provisions in the regulations, including the calculation of a “contact hour” as 50 minutes. However, the maximum credit that can be earned for attending a Board meeting is seven (7) hours of CPE credit. A licensee who attends a Board meeting as a participant in a disciplinary matter being considered at that meeting is not eligible to earn CPE credit for attending that Board meeting. Board staff may request additional information or documentation to ensure compliance with these guidelines. Failure to follow these instructions, including providing all necessary information, or failure for Board staff to confirm the licensee’s attendance at the Board meeting may result in CPE credit not being awarded.

Falsely claiming CPE credit or misrepresenting attendance may lead to disciplinary action.

Common Interest Community Board Guidance Document: Regarding that Letters of Credit may be Accepted in Lieu of Bonds to Comply with § 55.1-1968 of the Code of Virginia

Adopted June 27, 2013

Revised September 3, 2020

Effective December 10, 2020

I. Issue

Section 55.1-1968 of the Code of Virginia does not require letters of credit that may be accepted in lieu of bonds to be issued by financial institutions whose accounts are insured by the FDIC.

This does not coincide with § 55.1-1983(B)(2) of the Code of Virginia pertaining to letters of credit in lieu of escrowing deposits which requires an “irrevocable letter of credit issued by a financial institution whose accounts are insured by the FDIC . . .”

II. Applicable Statute § 55.1-1968

A. The declarant of a condominium containing units which are required by this chapter to be registered with the Common Interest Community Board shall post a bond in favor of the unit owners' association with good and sufficient surety, in a sum equal to $1,000 per unit, except that such sum shall not be less than $10,000, nor more than $100,000.

Such bond shall be filed with the Common Interest Community Board and shall be maintained for so long as the declarant owns more than 10 percent of the units in the condominium or, if the declarant owns less than 10 percent of the units in the condominium, until the declarant is current in the payment of assessments.

However, the Board shall return a bond where the declarant owns one unit in a condominium containing less than 10 units, provided such declarant is current in the payment of assessments.

B. No bond shall be accepted for filing unless it is with a surety company authorized to do business in the Commonwealth, or by such other surety as is satisfactory to the Board and such bond shall be conditioned upon the payment of all assessments levied against condominium units owned by the declarant.

The Board may accept a letter of credit in lieu of the bond contemplated by this section.

III. Policy

Letters of credit submitted in lieu of bonds as required by § 55.1-1968 of the Code of Virginia shall be issued by financial institutions that are FDIC insured.

Any letter of credit submitted that does not meet this policy will be reviewed on a case-by-case basis by the Board.

Guidance Document: Letters of Credit may be accepted in lieu of bonds to comply with § 55.1-1968.

Adopted June 27, 2013

Revised September 3, 2020

Effective December 10, 2020

I. Issue

Section 55.1-1968 of the Code of Virginia does not require letters of credit accepted in lieu of bonds to be issued by FDIC-insured financial institutions.

This does not coincide with § 55.1-1983(B)(2) of the Code of Virginia pertaining to letters of credit in lieu of escrowing deposits which requires an “irrevocable letter of credit issued by a financial institution whose accounts are insured by the FDIC . . .”

II. Applicable Statute § 55.1-1968

A. The declarant of a condominium registered with the Common Interest Community Board must post a bond with good surety, equal to $1,000 per unit, but not less than $10,000 or more than $100,000.

The bond must be filed with the Board and maintained while the declarant owns over 10% of units or, if less, until assessments are current.

The Board shall return the bond if the declarant owns one unit in a less than 10-unit condominium and is current on assessments.

B. Bonds must be with a surety authorized in Virginia or approved by the Board, conditioned on paying assessments levied against the declarant's units.

The Board may accept a letter of credit in lieu of the bond contemplated by this section.

III. Policy

Letters of credit in lieu of bonds under § 55.1-1968 must be issued by FDIC-insured financial institutions.

Letters of credit not meeting this policy will be reviewed case-by-case by the Board.

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Meaning of Direct Supervision as used in 18VAC15-40-32

I. Background

To satisfy the experience requirement for Home Inspector license, applicants shall submit verification of experience as defined in 18VAC15-40-32 A of the Board’s regulations:

TABLE 1 Board-approved prelicense education course contact hours Experience Passed the board-approved examination 1. 35 Completion of 100 home inspections prior to July 1, 2017 Yes 2. 35 Completion of 50 home inspections under the direct supervision of a home inspector Yes 3. 70 Completion of 50 home inspections prior to July 1, 2017 Yes 4. 70 Completion of 25 home inspections under the direct supervision of a home inspector Yes 5. None Verification of 10 years' experience as a home inspector prior to July 1, 2017, with a minimum of 250 home inspections completed during such time period Yes

Those verifying experience gained after July 1, 2017 (the effective date of licensure regulations) are required to verify either 25 or 50 home inspections completed under the direct supervision of a home inspector.

18VAC 15-40-32 C stipulates that home inspections completed under the direct supervision of a home inspector must be provided by an individual who was properly licensed or certified by the board during the applicable time period.

Section 54.1-500 of the Code of Virginia provides the following definition: "Home inspection" means any inspection of a residential building for compensation conducted by a licensed home inspector. A home inspection shall include a written evaluation of the readily accessible components of a residential building, including heating, cooling, plumbing, and electrical systems; structural components; foundation; roof; masonry structure; exterior and interior components; and other related residential housing components. A home inspection may be limited in scope as provided in a home inspection contract, provided that such contract is not inconsistent with the provisions of this chapter or the regulations of the Board. For purposes of this chapter, residential building energy analysis alone, as defined in § 54.1-1144, shall not be considered a home inspection.

II. Issue

The purpose for experience, among other qualifications for licensure, is to ensure those obtaining licensure as a home inspector are minimally competent to perform home inspections and do so in a manner that protects the health, safety, and welfare of the public.

Direct supervision is not defined in § 54.1-500 of the Code of Virginia or the Board’s regulations.

As such, there is concern that those gaining experience for licensure under the “supervision” of a licensed home inspector are not being adequately trained and may not be exposed to critical components of a home inspection, including evaluating the readily accessible components of residential housing, preparation of the written evaluation (report), or understanding the scope and limitations of a home inspection contract.

III. Policy

To ensure consistency in the application of the regulations and to serve as guidance to staff, the Board adopts the following definition of “direct supervision” as it is used in 18VAC15-40-32:

“Direct supervision” means a licensed home inspector being physically present on the premises at all times while an unlicensed individual gaining experience pursuant to 18VAC15-40-32 conducts activities related to a home inspection as defined in § 54.1-500 of the Code of Virginia and such licensed home inspector is at all times responsible for the home inspection and its resulting report.

See the Board for Asbestos, Lead, and Home Inspectors Guidance Document for the meaning of "Direct Supervision" in 18VAC15-40-32.

I. Background

To satisfy the experience requirement for Home Inspector license, applicants shall submit verification of experience as defined in 18VAC15-40-32 A of the Board’s regulations:

TABLE 1 Board-approved prelicense education course contact hours Experience Passed the board-approved examination 1. 35 Completion of 100 home inspections prior to July 1, 2017 Yes 2. 35 Completion of 50 home inspections under the direct supervision of a home inspector Yes 3. 70 Completion of 50 home inspections prior to July 1, 2017 Yes 4. 70 Completion of 25 home inspections under the direct supervision of a home inspector Yes 5. None Verification of 10 years' experience as a home inspector prior to July 1, 2017, with a minimum of 250 home inspections completed during such time period Yes

Experience after July 1, 2017, requires verification of either 25 or 50 inspections under supervision.

Under 18VAC 15-40-32 C, inspections under supervision must be performed by a licensed or certified home inspector during that period.

Section 54.1-500 of the Code of Virginia provides the following definition: "Home inspection" means any inspection of a residential building for compensation conducted by a licensed home inspector. A home inspection shall include a written evaluation of the readily accessible components of a residential building, including heating, cooling, plumbing, and electrical systems; structural components; foundation; roof; masonry structure; exterior and interior components; and other related residential housing components. A home inspection may be limited in scope as provided in a home inspection contract, provided that such contract is not inconsistent with the provisions of this chapter or the regulations of the Board. For purposes of this chapter, residential building energy analysis alone, as defined in § 54.1-1144, shall not be considered a home inspection.

II. Issue

Experience ensures home inspectors are minimally competent and protect public health, safety, and welfare.

§ 54.1-500 and the Board’s regulations do not define "direct supervision."

As such, there is concern that those gaining experience for licensure under the “supervision” of a licensed home inspector are not being adequately trained and may not be exposed to critical components of a home inspection, including evaluating the readily accessible components of residential housing, preparation of the written evaluation (report), or understanding the scope and limitations of a home inspection contract.

III. Policy

To ensure consistency in the application of the regulations and to serve as guidance to staff, the Board adopts the following definition of “direct supervision” as it is used in 18VAC15-40-32:

“Direct supervision” means a licensed home inspector being physically present on the premises at all times while an unlicensed individual gaining experience pursuant to 18VAC15-40-32 conducts activities related to a home inspection as defined in § 54.1-500 of the Code of Virginia and such licensed home inspector is at all times responsible for the home inspection and its resulting report.

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Definition of “Describe” as used in 18VAC15-40-130 of the Home Inspector Licensing Regulations Adopted November 9, 2017

I. Issue

Board staff has received an inquiry regarding whether all the items listed in 18VAC15-40-130 need to be described in the home inspection report as referenced in the regulation.

For reference, the specific language in subsection B of this regulation states: B. In conducting a home inspection and reporting its findings, the home inspector, at a minimum, shall inspect the condition of and shall describe in writing [emphasis added] the composition or characteristics of the following readily accessible components and readily observable defects, except as may be limited in the home inspection contract agreement:

The regulation goes on to list general items such as structural system, roof structure, exterior, interior, etc., with specific items listed for each general item.

This language was not amended during the 2017 regulation amendment to transition the home inspector program from certification to licensure.

Although the regulation and Code allow the home inspector to provide limitations in the home inspection agreement, Board staff has been asked to obtain clarification on whether all listed items must be described and the extent of such descriptions.

II. Policy

The Board adopts the following definition of “describe” as it is used in the above-referenced regulation section:

“To identify in writing a system and component by its type or other distinguishing characteristics.”

As an example, the Board provided that in describing the composition and characteristics of the flooring, descriptors such as “hardwood flooring” or “carpet” would be adequate, but would not necessarily have to include “oak hardwood flooring” or “nylon carpet” (although those could be included if known by and at the discretion of the home inspector).

Derived from American Society of Home Inspectors Standards of Practice effective March 1, 2014.

The Board for Asbestos, Lead, and Home Inspectors Guidance Document defines “describe” in 18VAC15-40-130 of the Home Inspector Licensing Regulations, adopted November 9, 2017.

I. Issue

Board staff inquired whether all items in 18VAC15-40-130 must be described in the home inspection report.

For reference, the specific language in subsection B of this regulation states: B. In conducting a home inspection and reporting its findings, the home inspector, at a minimum, shall inspect the condition of and shall describe in writing [emphasis added] the composition or characteristics of the following readily accessible components and readily observable defects, except as may be limited in the home inspection contract agreement:

The regulation lists general items like structural system, roof, exterior, interior, with specific items under each.

This language was unchanged during the 2017 transition from certification to licensure of the home inspector program.

Although the regulation and Code allow the home inspector to provide limitations in the home inspection agreement, Board staff has been asked to obtain clarification on whether all listed items must be described and the extent of such descriptions.

II. Policy

The Board adopts the following definition of “describe” as it is used in the above-referenced regulation section:

“To identify in writing a system and component by its type or other distinguishing characteristics.”

For example, describing flooring as “hardwood” or “carpet” suffices, though more specific descriptors like “oak hardwood” or “nylon carpet” are optional.

This definition is derived from the American Society of Home Inspectors Standards of Practice effective March 1, 2014.

Approved October 1, 2013

The following situations will not be reviewed by the Board:

1. Judgments and claims from medical providers as a result of treatment of the applicant or a dependant of an applicant. 2. Any adverse financial history against a Qualified Individual or Designated Employee (who is not a member of Responsible Management ). 3. IRS and Virginia Department of Taxation debts where a payment plan is in place and at least one current payment has been made in accordance with the plan. This does not include withholding tax debts. 4. Child support arrearages where payment arrangements have been made and a documented history of payment, including garnishment, of at least four months, has been made in accordance with the arrangements. 5. Past due debts, including personal bankruptcy, and judgments of the officers of a corporation or members of an LLC, which were personal in nature and did not involve the business of contracting (i.e., bills owed to suppliers, subcontractors, etc.) 6. Past due debts, including personal bankruptcy, and judgments of sole proprietors and partners of a partnership, which were personal in nature (not business related), and where either payment has been made or a payment plan has been implemented and in which a history (at least two one payments) can be documented. 7. Bankruptcy creditors that are industry credit cards (Home Depot, Lowe’s, Sears, etc.) where the amount to be discharged is less than $5000. 8. Any adverse financial history against an Individual Residential Building Energy Analyst.

Approved October 1, 2013

The following situations will not be reviewed by the Board:

1. Judgments and claims from medical providers as a result of treatment of the applicant or a dependant of an applicant. 2. Any adverse financial history against a Qualified Individual or Designated Employee (who is not a member of Responsible Management ). 3. IRS and Virginia Department of Taxation debts where a payment plan is in place and at least one current payment has been made in accordance with the plan. This does not include withholding tax debts. 4. Child support arrearages where payment arrangements have been made and a documented history of payment, including garnishment, of at least four months, has been made in accordance with the arrangements. 5. Past due debts, including personal bankruptcy, and judgments of the officers of a corporation or members of an LLC, which were personal in nature and did not involve the business of contracting (i.e., bills owed to suppliers, subcontractors, etc.) 6. Past due debts, including personal bankruptcy, and judgments of sole proprietors and partners of a partnership, which were personal in nature (not business related), and where either payment has been made or a payment plan has been implemented and in which a history (at least two one payments) can be documented. 7. Bankruptcy creditors that are industry credit cards (Home Depot, Lowe’s, Sears, etc.) where the amount to be discharged is less than $5000. 8. Any adverse financial history against an Individual Residential Building Energy Analyst.

Guidance Document: Approved Health Education Certifying Agencies

Board for Barbers and Cosmetology

Revised Effective September 1, 2022

Introduction / Purpose

The following health education (as referred to in 18 VAC 41-50, including limited term tattooers, and 18 VAC 41-60) is deemed acceptable to the Board.

Documentation verifying course completion shall bear the name of the individual as it appears on the application or license as well as the name of the Board approved certifying agency.

Training may be online, in person, or both.

List of Approved Health Education Certifying Agencies

American Heart Association First Aid, Adult CPR, Bloodborne Pathogens http://www.heart.org/HEARTORG/ American Safety and Health Institute (ASHI) First Aid, Adult CPR, Bloodborne Pathogens http://www.hsi.com/cprtraining/ American Red Cross First Aid, Adult CPR, Bloodborne Pathogens http://www.redcross.org/ Pro Trainings (Pro CPR) First Aid, Adult CPR, Bloodborne Pathogens http://www.protrainings.com Emergency Care and Safety Institute First Aid, Adult CPR, Bloodborne Pathogens http://www.ecsinstitute.org/ Medic First Aid First Aid, Adult CPR, Bloodborne Pathogens http://www.hsi.com/cprtraining/ National Safety Council First Aid, Adult CPR, Bloodborne Pathogens http://www.nsc.org/pages/home.aspx Emergency First Response First Aid, Adult CPR http://emergencyfirstresponse.com/ Body Art Training Group Bloodborne Pathogens http://www.yourtrainingplace.com/ International Board of Medicine and Surgery Bloodborne Pathogens https://www.tattooartistcertificates.com/ EMS Safety Services, Inc. First Aid, Adult CPR, Bloodborne Pathogens https://www.emssafetyservices.com/ Currently Certified Virginia Emergency Medical Technician (VDH) First Aid *Other courses not currently listed, may be submitted to the Board for consideration as an approved provider, but will not necessarily be approved to qualify towards licensure requirements.*

Guidance Document: Approved Certifying Agencies

Board for Barbers and Cosmetology

Revised Effective September 1, 2022

Introduction / Purpose

Health education as defined in 18 VAC 41-50 (including limited term tattooers) and 18 VAC 41-60 is acceptable to the Board.

Course completion documentation must include the individual's name as on the application or license and the certifying agency's name.

Training may be online, in person, or both.

List of Approved Certifying Agencies

American Heart Association First Aid, Adult CPR, Bloodborne Pathogens http://www.heart.org/HEARTORG/ American Safety and Health Institute (ASHI) First Aid, Adult CPR, Bloodborne Pathogens http://www.hsi.com/cprtraining/ American Red Cross First Aid, Adult CPR, Bloodborne Pathogens http://www.redcross.org/ Pro Trainings (Pro CPR) First Aid, Adult CPR, Bloodborne Pathogens http://www.protrainings.com Emergency Care and Safety Institute First Aid, Adult CPR, Bloodborne Pathogens http://www.ecsinstitute.org/ Medic First Aid First Aid, Adult CPR, Bloodborne Pathogens http://www.hsi.com/cprtraining/ National Safety Council First Aid, Adult CPR, Bloodborne Pathogens http://www.nsc.org/pages/home.aspx Emergency First Response First Aid, Adult CPR http://emergencyfirstresponse.com/ Body Art Training Group Bloodborne Pathogens http://www.yourtrainingplace.com/ International Board of Medicine and Surgery Bloodborne Pathogens https://www.tattooartistcertificates.com/ EMS Safety Services, Inc. First Aid, Adult CPR, Bloodborne Pathogens https://www.emssafetyservices.com/ Currently Certified Virginia Emergency Medical Technician (VDH) First Aid *Other courses not currently listed, may be submitted to the Board for consideration as an approved provider, but will not necessarily be approved to qualify towards licensure requirements.*

4209_Policy 800-01.pdf

Compliance & Investigations Policy #800-01 Criminal History & Online Public Records Information

Effective Date: June 13, 2011

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & Online Public Records [POL 700-800_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 2

Approved By:

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 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 dispositions 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

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. 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. 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

All criminal history information is confidential and its use is limited to those individuals who are authorized by statute to receive such information. 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.

C. LexisNexis® ACCURINT® PUBLIC RECORDS

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. 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. 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.

4209_Policy 800-01.pdf

Compliance & Investigations Policy #800-01 Criminal History & Public Records

Effective: June 13, 2011

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & Public Records [POL 700-800_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 2

Approved By:

I. PURPOSE

This policy establishes guidelines for requesting and handling criminal history and public records in compliance with federal/state laws and security agreements.

II. Policy Statement

The Compliance and Investigations Division of DPOR is authorized to enforce laws and conduct criminal investigations under § 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 the LexisNexis® Accurint® Public Records System

Select Licensing and Regulation Division personnel may use LexisNexis® Public Records Depository solely for verification.

III. DEFINITIONS

Criminal History Information

Criminal History Information includes arrest and disposition data from CCRE, other state bureaus, FBI, and 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

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. 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. 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

All criminal history information is confidential and its use is limited to those individuals who are authorized by statute to receive such information. 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.

C. LexisNexis® ACCURINT® PUBLIC RECORDS

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. 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. 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.

Cosmetology licensees completing training prior to straight razor requirement

According to § 54.1-700, the definition of cosmetology includes the practice of shaving, allowing cosmetologists to perform straight razor shaving within their scope of practice as defined in the Code of Virginia.

Prior to September 1, 2024, straight razor shaving was not covered in the curriculum of cosmetology schools and individuals were not required by regulation to receive training in straight razor shaving to qualify for licensure.

Any cosmetologist who wanted to perform straight razor shaving prior to September 1, 2024, was required to obtain proper instruction prior to performing the service.

Without the proper instruction, a cosmetologist could have faced disciplinary action if they performed the straight razor shaving services incompetently or negligently.

During the regulatory process to reduce the cosmetology training hours to 1,000, the Board incorporated straight razor shaving into the cosmetology curriculum to ensure that cosmetologists going forward are competent in this area.

The requirement for straight razor shaving in the cosmetology curriculum will take effect on September 1, 2024.

Cosmetologists licensed before September 1, 2024, must currently ensure that they have been appropriately trained and are competent to perform straight razor shaving.

To address these issues, on July 8, 2024, the Board for Barbers and Cosmetology established a guidance document for cosmetology licensees who completed their training prior to the Board implementing the straight razor curriculum requirements.

The primary objective of the curriculum change was to clarify the prerequisites for performing straight razor shaving and provide cosmetology schools with the option to employ a barber or master barber instructor for training on straight razor shaving within a cosmetology school setting.

According to § 54.1-700 of the Code of Virginia, the practice of cosmetology includes straight razor shaving.

The guidance document specifies the prerequisites that cosmetologists must meet before conducting straight razor shaving.

Cosmetologists must ensure competence in this skill before offering the service.

During the Board meeting on July 8, 2024, the Board for Barbers and Cosmetology approved a guidance document for cosmetology licensees who completed training before the straight razor requirement.

This initiative aims to protect the safety and welfare of the public.

The guidance document clarifies the criteria for cosmetologists to perform straight razor shaving, particularly for those licensed before it became a curriculum requirement.

Cosmetologists must ensure they are competent in straight razor shaving before offering this service to the public.

Cosmetologist performing straight razor shaving without completing the minimum 1,000-hour curricula requirements.

Cosmetologists who obtained their license before September 1, 2024, are eligible to perform straight razor shaving since it falls within the scope of practice, but cosmetologists without formal instruction in straight razor shaving should ensure they have proper instruction prior to performing the service.

“Cosmetology" includes, but is not limited to, the following practices: • administering cosmetic treatments; • manicuring or pedicuring the nails of any person; • arranging, dressing, curling, waving, cutting, shaping, singeing, waxing, tweezing, shaving, bleaching, coloring, relaxing, straightening, or similar work, upon human hair, or a wig or hairpiece, by any means, including hands or mechanical or electrical apparatus or appliances.

According to 18VAC41-20-280.1, cosmetologists who perform straight razor shaving without the appropriate training may be subject to disciplinary action.

No further action is needed for a cosmetologist that became licensed prior to the change in the cosmetology curriculum if the individual does not intend on performing straight razor shaving.

Licensed cosmetology schools may employ licensed and certified barber or master barber instructors to provide training on straight razor shaving on face and neck in a cosmetology school.

Cosmetology licensees completing training prior to straight razor requirement

According to § 54.1-700, the definition of cosmetology includes the practice of shaving, allowing cosmetologists to perform straight razor shaving within their scope of practice as defined in the Code of Virginia.

Prior to September 1, 2024, straight razor shaving was not covered in the curriculum of cosmetology schools and individuals were not required by regulation to receive training in straight razor shaving to qualify for licensure.

Any cosmetologist who wanted to perform straight razor shaving prior to September 1, 2024, was required to obtain proper instruction prior to performing the service.

Without the proper instruction, a cosmetologist could have faced disciplinary action if they performed the straight razor shaving services incompetently or negligently.

During the regulatory process to reduce the cosmetology training hours to 1,000, the Board incorporated straight razor shaving into the cosmetology curriculum to ensure that cosmetologists going forward are competent in this area.

The requirement for straight razor shaving in the cosmetology curriculum will take effect on September 1, 2024.

Cosmetologists licensed before September 1, 2024, must currently ensure that they have been appropriately trained and are competent to perform straight razor shaving.

To address these issues, on July 8, 2024, the Board for Barbers and Cosmetology established a guidance document for cosmetology licensees who completed their training prior to the Board implementing the straight razor curriculum requirements.

The primary objective of the curriculum change was to clarify the prerequisites for performing straight razor shaving and provide cosmetology schools with the option to employ a barber or master barber instructor for training on straight razor shaving within a cosmetology school setting.

According to § 54.1-700 of the Code of Virginia, the practice of cosmetology includes straight razor shaving.

The guidance document specifies the prerequisites that cosmetologists must meet before conducting straight razor shaving.

Cosmetologists must ensure competence in this skill before offering the service.

During the Board meeting on July 8, 2024, the Board for Barbers and Cosmetology approved a guidance document for cosmetology licensees who completed training before the straight razor requirement.

This initiative aims to protect the safety and welfare of the public.

The guidance document clarifies the criteria for cosmetologists to perform straight razor shaving, particularly for those licensed before it became a curriculum requirement.

Cosmetologists must ensure they are competent in straight razor shaving before offering this service to the public.

Cosmetologist performing straight razor shaving without completing the minimum 1,000-hour curricula requirements.

Cosmetologists who obtained their license before September 1, 2024, are eligible to perform straight razor shaving since it falls within the scope of practice, but cosmetologists without formal instruction in straight razor shaving should ensure they have proper instruction prior to performing the service.

“Cosmetology" includes, but is not limited to, the following practices: • administering cosmetic treatments; • manicuring or pedicuring the nails of any person; • arranging, dressing, curling, waving, cutting, shaping, singeing, waxing, tweezing, shaving, bleaching, coloring, relaxing, straightening, or similar work, upon human hair, or a wig or hairpiece, by any means, including hands or mechanical or electrical apparatus or appliances.

According to 18VAC41-20-280.1, cosmetologists who perform straight razor shaving without the appropriate training may be subject to disciplinary action.

No further action is needed for a cosmetologist that became licensed prior to the change in the cosmetology curriculum if the individual does not intend on performing straight razor shaving.

Licensed cosmetology schools may employ licensed and certified barber or master barber instructors to provide training on straight razor shaving on face and neck in a cosmetology school.

EXAMINATIONS POLICY # 600-03 RESTRICTED PARTICIPATION IN EXAMINATION DEVELOPMENT & REVIEW

Effective Date: June 3, 2014

Approved By:

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.

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.

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.

n/a

V.

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.

Policy Title: Examinations Policy # 600-03 RESTRICTED PARTICIPATION IN EXAM DEVELOPMENT & REVIEW

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

Approved By:

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.

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.

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.

n/a

V.

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.

Policy Title: Examinations Policy # 600-03 RESTRICTED PARTICIPATION IN EXAM DEVELOPMENT & REVIEW

Effective: 06/03/2014

Submitted By: Mark Courtney, Senior Director, Regulatory & Public Affairs

Guidance Document: Yes

Supersedes: n/a

Page 1 of 1

Waiver Exemption of Entry Requirements for Residents

This document outlines the procedures and regulations regarding the waiver and exemption of entry requirements for residents. It provides guidance on eligibility, application processes, and contact information for support.

The waiver and exemption policies are governed by relevant laws and regulations that ensure compliance with established standards. These frameworks are designed to facilitate streamlined entry procedures while maintaining security and integrity.

The exemption allows eligible residents to bypass certain entry requirements under specific conditions. The criteria for eligibility include:

Residency status Compliance with health and safety standards Submission of necessary documentation

Approved applicants will receive a waiver certificate, which must be presented upon entry.

To apply for a waiver or exemption, applicants must:

Complete the designated application form Submit supporting documents as specified Pay applicable fees Attend an interview if required

Applications are reviewed on a case-by-case basis, and decisions are communicated within a specified timeframe.

It is important to note that the waiver does not guarantee entry but facilitates the process for eligible residents. Applicants should ensure all information provided is accurate and complete to avoid delays.

For further details, refer to the official guidelines or contact support services.

For assistance or inquiries, residents can contact the support center:

Phone: [Insert Phone Number] Email: [Insert Email Address] Office Hours: [Insert Office Hours]

Support staff are available to guide applicants through the process and answer any questions related to the waiver and exemption procedures.

Waiver and exemption of entry requirements for residents.

This document outlines the procedures and regulations regarding the waiver and exemption of entry requirements for residents. It provides guidance on eligibility, application processes, and contact information for support.

The waiver and exemption policies are governed by relevant laws and regulations that ensure compliance with established standards. These frameworks are designed to facilitate streamlined entry procedures while maintaining security and integrity.

The exemption allows eligible residents to bypass certain entry requirements under specific conditions. The criteria for eligibility include:

Residency status Compliance with health and safety standards Submission of necessary documentation

Approved applicants will receive a waiver certificate, which must be presented upon entry.

To apply for a waiver or exemption, applicants must:

Complete the designated application form Submit supporting documents as specified Pay applicable fees Attend an interview if required

Applications are reviewed on a case-by-case basis, and decisions are communicated within a specified timeframe.

The waiver facilitates, but does not guarantee, entry. Applicants must ensure accurate and complete information to avoid delays.

For further details, refer to the official guidelines or contact support services.

For assistance or inquiries, residents can contact the support center:

Phone: [Insert Phone Number] Email: [Insert Email Address] Office Hours: [Insert Office Hours]

Support staff are available to assist with waiver and exemption questions.

Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals Guidance Document: Pumping of Alternative Onsite Sewage Systems

Adopted January 19, 2017

Amended April 20, 2017

I. Background

Board staff has received inquiries regarding the necessity of an alternative onsite sewage system operator to be present when a conventional onsite system operator has been called to pump an alternative onsite sewage system.

Currently, a conventional onsite sewage system operator is not permitted to perform any kind of operation and maintenance on alternative onsite sewage systems, to include pumping the tanks.

18VAC160-20-10 of the Board’s regulations provides the following definitions:

"Alternative onsite sewage system operator" means an individual licensed by the board to operate and maintain conventional and alternative onsite sewage systems. "Conventional onsite sewage system operator" means an individual licensed by the board to operate and maintain a conventional onsite sewage system. "Maintenance" or "maintain" means performing adjustments to equipment and controls and in-kind replacement of normal wear and tear parts such as light bulbs, fuses, filters, pumps, motors, or other like components. Maintenance includes pumping the tanks or cleaning the building sewer on a periodic basis. Maintenance shall not include replacement of tanks, drain field piping, distribution boxes, or work requiring a construction permit and a licensed onsite sewage system installer. "Operate" means any act of an individual that may impact on the finished water quality at a waterworks, the plant effluent at a wastewater works, or the effluent at an onsite sewage system.

Amended April 20, 2017

In addition, the Board has the following policies and interpretations relative to this issue:

December 2, 2009 - Onsite Sewage System Operators (Septic Pumpers)
An onsite sewage system operator license is required for pumping out conventional and alternative onsite sewage systems.
April 12, 2011 - Alternative Onsite Sewage System Operators (Septic Pumpers) Alternative septic tanks must have a licensed alternative onsite sewage system operator responsible for the actions of the individual or individuals pumping out the septic tank. The licensed alternative onsite sewage system operator is not required to be present when the septic tank is pumped out, but is responsible for the actions of the unlicensed individual actually pumping out the septic tank. The individual actually pumping out the septic tank need not be a licensed alternative onsite sewage system operator, but must be working under the supervision of a licensed alternative onsite sewage system operator who shall be responsible for the unlicensed person’s actions, as related to pumping the septic tank.

The conventional onsite sewage system operator has the truck and equipment necessary to pump an onsite sewage system, and an alternative operator may not.

In this case, the alternative onsite sewage system operator must have a conventional onsite sewage system operator pump the alternative onsite sewage system.

Thus, the alternative operator must be present — because he is responsible for operation and maintenance on the alternative system — along with the conventional operator.

The homeowner is then paying for two different licensees to be present, even though the conventional operator is only pumping the tank.

Note: Neither of the policies above address this issue, and the above policies are expected to be repealed when the new regulations are effective as the issue of supervision is addressed more clearly.

The Board adopts the following policy as it pertains to conventional onsite sewage system operators pumping alternative onsite sewage systems:

A conventional onsite sewage system operator with the appropriate sewage handling permit issued by VDH may pump an alternative onsite sewage system without the alternative onsite sewage system operator present so long as it is done at the direction of the alternative onsite sewage system operator. The conventional onsite sewage system operator is only permitted to pump the tanks and is not authorized to perform any other functions associated with operation and maintenance of the alternative onsite sewage system, and such conventional operator may only pump the tank of the alternative onsite sewage system at the request of a properly licensed alternative onsite sewage system operator. If it is found that the conventional onsite sewage system operator has performed any function outside of pumping the alternative onsite sewage system, or has done so independently and not at the direction of an alternative onsite sewage system operator, the conventional onsite sewage system operator may be subject to disciplinary action by the Board. The Board advises that as a best practice the alternative operator should be present during the pumping of the alternative onsite sewage system, or should inspect the system as soon as possible after pumping to ensure the proper continued operation of the alternative onsite sewage system in accordance with applicable regulations and manufacturer’s instructions.

Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals Guidance Document: Pumping of Alternative Onsite Sewage Systems

Adopted January 19, 2017

Amended April 20, 2017

I. Background

Board staff has inquired whether an alternative onsite sewage system operator must be present when a conventional operator pumps an alternative system.

Currently, a conventional onsite sewage system operator cannot perform operation and maintenance on alternative systems, including pumping tanks.

18VAC160-20-10 of the Board’s regulations provides the following definitions:

"Alternative onsite sewage system operator" means an individual licensed by the board to operate and maintain conventional and alternative onsite sewage systems. "Conventional onsite sewage system operator" means an individual licensed by the board to operate and maintain a conventional onsite sewage system. "Maintenance" or "maintain" means performing adjustments to equipment and controls and in-kind replacement of normal wear and tear parts such as light bulbs, fuses, filters, pumps, motors, or other like components. Maintenance includes pumping the tanks or cleaning the building sewer on a periodic basis. Maintenance shall not include replacement of tanks, drain field piping, distribution boxes, or work requiring a construction permit and a licensed onsite sewage system installer. "Operate" means any act of an individual that may impact on the finished water quality at a waterworks, the plant effluent at a wastewater works, or the effluent at an onsite sewage system.

Amended April 20, 2017

In addition, the Board has the following policies and interpretations relative to this issue:

December 2, 2009 - Onsite Sewage System Operators (Septic Pumpers)
An onsite sewage system operator license is required to pump both conventional and alternative systems.
April 12, 2011 - Alternative Onsite Sewage System Operators (Septic Pumpers) Alternative septic tanks must have a licensed alternative onsite sewage system operator responsible for the actions of the individual or individuals pumping out the septic tank. The licensed alternative onsite sewage system operator is not required to be present when the septic tank is pumped out, but is responsible for the actions of the unlicensed individual actually pumping out the septic tank. The individual actually pumping out the septic tank need not be a licensed alternative onsite sewage system operator, but must be working under the supervision of a licensed alternative onsite sewage system operator who shall be responsible for the unlicensed person’s actions, as related to pumping the septic tank.

The conventional operator has the necessary truck and equipment to pump the system; an alternative operator may not.

In this case, the alternative operator must have a licensed conventional operator pump the system.

Therefore, the alternative operator must be present, as he is responsible for operation and maintenance, along with the conventional operator.

The homeowner pays for two licensees, even if the conventional operator only pumps the tank.

These policies do not address this issue and are expected to be repealed when new regulations clarify supervision requirements.

The Board adopts the following policy as it pertains to conventional onsite sewage system operators pumping alternative onsite sewage systems:

A conventional onsite sewage system operator with the appropriate sewage handling permit issued by VDH may pump an alternative onsite sewage system without the alternative onsite sewage system operator present so long as it is done at the direction of the alternative onsite sewage system operator. The conventional onsite sewage system operator is only permitted to pump the tanks and is not authorized to perform any other functions associated with operation and maintenance of the alternative onsite sewage system, and such conventional operator may only pump the tank of the alternative onsite sewage system at the request of a properly licensed alternative onsite sewage system operator. If it is found that the conventional onsite sewage system operator has performed any function outside of pumping the alternative onsite sewage system, or has done so independently and not at the direction of an alternative onsite sewage system operator, the conventional onsite sewage system operator may be subject to disciplinary action by the Board. The Board advises that as a best practice the alternative operator should be present during the pumping of the alternative onsite sewage system, or should inspect the system as soon as possible after pumping to ensure the proper continued operation of the alternative onsite sewage system in accordance with applicable regulations and manufacturer’s instructions.

Effective Date: June 8, 2017

I. PURPOSE

The purpose of this policy is to provide Department of Professional and Occupational Regulation employees with procedures for receiving, documenting, distributing, and responding to a subpoena, process, or notice.

This policy shall supplement Director’s Policy #100-04, Release of Information.

II. POLICY STATEMENT

The processing of all subpoenas and other notices served on the Department shall be handled in a timely and accurate manner according to the guidelines set forth in this policy.

When notification of counsel is required, original documents shall be hand delivered to the Office of the Attorney General within one day of service on, or receipt in, the Department.

III. DEFINITIONS

Appeal Petition: a superior court to review the decision of an inferior court or administrative agency. Long Arm Statute: A state law providing jurisdiction, via substituted service of process, over non-resident individuals or businesses licensed by the Department of Professional and Occupational Regulation. Notice of Appeal: A document stating an intention to appeal a board case decision received by the Director (as Agency Secretary). Petition for Appeal: A document filed with the clerk of the circuit court named in the first notice of appeal, served on the Director (Agency Secretary) and all parties involved, appealing a board case decision. Process: A summons, writ, warrant, or mandate to appear or respond in court. Service of Process: The formal delivery of a writ, summons, or other legal notice to an official authorized to accept (Director or his designee) or on the party to whom it is directed. Subpoena: A writ commanding a person to appear at a certain time and place to give testimony on a specific matter. Subpoena duces tecum: A court process, initiated by a party in litigation, compelling production of specific documents and other items in the custody of the Department which are material or relevant to facts in issue in a pending judicial proceeding.

IV. RELATED DOCUMENTS

 Director's Policy #100 -04 Release of Information

V. GENERAL PROVISIONS

All service shall be accepted by the Director’s Office. The Executive Assistant to the agency Director typically receives all service on the Department. Reception desk personnel may accept service during regular business hours (8:15 a.m. to 5:00 p.m.) only when the Director’s Office is closed. In the Executive Assistant’s absence, the Records and FOIA Manager or her designee in the Information Management Section serves as backup. The employee receiving the service shall indicate the date, time, method of receipt, and person receiving the document on the front page of the subpoena, process, or notice. An electronic log and copy of all service received by the Department shall be maintained on the shared directory Subpoena Log for a period of three years.

The Director’s Executive Assistant or her designee is responsible for immediate e-mail transmittal and hand delivery of the original documents to the Office of the Attorney General in the following situations: Appeals of case decisions involving an applicant or licensee Appeals of case decisions involving the Real Estate or Contractors Transaction Recovery Fund Service on the Director pursuant to the Long Arm Statutes in Title 54.1 of the Code of Virginia Any service which names the Department, any regulatory board within the Department, any board member, or any Department employee as a defendant Service on any board member Service or delivery of any documents, notices, petitions, etc., that call for a Department response within a specified period of time A subpoena duces tecum for statutorily exempt information that may compromise the integrity of the Department’s licensure, mediation, conciliation, or investigative processes (e.g., examinations, confidential dispute resolution materials, active investigations of unlicensed activity) A subpoena duces tecum served on the Department less than five workdays prior to the date for compliance

The Director’s Executive Assistant shall arrange for hand delivery of all original copies of Notices/Petitions for Appeal to the Office of the Attorney General. A copy of the notice/petition and the OAG transmittal letter shall be forwarded to the appropriate Executive Director. Copies of Real Estate and Contractor Transaction Recovery Fund appeals shall be forwarded to the Recovery Fund Administrator in the Adjudication Section. Within two days of receiving a Notice/Petition for Appeal, the appropriate Executive Director is responsible for contacting the Office of the Attorney General and coordinating any response and appeal record preparation with board counsel. The Executive Director is responsible for preparing and certifying the appeal record according to any requirements set forth by the Office of the Attorney General and Rule 2A:3 of the Rules of Supreme Court of Virginia. Each Executive Director shall designate a person responsible for record preparation in their absence.

The Director’s Executive Assistant or her designee shall forward all process served on the Department pursuant to Title 54.1 to the appropriate Executive Director to mail to the last known address of record. The Executive Director shall retain any undelivered documents that are returned to the Department for a period of three years.

All subpoenas for records responses shall be prepared by the Information Management Section. All records released in response to a subpoena duces tecum shall bear the official seal of the Department of Professional and Occupational Regulation. Records released in response to a subpoena duces tecum shall be authenticated by the record custodian and the person to whom the custodian reports, on the face of the documents, as true copies of the original records pursuant to § 54.1-112 of the Code of Virginia. A subpoena duces tecum for statutorily exempt information that may compromise the Department’s processes (e.g., examinations, confidential dispute resolution materials, active investigations of unlicensed activity) or other protected information (e.g., nine-digit social security numbers, medical records, tax records) shall be handled as follows: All non-exempt documents shall be copied and certified in their entirety pursuant to § 54.1-112 of the Code of Virginia. All statutorily exempt information and documents shall be redacted and/or removed from the response. A cover letter shall accompany the response, stating the case style, court name, contents description (e.g., “documents presented pursuant to subpoena duces tecum issued on [date] by [issuing party]”), and exemptions applied (e.g., “pursuant to [applicable statute], the following protected information/documents have been redacted/excluded from this response”). A copy of the subpoena duces tecum shall be attached to the response package.

The Records and FOIA Manager, upon request by a subpoenaed employee, shall contact the issuing party to determine if a License Transcript or other authenticated records would be an acceptable alternative to personal testimony. The subpoenaed individual shall be responsible for obtaining the proper written release from a subpoena if documents are accepted in lieu of the requested testimony. The person named in the subpoena is responsible for ensuring compliance with the terms of the subpoena, including being prepared to testify at any criminal, civil, or administrative proceeding at the designated time and place.

Effective Date: June 8, 2017

I. PURPOSE

This policy provides DPR employees procedures for handling subpoenas, process, or notices.

This policy shall supplement Director’s Policy #100-04, Release of Information.

II. POLICY STATEMENT

All subpoenas and notices served on the Department shall be processed promptly and accurately per this policy.

When notification of counsel is required, original documents shall be hand delivered to the Office of the Attorney General within one day of service on, or receipt in, the Department.

III. DEFINITIONS

Appeal Petition: a superior court to review the decision of an inferior court or administrative agency. Long Arm Statute: A state law providing jurisdiction, via substituted service of process, over non-resident individuals or businesses licensed by the Department of Professional and Occupational Regulation. Notice of Appeal: A document stating an intention to appeal a board case decision received by the Director (as Agency Secretary). Petition for Appeal: A document filed with the clerk of the circuit court named in the first notice of appeal, served on the Director (Agency Secretary) and all parties involved, appealing a board case decision. Process: A summons, writ, warrant, or mandate to appear or respond in court. Service of Process: The formal delivery of a writ, summons, or other legal notice to an official authorized to accept (Director or his designee) or on the party to whom it is directed. Subpoena: A writ commanding a person to appear at a certain time and place to give testimony on a specific matter. Subpoena duces tecum: A court process, initiated by a party in litigation, compelling production of specific documents and other items in the custody of the Department which are material or relevant to facts in issue in a pending judicial proceeding.

IV. RELATED DOCUMENTS

 Director's Policy #100 -04 Release of Information

V. GENERAL PROVISIONS

All service shall be accepted by the Director’s Office. The Executive Assistant to the agency Director typically receives all service on the Department. Reception desk personnel may accept service during regular business hours (8:15 a.m. to 5:00 p.m.) only when the Director’s Office is closed. In the Executive Assistant’s absence, the Records and FOIA Manager or her designee in the Information Management Section serves as backup. The employee receiving the service shall indicate the date, time, method of receipt, and person receiving the document on the front page of the subpoena, process, or notice. An electronic log and copy of all service received by the Department shall be maintained on the shared directory Subpoena Log for a period of three years.

The Director’s Executive Assistant or her designee is responsible for immediate e-mail transmittal and hand delivery of the original documents to the Office of the Attorney General in the following situations: Appeals of case decisions involving an applicant or licensee Appeals of case decisions involving the Real Estate or Contractors Transaction Recovery Fund Service on the Director pursuant to the Long Arm Statutes in Title 54.1 of the Code of Virginia Any service which names the Department, any regulatory board within the Department, any board member, or any Department employee as a defendant Service on any board member Service or delivery of any documents, notices, petitions, etc., that call for a Department response within a specified period of time A subpoena duces tecum for statutorily exempt information that may compromise the integrity of the Department’s licensure, mediation, conciliation, or investigative processes (e.g., examinations, confidential dispute resolution materials, active investigations of unlicensed activity) A subpoena duces tecum served on the Department less than five workdays prior to the date for compliance

The Director’s Executive Assistant shall arrange for hand delivery of all original copies of Notices/Petitions for Appeal to the Office of the Attorney General. A copy of the notice/petition and the OAG transmittal letter shall be forwarded to the appropriate Executive Director. Copies of Real Estate and Contractor Transaction Recovery Fund appeals shall be forwarded to the Recovery Fund Administrator in the Adjudication Section. Within two days of receiving a Notice/Petition for Appeal, the appropriate Executive Director is responsible for contacting the Office of the Attorney General and coordinating any response and appeal record preparation with board counsel. The Executive Director is responsible for preparing and certifying the appeal record according to any requirements set forth by the Office of the Attorney General and Rule 2A:3 of the Rules of Supreme Court of Virginia. Each Executive Director shall designate a person responsible for record preparation in their absence.

The Director’s Executive Assistant or her designee shall forward all process served on the Department pursuant to Title 54.1 to the appropriate Executive Director to mail to the last known address of record. The Executive Director shall retain any undelivered documents that are returned to the Department for a period of three years.

All subpoenas for records responses shall be prepared by the Information Management Section. All records released in response to a subpoena duces tecum shall bear the official seal of the Department of Professional and Occupational Regulation. Records released in response to a subpoena duces tecum shall be authenticated by the record custodian and the person to whom the custodian reports, on the face of the documents, as true copies of the original records pursuant to § 54.1-112 of the Code of Virginia. A subpoena duces tecum for statutorily exempt information that may compromise the Department’s processes (e.g., examinations, confidential dispute resolution materials, active investigations of unlicensed activity) or other protected information (e.g., nine-digit social security numbers, medical records, tax records) shall be handled as follows: All non-exempt documents shall be copied and certified in their entirety pursuant to § 54.1-112 of the Code of Virginia. All statutorily exempt information and documents shall be redacted and/or removed from the response. A cover letter shall accompany the response, stating the case style, court name, contents description (e.g., “documents presented pursuant to subpoena duces tecum issued on [date] by [issuing party]”), and exemptions applied (e.g., “pursuant to [applicable statute], the following protected information/documents have been redacted/excluded from this response”). A copy of the subpoena duces tecum shall be attached to the response package.

The Records and FOIA Manager, upon request by a subpoenaed employee, shall contact the issuing party to determine if a License Transcript or other authenticated records would be an acceptable alternative to personal testimony. The subpoenaed individual shall be responsible for obtaining the proper written release from a subpoena if documents are accepted in lieu of the requested testimony. The person named in the subpoena is responsible for ensuring compliance with the terms of the subpoena, including being prepared to testify at any criminal, civil, or administrative proceeding at the designated time and place.

5834_Lead Inspector Training Variance.pdf

I. Background

Regulation 18 VAC 15-30-52.F.4.a requires applicants for lead inspector licenses to have completed board-approved lead inspector training.

Regulation 18 VAC 15-30-52.F.5.a requires applicants for lead risk assessor license to have completed board-approved lead risk assessor training and board-approved lead inspector training.

II. Issue

Applicants for a lead inspector license are able to get licensed as lead inspectors with current risk assessor training in bordering states.

However, when these individuals apply for a lead inspector license in Virginia, they are required to take (or retake) the initial lead inspector training course because it has not been necessary to maintain it to continue working in the bordering states.

Requiring a lead inspector applicant to take the initial lead inspector training when the applicant has maintained risk assessor training may be overly burdensome and unnecessary to protect the public.

In addition, lead risk assessor refresher training courses include criteria related to lead inspectors, and lead risk assessors are authorized to conduct lead inspections.

III. Clarification

After considering the matter, the Board adopted the following guidance:

All other requirements for licensure must be met in accordance with the Board’s Lead-Based Paint Activities Regulations.

The variance for training in this guidance is for initial lead inspector licenses only.

In accordance with Board guidance adopted August 12, 2009, refresher training courses must be specific to the discipline of license being renewed.

Thus, a lead inspector license can only be renewed with lead inspector training.

Reference: Reference: 5834_Lead Inspector Training Variance.pdf

I. Background

Applicants for lead inspector licenses must complete board-approved lead inspector training.

Regulation 18 VAC 15-30-52.F.5.a requires applicants for lead risk assessor license to have completed board-approved lead risk assessor training and board-approved lead inspector training.

II. Issue

Applicants with current risk assessor training in bordering states can be licensed as lead inspectors.

Virginia requires these applicants to take (or retake) initial lead inspector training, which is not required to maintain licensure in bordering states.

Requiring initial lead inspector training for applicants with maintained risk assessor training may be unnecessarily burdensome and not needed for public protection.

In addition, lead risk assessor refresher training courses include criteria related to lead inspectors, and lead risk assessors are authorized to conduct lead inspections.

III. Clarification

After considering the matter, the Board adopted the following guidance:

All other licensure requirements follow the Board’s Lead-Based Paint Activities Regulations.

This training variance applies only to initial lead inspector licenses.

Per the August 12, 2009 Board guidance, refresher courses must be discipline-specific.

Lead inspector licenses can only be renewed with lead inspector training.

Board for Barbers and Cosmetology January 14, 2019 Guidance Document : Cosmetology Instructors May Teach Nail or Wax Instructor Programs

Interpretation of whether 18 VAC 41-20-200.3.a includes instructor programs when it allows cosmetology instructors to teach nail and wax programs

On January 14, 2019, the Board issued the following guidance:

Guidance Issued on January 14, 2019

Cosmetology Instructors may teach nail and wax instructor programs pursuant to 18 VAC 41-20-200.3.a.

Board for Barbers and Cosmetology January 14, 2019 guidance: Cosmetology Instructors may teach nail or wax instructor programs.

Interpretation of whether 18 VAC 41-20-200.3.a includes instructor programs allowing cosmetology instructors to teach nail and wax courses.

On January 14, 2019, the Board issued the following guidance:

Guidance issued on January 14, 2019.

Cosmetology Instructors may teach nail and wax instructor programs under 18 VAC 41-20-200.3.a.

The purpose of this policy is to establish agency restrictions on contract and purchase order modifications.

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 Code of Virginia 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.

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.

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

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.

The purpose of this policy is to establish agency restrictions on contract and purchase order modifications.

DPOR shall comply with Chapters 3.5, 10.12, 14.4 of the DPS APSPM, Chapter 10 of the ITPM, and §2.2-4309 of the Code of Virginia regarding 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.

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.

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

Suppliers may request contract or purchase order changes by contacting the contract administrator or DPOR Procurement Office.

Requests to change price, quality, quantity, delivery, or cancelations will be evaluated for validity and reasonableness.

Approved changes will be communicated via Virginia’s eVA portal or other written notification.

Board for Contractors Guidance Document: Master Installer License Requirement for Qualified Individual of Contractor’s License with Sewage Disposal System (SDS) Specialty

Adopted August 8, 2017

I. Background

Currently, the Board for Contractors requires the Qualified Individual (QI) of a Contractor’s License with the Sewage Disposal System (SDS) specialty to hold a Conventional or Alternative Installer License issued by the WWWOOSSP Board.

On April 1, 2017, the WWWOOSSP Board Regulations were amended, in part, to create a journeyman and master license structure for all onsite sewage system professions, to include installer licenses.

II. Issue

The WWWOOSSP Board’s new regulations require that a master licensee provide direct supervision of any regulated work performed by a journeyman licensee, and that there be an employment or contractual relationship between the master licensee and any journeyman licensees under the master’s direct supervision.

1. Thus, a journeyman installer cannot be the individual primarily responsible for the provision of onsite sewage system installation services by a licensed contractor with the SDS specialty.

III. Request for Guidance

As a result of the above changes to the WWWOOSSP Board regulations, the Board for Contractors adopts the following policy, to be fully implemented by January 1, 2018:

The Qualified Individual of a Contractor’s License with (or applying for) the SDS specialty must hold a current Master Conventional or Alternative Installer License issued by the WWWOOSSP Board. 18VAC160-40-510 of the Onsite Sewage System Professionals Licensing Regulations

Board for Contractors Guidance Document: Master Installer License Requirement for Qualified Individual of Contractor’s License with Sewage Disposal System (SDS) Specialty

Adopted August 8, 2017

I. Background

Currently, the Board for Contractors requires the Qualified Individual (QI) of a Contractor’s License with the Sewage Disposal System (SDS) specialty to hold a Conventional or Alternative Installer License issued by the WWWOOSSP Board.

On April 1, 2017, the WWWOOSSP Board Regulations were amended, in part, to create a journeyman and master license structure for all onsite sewage system professions, to include installer licenses.

II. Issue

The WWWOOSSP Board’s new regulations require that a master licensee provide direct supervision of any regulated work performed by a journeyman licensee, and that there be an employment or contractual relationship between the master licensee and any journeyman licensees under the master’s direct supervision.

1. Thus, a journeyman installer cannot be the individual primarily responsible for the provision of onsite sewage system installation services by a licensed contractor with the SDS specialty.

III. Request for Guidance

As a result of the above changes to the WWWOOSSP Board regulations, the Board for Contractors adopts the following policy, to be fully implemented by January 1, 2018:

The Qualified Individual of a Contractor’s License with (or applying for) the SDS specialty must hold a current Master Conventional or Alternative Installer License issued by the WWWOOSSP Board. 18VAC160-40-510 of the Onsite Sewage System Professionals Licensing Regulations

Proposed Guidance Document

Board for Contractors

PROPOSED Guidance Document: Contractor License Specialty Requirement for Well Abandonments

Adopted September 20, 2022

Anticipated Effective Date: January 18, 2023

Effective upon conclusion of the public comment period required pursuant to § 2.2-4002.1 of the Code of Virginia

The following guidance document has been prepared to clarify licensing requirements related to well abandonments under the jurisdiction of the Board for Contractors.

I. Background

Department staff has received inquiries regarding the contractor license specialty requirements for well abandonments of Class IIIC wells under 12VAC5-630-360.

Traditionally, the abandonment of these wells has been performed by contractors with the water well/pump contracting (WWP) specialty.

II. Issue

Section 54.1-1128 of the Code of Virginia defines a “water well systems provider” as:

“…any individual who is certified by the Board in accordance with this article and who is engaged in drilling, installation, maintenance, or repair of water wells, water well pumps, ground source heat exchangers, and other equipment associated with the construction, removal, or repair of water wells, water well systems, and ground source heat pump exchangers to the point of connection to the ground source heat pump.”

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.

Section 18VAC50-22-30 of the Board for Contractors regulations defines “water well/pump contracting” as:

“the service that provides for the installation of a water well system, including geothermal wells, which includes construction of a water well to reach groundwater, as defined in § 62.1-255 of the Code of Virginia, and the installation of the well pump and tank, including pipe and wire, up to and including the point of connection to the plumbing and electrical systems.
No other classification or specialty service provides for construction of water wells. This regulation shall not exclude the PLB, ELE, or HVA classification from installation of pumps and tanks.”

During the course of an excavation of property, the contractor with the highway/heavy contractor (H/H) classification may uncover wells that need to be properly abandoned to ensure they are not a danger to the public.

III. Board Guidance

The Board provides the following guidance:

A licensed contractor with the H/H classification is allowed to properly abandon a Class IIIC bored/drilled well in accordance with Virginia Department of Health regulations when performing site work.
The Virginia Board for Contractors will be taking public comment on this proposed guidance document. A 30-day comment period will begin on December 19, 2022.
If you wish to comment on the proposed guidance document, you may do so via the Town Hall website or you may submit written comments so that they are received before the end of the 30-day comment period to:
Marjorie King, Board Administrator Board for Contractors Department of Professional and Occupational Regulation 9960 Mayland Drive, Suite 400 Richmond, VA 23233 contractor@dpor.virginia.gov

Proposed Guidance Document

Board for Contractors

Guidance on Contractor License Requirements for Well Abandonments

Adopted September 20, 2022

Effective date: January 18, 2023

Effective after the public comment period per § 2.2-4002.1.

The following guidance document has been prepared to clarify licensing requirements related to well abandonments under the jurisdiction of the Board for Contractors.

I. Background

Staff has inquired about contractor license requirements for Class IIIC well abandonments under 12VAC5-630-360.

Traditionally, the abandonment of these wells has been performed by contractors with the water well/pump contracting (WWP) specialty.

II. Issue

Section 54.1-1128 of the Code of Virginia defines a “water well systems provider” as:

Any individual certified by the Board engaged in drilling, installation, maintenance, or repair of water wells, pumps, ground source heat exchangers, and related equipment to the connection point to the ground source heat pump.

Per § 2.2-4002.1, this guidance conforms to the definition in § 2.2-4101 of a guidance document.

Section 18VAC50-22-30 of the Board for Contractors regulations defines “water well/pump contracting” as:

Service that installs water well systems, including geothermal wells, reaching groundwater (§ 62.1-255), and installs pumps and tanks up to the connection point.
No other classification covers water well construction. This does not exclude PLB, ELE, or HVA classifications for pumps and tanks.

During the course of an excavation of property, the contractor with the highway/heavy contractor (H/H) classification may uncover wells that need to be properly abandoned to ensure they are not a danger to the public.

III. Board Guidance

The Board provides the following guidance:

H/H licensed contractors may properly abandon Class IIIC bored/drilled wells per Virginia Department of Health regulations during site work.
Public comment on this guidance begins December 19, 2022, for 30 days.
Comments can be submitted via the Town Hall website or in writing before the end of the 30-day period to:
Marjorie King, Board Administrator Board for Contractors Department of Professional and Occupational Regulation 9960 Mayland Drive, Suite 400 Richmond, VA 23233 contractor@dpor.virginia.gov

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspect ors

Page 1 of 3

Virginia Board for Asbestos, Lead and Home Inspectors Guidance Document: Electronic Delivery of Asbestos and Lead Refresher Courses

Adopted May 12, 2022

Effective Date: July 7, 2022

I. Background

During the State of Emergency declared due to COVID-19,

Pursuant to this authority, a waiver of any regulations of regulatory boards under DPOR that prohibit or limit online, electronic, or distance theoretical instruction was issued.

During this time, asbestos and lead courses that do not require a hands-on component of training were permitted to be conducted in a virtual format.

II. Issue

Since the expiration of this waiver on July 31, 2021,

III. Board Guidance

In order to remain in alignment with the Code of Federal Regulations, and in compliance with Chapter 5 of Title 54.1 of the Code of Virginia,

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.

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspect ors

Page 2 of 3

Electronic delivery of asbestos and lead refresher training courses is permitted so long as the below requirements are met:

1. Training providers must have a system in place to authenticate each student’s identity and their eligibility to enroll in the course. 2. A unique identifier must be assigned to each student to be used to launch and re-launch the course. This identifier may also be used throughout the course if deemed necessary by the instructor. 3. Each student must be logged in to the course and participating for the full length of time required for each course discipline. The training provider must track each student’s course log-ins, launches, progress, and completion, and maintain a record of such pursuant to statutory and regulatory record-keeping requirements. 4. The course must include knowledge checks throughout the entirety of the course. The knowledge checks must be successfully completed before the student moves on to the next module. 5. Course instructors must be available to answer questions or offer technical assistance via online discussion or message boards, or a telephone number during the training period. 6. There must be a test of at least 20 questions at the end of the course, of which 80% must be answered correctly for successful completion of the course. The test must be designed so that the student does not receive feedback on answers until after the test has been submitted. 7. Each student will be provided with a completion certificate that may be saved and printed. The completion certificate will specifically mention the course was taken online. The certificate must not be susceptible to editing. The certificate will contain all information necessary to meet all other statutory and regulatory requirements.

This policy applies to asbestos and lead refresher courses only. A pre-existing approval for an in-person, classroom-based refresher course does not extend to approval of the electronic course.

Each electronic course must be separately approved.

Refresher course notifications and participant lists provided to Board staff must indicate whether the course is conducted electronically.

For auditing purposes,

Electronic courses must meet all other statutory and regulatory refresher course requirements as outlined in the Board’s regulations.

For the purposes of this guidance, electronic delivery includes real-time virtual training and asynchronous delivery of training courses.

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspect ors

Page 1 of 3

Virginia Board for Asbestos, Lead and Home Inspectors Guidance Document: Electronic Delivery of Asbestos and Lead Refresher Courses

Adopted May 12, 2022

Effective Date: July 7, 2022

I. Background

During the State of Emergency declared due to COVID-19,

Under this authority, a waiver was issued allowing regulations under DPOR that restrict online or distance theoretical instruction.

During this time, asbestos and lead courses that do not require a hands-on component of training were permitted to be conducted in a virtual format.

II. Issue

Since the expiration of this waiver on July 31, 2021,

III. Board Guidance

In order to remain in alignment with the Code of Federal Regulations, and in compliance with Chapter 5 of Title 54.1 of the Code of Virginia,

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.

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspect ors

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Electronic delivery of asbestos and lead refresher training courses is permitted so long as the below requirements are met:

1. Training providers must have a system in place to authenticate each student’s identity and their eligibility to enroll in the course. 2. A unique identifier must be assigned to each student to be used to launch and re-launch the course. This identifier may also be used throughout the course if deemed necessary by the instructor. 3. Each student must be logged in to the course and participating for the full length of time required for each course discipline. The training provider must track each student’s course log-ins, launches, progress, and completion, and maintain a record of such pursuant to statutory and regulatory record-keeping requirements. 4. The course must include knowledge checks throughout the entirety of the course. The knowledge checks must be successfully completed before the student moves on to the next module. 5. Course instructors must be available to answer questions or offer technical assistance via online discussion or message boards, or a telephone number during the training period. 6. There must be a test of at least 20 questions at the end of the course, of which 80% must be answered correctly for successful completion of the course. The test must be designed so that the student does not receive feedback on answers until after the test has been submitted. 7. Each student will be provided with a completion certificate that may be saved and printed. The completion certificate will specifically mention the course was taken online. The certificate must not be susceptible to editing. The certificate will contain all information necessary to meet all other statutory and regulatory requirements.

This policy applies to asbestos and lead refresher courses only. A pre-existing approval for an in-person, classroom-based refresher course does not extend to approval of the electronic course.

Each electronic course must be separately approved.

Refresher course notifications and participant lists provided to Board staff must indicate whether the course is conducted electronically.

For auditing purposes,

Electronic courses must meet all other statutory and regulatory refresher course requirements as outlined in the Board’s regulations.

For the purposes of this guidance, electronic delivery includes real-time virtual training and asynchronous delivery of training courses.

Guidance Document

To: Regulants & Other Members of the Public

From: Virginia Board for Branch Pilots

Date: August 1, 2012

Re: License Renewal Requirements

Purpose

The purpose of this document is to clarify what branch pilots are required to provide as proof of a satisfactory physical examination conducted within the immediately preceding 60 days of renewal.

Background

§ 54.1-906 of the Code of Virginia mandates all licenses issued by the Board shall expire on December 31 of the year in which issued.

Every pilot who holds a license as a branch pilot shall appear before the Board every twelve months, and, if the Board deems him qualified, it shall renew his license, which shall continue his term of office for one year following each renewal.

Upon each renewal he shall appear before the clerk before whom he originally qualified, and renew his oath of office, but the bond given by him shall remain in force.

18VAC45-20-20 License Renewal

A. General Requirements

Each pilot seeking renewal of his license shall complete a renewal application, comply with the provisions of these sections, and appear before the board or its License Renewal Committee which shall determine if he possesses the qualifications to be renewed.

B. Limited Branch Pilot Renewal Standards

Furnish to the board evidence of a satisfactory physical examination conducted within the immediately preceding 60 days; Furnish to the board evidence that he has transited the waters embraced by his license during the preceding 12 months; After three years of licensure as a limited branch pilot, possess a valid First Class Pilot License issued by the United States Coast Guard for the same waters as his limited branch. Any such federal license acquired after January 1994 shall include an Automated Radar Plotting Aids (ARPA) radar certificate; Pay a license renewal fee of $60. Each check or money order is to be made payable to the Treasurer of Virginia. All fees shall be non-refundable.

C. Full Branch Pilot Renewal Standards

Possess a valid unlimited Federal Inland Masters License with First Class Pilot endorsement issued by the United States Coast Guard for the same waters as his branch; any such federal license renewed or acquired after January 1994 shall include an Automated Radar Plotting Aids (ARPA) radar certificate; Furnish to the board evidence of a satisfactory physical examination conducted within the immediately preceding 60 days; Furnish to the board evidence that he has transited the waters embraced by his license during the preceding 12 months, and that he has piloted 12 or more ships during that time, at least six trips as a pilot within the first six months of the calendar year and six trips as a pilot within the last six months of the calendar year; Upon showing of good cause, the board may waive the requirements of subdivision 3 of this subsection when in its judgment the pilot is otherwise qualified; Qualify in accordance with § 51.1-906 of the Code of Virginia; Pay a license renewal fee of $60. Each check or money order is to be made payable to the Treasurer of Virginia. All fees shall be nonrefundable.

Summary

Pilots must pass the required Merchant Mariner Credential Medical Evaluation to obtain a U.S. Coast Guard First Class Pilot License or an Unlimited Federal Inland Master’s License with First Class Pilot endorsement, as required by 18VAC45-20-20B.3, and 18VAC45-20-20C.1.

Submission of a copy of the (verifying) Medical Practitioner Recommendation of the U.S. Department of Homeland Security, U.S. Coast Guard Merchant Mariner Credential Medical Evaluation Report complies with 18VAC45-20-20B.1 and 18VAC45-20-20C.2.

Guidance document

To: Regulants and the public

From: Virginia Board for Branch Pilots

Date: August 1, 2012

Re: License Renewal Requirements

Purpose

The purpose of this document is to clarify what branch pilots are required to provide as proof of a satisfactory physical examination conducted within the immediately preceding 60 days of renewal.

Background

§ 54.1-906 of the Code of Virginia requires all licenses expire on December 31 of the year issued.

Branch pilots must appear before the Board annually; if qualified, their license is renewed for one year.

Upon each renewal he shall appear before the clerk before whom he originally qualified, and renew his oath of office, but the bond given by him shall remain in force.

18VAC45-20-20 License renewal

A. General requirements

Each pilot seeking renewal of his license shall complete a renewal application, comply with the provisions of these sections, and appear before the board or its License Renewal Committee which shall determine if he possesses the qualifications to be renewed.

B. Limited branch pilot renewal standards

Furnish to the board evidence of a satisfactory physical examination conducted within the immediately preceding 60 days; Furnish to the board evidence that he has transited the waters embraced by his license during the preceding 12 months; After three years of licensure as a limited branch pilot, possess a valid First Class Pilot License issued by the United States Coast Guard for the same waters as his limited branch. Any such federal license acquired after January 1994 shall include an Automated Radar Plotting Aids (ARPA) radar certificate; Pay a license renewal fee of $60. Each check or money order is to be made payable to the Treasurer of Virginia. All fees shall be non-refundable.

C. Full branch pilot renewal standards

Possess a valid unlimited Federal Inland Masters License with First Class Pilot endorsement issued by the United States Coast Guard for the same waters as his branch; any such federal license renewed or acquired after January 1994 shall include an Automated Radar Plotting Aids (ARPA) radar certificate; Furnish to the board evidence of a satisfactory physical examination conducted within the immediately preceding 60 days; Furnish to the board evidence that he has transited the waters embraced by his license during the preceding 12 months, and that he has piloted 12 or more ships during that time, at least six trips as a pilot within the first six months of the calendar year and six trips as a pilot within the last six months of the calendar year; Upon showing of good cause, the board may waive the requirements of subdivision 3 of this subsection when in its judgment the pilot is otherwise qualified; Qualify in accordance with § 51.1-906 of the Code of Virginia; Pay a license renewal fee of $60. Each check or money order is to be made payable to the Treasurer of Virginia. All fees shall be nonrefundable.

Summary

Pilots must pass the Merchant Mariner Credential Medical Evaluation to obtain the required Coast Guard licenses, per 18VAC45-20-20B.3 and 18VAC45-20-20C.1.

A copy of the Medical Practitioner Recommendation from the U.S. Coast Guard Merchant Mariner Credential Medical Evaluation Report must be submitted, per 18VAC45-20-20B.1 and 18VAC45-20-20C.2.

3648_Real Estate Pre-License Instructor Guidance Document

The Board is issuing this guidance document in order to interpret and implement the requirements of §§ 54.1-2105.D and 54.1-2105.02.A of the Code of Virginia as a means of providing information or guidance of general applicability to the public:

Introduction and Purpose

To ensure that Board-approved salesperson and broker pre-license courses meet the standards of quality deemed by the Board to be necessary to protect the public interests, health, safety, and welfare pursuant to §§ 54.1-2105.D and 54.1-2105.02.A of the Code of Virginia, the Board requires every Board-approved salesperson and broker pre-license course to be taught by a Board-certified pre-license instructor.

Legal Authority and Purpose

The authority for this guidance stems from the statutory provisions outlined in the Virginia Code, specifically §§ 54.1-2105.D and 54.1-2105.02.A. These statutes establish the Board’s responsibility to regulate real estate education and ensure that instructors meet the qualifications necessary to uphold the integrity and quality of pre-license education programs.

Pre-License Course Requirements

All pre-license courses for salespersons and brokers must adhere to the following standards:

Courses must be approved by the Board prior to delivery. Instructors must be certified by the Board. Courses must meet the curriculum standards established by the Board. Courses must be taught in accordance with the approved syllabus and materials.

Instructor Certification

To become a Board-certified pre-license instructor, an individual must:

Meet the qualifications set forth by the Board, including relevant education and experience. Complete any required training or certification programs approved by the Board. Apply for and obtain certification from the Board. Maintain certification through ongoing education or renewal requirements as specified by the Board.

Compliance and Enforcement

The Board will monitor compliance with these requirements through audits, reviews, and other enforcement mechanisms. Violations may result in disciplinary actions, including suspension or revocation of instructor certification and course approval.

Definitions and Clarifications

For the purposes of this guidance document, the following definitions apply:

Board: The Real Estate Board responsible for licensing and regulation of real estate professionals in Virginia. Pre-License Course: An educational program required for individuals seeking to obtain a real estate salesperson or broker license. Instructor Certification: The process by which an individual is approved by the Board to teach pre-license courses.

3648_Real Estate Pre-License Instructor Guidance Document

The Board is issuing this guidance document in order to interpret and implement the requirements of §§ 54.1-2105.D and 54.1-2105.02.A of the Code of Virginia as a means of providing information or guidance of general applicability to the public:

Introduction and Purpose

To ensure that Board-approved salesperson and broker pre-license courses meet the standards of quality deemed by the Board to be necessary to protect the public interests, health, safety, and welfare pursuant to §§ 54.1-2105.D and 54.1-2105.02.A of the Code of Virginia, the Board requires every Board-approved salesperson and broker pre-license course to be taught by a Board-certified pre-license instructor.

Legal Authority and Purpose

The authority for this guidance stems from the statutory provisions outlined in the Virginia Code, specifically §§ 54.1-2105.D and 54.1-2105.02.A. These statutes establish the Board’s responsibility to regulate real estate education and ensure that instructors meet the qualifications necessary to uphold the integrity and quality of pre-license education programs.

Pre-License Course Requirements

All pre-license courses for salespersons and brokers must adhere to the following standards:

Courses must be approved by the Board prior to delivery. Instructors must be certified by the Board. Courses must meet the curriculum standards established by the Board. Courses must be taught in accordance with the approved syllabus and materials.

Instructor Certification

To become a Board-certified pre-license instructor, an individual must:

Meet the qualifications set forth by the Board, including relevant education and experience. Complete any required training or certification programs approved by the Board. Apply for and obtain certification from the Board. Maintain certification through ongoing education or renewal requirements as specified by the Board.

Compliance and Enforcement

The Board will monitor compliance with these requirements through audits, reviews, and other enforcement mechanisms. Violations may result in disciplinary actions, including suspension or revocation of instructor certification and course approval.

Definitions and Clarifications

For the purposes of this guidance document, the following definitions apply:

Board: The Real Estate Board responsible for licensing and regulation of real estate professionals in Virginia. Pre-License Course: An educational program required for individuals seeking to obtain a real estate salesperson or broker license. Instructor Certification: The process by which an individual is approved by the Board to teach pre-license courses.

Guidance Document regarding Inspections of Specific Components of a Residential Building

I. Background

Board staff has received inquiries regarding whether a home inspector license is needed when performing inspections of limited components or systems of a residential structure.

Examples provided include roof inspections, foundation inspections, HVAC inspections, etc.

II. Relevant Statutes

Section 54.1-500 of the Code of Virginia defines “home inspection” as:

1. “Any inspection of a residential building for compensation conducted by a licensed home inspector. 2. A home inspection shall include a written evaluation of the readily accessible components of a residential building, including heating, cooling, plumbing, and electrical systems; structural components; foundation; roof; masonry structure; exterior and interior components; and other related residential housing components. 3. A home inspection may be limited in scope as provided in a home inspection contract, provided that such contract is not inconsistent with the provisions of this chapter or the regulations of the Board. 4. For purposes of this chapter, residential building energy analysis alone, as defined in § 54.1-1144, shall not be considered a home inspection.

In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held June 10, 2019 through July 10, 2019.

III. Board Guidance

Based on the definition of “home inspection” in § 54.1-500 of the Code of Virginia, an individual who does not hold a license as a home inspector and who is conducting inspections of a component or system in a residential building is not considered to be performing a home inspection.

Guidance on inspecting specific residential building components

I. Background

Board staff inquired whether a home inspector license is required for inspecting limited components or systems of a residential structure.

Examples provided include roof inspections, foundation inspections, HVAC inspections, etc.

II. Relevant Statutes

Section 54.1-500 of the Code of Virginia defines “home inspection” as:

1. “Any inspection of a residential building for compensation conducted by a licensed home inspector. 2. A home inspection shall include a written evaluation of the readily accessible components of a residential building, including heating, cooling, plumbing, and electrical systems; structural components; foundation; roof; masonry structure; exterior and interior components; and other related residential housing components. 3. A home inspection may be limited in scope as provided in a home inspection contract, provided that such contract is not inconsistent with the provisions of this chapter or the regulations of the Board. 4. For purposes of this chapter, residential building energy analysis alone, as defined in § 54.1-1144, shall not be considered a home inspection.

In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held June 10, 2019 through July 10, 2019.

III. Board Guidance

Under § 54.1-500, a person not licensed as a home inspector who inspects a component or system in a residential building is not performing a home inspection.

Policy Title: Director’s Policy #100-14 Public Service Hours

Effective Date: 09/24/2009

DIRECTOR’S POLICY #100-14 PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

Approved By :

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.

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)

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Policy Title: Director’s Policy #100-14 Public Service Hours

Effective Date: 09/24/2009

DIRECTOR’S POLICY #100-14 PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

Approved By :

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.

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)

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Common Interest Community Board Guidance Document: Determining Value of Blanket Surety Bonds Filed by Developers in Lieu of Escrowing Deposits

Adopted June 7, 2018

Revised September 3, 2020

Effective December 10, 2020

I. Background

Section 55.1-2220 of the Code of Virginia outlines requirements for deposits made in connection with the purchase or reservation of a time-share product.

Subsection A of § 55.1-2220 requires:

Any deposit made in connection with the purchase or reservation of a product shall be held in escrow. All deposits shall be held in escrow until (i) delivered to the developer upon expiration of the purchaser's cancellation period provided the purchaser's right of cancellation has not been exercised, (ii) delivered to the developer because of the purchaser's default under a contract to purchase a time-share, or (iii) refunded to the purchaser. Such funds shall be deposited in a separate account designated for this purpose that is federally insured and located in the Commonwealth; except where such deposits are being held by a real estate broker or attorney licensed under the laws of the Commonwealth, such funds may be placed in that broker's or attorney's regular escrow account and need not be placed in a separate designated account. Such escrow funds shall not be subject to attachment by the creditors of either the purchaser or the developer.

Subsection B of § 55.1-2220 permits the developer of a time-share project consisting of more than 25 units to file a corporate surety bond or irrevocable letter of credit with the Board in lieu of escrowing deposits.

Subsections C and D of § 55.1-2220 provide that the surety bond or letter of credit may either be:

(i) an individual bond or letter of credit for each deposit accepted, (ii) a blanket bond or letter of credit if the total amount of deposits accepted by the developer exceeds $10,000.

Guidance Document

Determining the value of blanket surety bonds filed by developers in lieu of escrowing deposits.

II. Issues and Concerns

Subsection D of § 55.1-2220 specifies the following with respect to a blanket letter of credit filed with the Board:

For the purposes of determining the amount of any blanket letter of credit that a developer maintains in any calendar year, the total amount of deposits considered held by the developer shall be determined as of May 31 in each calendar year and the amount of the letter of credit shall be in accordance with the amount of deposits held as of May 31. However, subsection C of § 55.1-2220 does not contain the timeframe for calculating deposits with respect to a blanket bond filed with the Board.

III. Board Guidance

The Board adopts a guidance document that establishes the following:

For the purposes of determining the amount of any blanket bond that a developer maintains in any calendar year, the total amount of deposits considered held by the developer shall be determined as of May 31 in each calendar year and the amount of the bond shall be in accordance with the amount of deposits held as of May 31.

Guidance Document: Determining value of blanket surety bonds filed instead of escrowing deposits.

Adopted June 7, 2018

Revised September 3, 2020

Effective December 10, 2020

I. Background

Section 55.1-2220 of the Virginia Code details deposit requirements for time-share purchases or reservations.

Subsection A of § 55.1-2220 requires:

Any deposit made in connection with the purchase or reservation of a product shall be held in escrow. All deposits shall be held in escrow until (i) delivered to the developer upon expiration of the purchaser's cancellation period provided the purchaser's right of cancellation has not been exercised, (ii) delivered to the developer because of the purchaser's default under a contract to purchase a time-share, or (iii) refunded to the purchaser. Such funds shall be deposited in a separate account designated for this purpose that is federally insured and located in the Commonwealth; except where such deposits are being held by a real estate broker or attorney licensed under the laws of the Commonwealth, such funds may be placed in that broker's or attorney's regular escrow account and need not be placed in a separate designated account. Such escrow funds shall not be subject to attachment by the creditors of either the purchaser or the developer.

Developers of time-share projects with over 25 units may file a corporate surety bond or irrevocable letter of credit with the Board instead of escrowing deposits.

Subsections C and D of § 55.1-2220 provide that the surety bond or letter of credit may either be:

(i) an individual bond or letter of credit for each deposit accepted, (ii) a blanket bond or letter of credit if the total amount of deposits accepted by the developer exceeds $10,000.

Guidance Document

Determining the value of blanket surety bonds filed by developers in lieu of escrowing deposits.

II. Issues and Concerns

Subsection D of § 55.1-2220 specifies the following with respect to a blanket letter of credit filed with the Board:

For the purposes of determining the amount of any blanket letter of credit that a developer maintains in any calendar year, the total amount of deposits considered held by the developer shall be determined as of May 31 in each calendar year and the amount of the letter of credit shall be in accordance with the amount of deposits held as of May 31. However, subsection C of § 55.1-2220 does not contain the timeframe for calculating deposits with respect to a blanket bond filed with the Board.

III. Board Guidance

The Board adopts a guidance document that establishes the following:

For the purposes of determining the amount of any blanket bond that a developer maintains in any calendar year, the total amount of deposits considered held by the developer shall be determined as of May 31 in each calendar year and the amount of the bond shall be in accordance with the amount of deposits held as of May 31.

The Real Estate Board is issuing this guidance document in order to assist its licensees in understanding the requirements of § 54.1-2010.A.1 of the Code of Virginia as a means of providing information or guidance of general applicability to the public:

To ensure that the Real Estate Board’s broker and salesperson licensees comply with § 54.1-2010.A.1 of the Code of Virginia, the Board prohibits any licensee who provides a valuation or analysis of real estate (such as a Broker Price Opinion) for a fee in the ordinary course of business from holding himself out as a real estate appraiser.

Such valuation or analysis shall not be referred to as an appraisal, and it shall not be used in lieu of an appraisal performed by a certified or licensed appraiser when an appraisal is required by federal or state law or regulation.

Further, in accordance with 18 VAC 135-20-300.8 of the Board’s Regulations, any licensee who knowingly makes any false statement or report, or willfully misstates the value of any land, property or security for the purpose of influencing in any way the action of a lender may be in violation of the Board’s regulation prohibiting misrepresentation or omission.

Further, in accordance with 18 VAC 135-20-160 of the Board’s Regulations, every principal broker or supervising broker of a place of business or branch office shall exercise reasonable and adequate supervision of the provision of real estate brokerage services (to include the valuation or analysis of real estate, e.g., Broker Price Opinions) by associate brokers and salespersons assigned to the place of business or branch office.

Further, in accordance with 18 VAC 135-20-280.2 of the Board’s regulations, it is improper to accept a commission or other valuable consideration (including fees for Broker Price Opinions), as a real estate salesperson or associate broker, from any person except the licensee’s principal broker at the time of the transaction, for performance of any acts specified in Chapter 21 ( §54.1-2100 et seq.) of the Code of Virginia or the regulations of the board or related to any real estate transaction without the consent of the broker.

Further, in accordance with 18 VAC 135-20-330 of the Board’s Regulations, principal and supervising brokers may be held responsible for failing to take reasonable action to remedy situations that lead to unlawful acts or regulatory violations by licensees and employees under their supervision.

Prohibition on Holding Out as an Appraiser: Licensees providing valuation or analysis for a fee shall not refer to their work as an appraisal nor use it in place of a certified or licensed appraiser’s appraisal when required by law or regulation. False Statements and Misrepresentation: Licensees must not knowingly make false statements or misrepresent the value of land, property, or securities to influence a lender. Supervision: Principal or supervising brokers shall exercise reasonable supervision over licensees providing brokerage services, including Broker Price Opinions. Accepting Compensation: It is improper to accept commissions or valuable considerations (including fees for Broker Price Opinions) from anyone other than the principal broker without the broker’s consent. Responsibility of Brokers: Principal and supervising brokers are responsible for addressing unlawful acts or violations committed by licensees under their supervision.

The Real Estate Board is issuing this guidance document in order to assist its licensees in understanding the requirements of § 54.1-2010.A.1 of the Code of Virginia as a means of providing information or guidance of general applicability to the public:

Licensees providing real estate valuations or analyses for a fee must not claim to be licensed appraisers, to comply with § 54.1-2010.A.1 of the Code of Virginia.

Such valuation or analysis shall not be referred to as an appraisal, and it shall not be used in lieu of an appraisal performed by a certified or licensed appraiser when an appraisal is required by federal or state law or regulation.

Under 18 VAC 135-20-300.8, knowingly making false statements or misrepresenting property values to influence lenders violates regulations prohibiting misrepresentation.

Under 18 VAC 135-20-160, principal or supervising brokers must reasonably supervise licensees providing brokerage services, including Broker Price Opinions.

Per 18 VAC 135-20-280.2, licensees cannot accept commissions or fees, including for Broker Price Opinions, from anyone other than their principal broker without consent.

Further, in accordance with 18 VAC 135-20-330 of the Board’s Regulations, principal and supervising brokers may be held responsible for failing to take reasonable action to remedy situations that lead to unlawful acts or regulatory violations by licensees and employees under their supervision.

Prohibition on Holding Out as an Appraiser: Licensees providing valuation or analysis for a fee shall not refer to their work as an appraisal nor use it in place of a certified or licensed appraiser’s appraisal when required by law or regulation. False Statements and Misrepresentation: Licensees must not knowingly make false statements or misrepresent the value of land, property, or securities to influence a lender. Supervision: Principal or supervising brokers shall exercise reasonable supervision over licensees providing brokerage services, including Broker Price Opinions. Accepting Compensation: It is improper to accept commissions or valuable considerations (including fees for Broker Price Opinions) from anyone other than the principal broker without the broker’s consent. Responsibility of Brokers: Principal and supervising brokers are responsible for addressing unlawful acts or violations committed by licensees under their supervision.

Common Interest Community Board Guidance Document: Requests for Waiver of Filing Fee for Notice of Final Adverse Decision

Adopted September 17, 2013

Revised September 3, 2020

Effective December 10, 2020

I. Issue

I. Issue

In accordance with 18 VAC 48-70-100 of the Common Interest Community Ombudsman Regulations, the Board may waive or refund the $25 filing fee that must accompany the Notice of Final Adverse Decision.

Such waiver or refund is permitted if the Board finds that the payment of the filing fee will cause undue harm or financial hardship.

The Waiver of Filing Fee Request Form currently requests an explanation as to why paying the filing fee would cause undue financial hardship.

In order to provide an objective method for determining the appropriateness of waiving or refunding the filing fee, the Board requested at its June 27, 2013, Board meeting that staff conduct research and prepare a recommendation wherein the federal poverty guidelines be used as the basis for determining financial hardship.

II. Applicable Regulations and Statutes

II. Applicable Regulations and Statutes

18 VAC 48-70-100 of the Common Interest Community Ombudsman Regulations states:

“In accordance with § 54.1-2354.4 B of the Code of Virginia, the board may, for good cause shown, waive or refund the filing fee upon a finding that payment of the filing fee will cause undue financial hardship for the complainant.” Guidance Document Requests for Waiver of Filing Fee for Notice of Final Adverse Decision Adopted September 17, 2013 (Revised September 3, 2020) § 54.1-2354.4(B) of the Code of Virginia states: A complainant may give notice to the Board of any final adverse decision in accordance with regulations promulgated by the Board. The notice shall be filed within 30 days of the final adverse decision, shall be in writing on forms prescribed by the Board, shall include copies of all records pertinent to the decision, and shall be accompanied by a $25 filing fee. The fee shall be collected by the Director and paid directly into the state treasury and credited to the Common Interest Community Management Information Fund pursuant to § 54.1-2354.2. The Board may, for good cause shown, waive or refund the filing fee upon a finding that payment of the filing fee will cause undue financial hardship for the member. The Director shall provide a copy of the written notice to the association that made the final adverse decision.

III. Policy

III. Policy

The U.S. Department of Health & Human Services (HHS) Poverty Guidelines will be used by the Board to establish the threshold for whether a filing fee will be waived or refunded as a result of financial hardship.

The Poverty Guidelines for the most recent or current, whichever is applicable, calendar year will be used.

The HHS Poverty Guidelines can be found at http://www.aspe.hhs.gov/.

In order to determine whether an individual requesting the waiver or refund of the filing fee is at or below the HHS Poverty Guidelines, he shall be required to submit supporting documentation that provides proof of income.

Recent tax return form W-2 form Letter from an employer, welfare officer, case worker, or Social Security Administration office indicating annual income. [•]Such letter must be on agency/company letterhead and must include the verifier’s signature and contact phone number for verification purposes.

The Board authorizes staff to approve a waiver or refund of the filing fee if proof of income submitted is at or below the then-current HHS Poverty Guidelines.

Board staff may request additional information as needed in order to ensure compliance with this policy.

Should Board staff be unable to satisfactorily affirm that the proof of income submitted complies with this policy, the request for waiver or refund will not be approved.

The individual requesting a waiver or refund, or Board staff, may request that the Board consider the request for waiver or refund in the event that the supporting documentation is not sufficient or a determination cannot be reasonably made based on the information submitted.

In accordance with the Virginia Freedom of Information Act (§ 2.2-3700 et seq.), the referenced supporting documentation is exempt from public disclosure.

Guidance Document: Requests for Waiver of Filing Fee for Final Adverse Decision

Adopted September 17, 2013

Revised September 3, 2020

Effective December 10, 2020

I. Issue

I. Issue

Per 18 VAC 48-70-100, the Board may waive or refund the $25 filing fee with the Notice of Final Adverse Decision.

The waiver or refund is allowed if the Board finds payment causes undue hardship.

The Waiver Request Form asks for an explanation of financial hardship.

At its June 27, 2013, meeting, the Board asked staff to research and recommend using federal poverty guidelines to assess financial hardship for fee waivers or refunds.

II. Applicable Regulations and Statutes

II. Applicable Regulations and Statutes

18 VAC 48-70-100 of the Common Interest Community Ombudsman Regulations states:

“In accordance with § 54.1-2354.4 B of the Code of Virginia, the board may, for good cause shown, waive or refund the filing fee upon a finding that payment of the filing fee will cause undue financial hardship for the complainant.” Guidance Document Requests for Waiver of Filing Fee for Notice of Final Adverse Decision Adopted September 17, 2013 (Revised September 3, 2020) § 54.1-2354.4(B) of the Code of Virginia states: A complainant may give notice to the Board of any final adverse decision in accordance with regulations promulgated by the Board. The notice shall be filed within 30 days of the final adverse decision, shall be in writing on forms prescribed by the Board, shall include copies of all records pertinent to the decision, and shall be accompanied by a $25 filing fee. The fee shall be collected by the Director and paid directly into the state treasury and credited to the Common Interest Community Management Information Fund pursuant to § 54.1-2354.2. The Board may, for good cause shown, waive or refund the filing fee upon a finding that payment of the filing fee will cause undue financial hardship for the member. The Director shall provide a copy of the written notice to the association that made the final adverse decision.

III. Policy

III. Policy

The Board will use HHS Poverty Guidelines to determine eligibility for fee waivers or refunds based on financial hardship.

The Poverty Guidelines for the most recent or current, whichever is applicable, calendar year will be used.

HHS Poverty Guidelines are available at http://www.aspe.hhs.gov/.

In order to determine whether an individual requesting the waiver or refund of the filing fee is at or below the HHS Poverty Guidelines, he shall be required to submit supporting documentation that provides proof of income.

Recent tax return form W-2 form Letter from an employer, welfare officer, case worker, or Social Security Administration office indicating annual income. [•]Such letter must be on agency/company letterhead and must include the verifier’s signature and contact phone number for verification purposes.

Staff may approve fee waivers or refunds if proof shows income at or below current HHS Poverty Guidelines.

Staff may request additional info to ensure compliance.

If staff cannot verify income compliance, the waiver or refund will be denied.

Either party may request the Board to reconsider if documentation is insufficient or a decision cannot be made.

Under § 2.2-3700 et seq. of the Virginia Freedom of Information Act, supporting documents are exempt from public disclosure.

Common Interest Community Board Guidance Document: Common Interest Community Association Registration

I. Background

Section 18VAC48-60-60 of the Common Interest Community Association Registration Regulations establishes the application fee schedule for initial registration of a common interest community association and for renewal of a registration.

The section provides:

The following fee schedule is based upon the number of lots or units subject to the declaration for each association. Each association filing its first annual report shall also pay the assessment required by § 54.1-2354.5 B of the Code of Virginia.

Number of Lots or Units | Registration Fee | Renewal Fee 1 - 50 | $45 | $30 51 - 100 | $65 | $50 101 - 200 | $100 | $80 201 - 500 | $135 | $115 501 - 1000 | $145 | $130 1001 - 5000 | $165 | $150 5001+ | $180 | $170

Guidance Document Common Interest Community Association Registration - Interpretive Guidance for 18VAC48-60-60 Adopted September 23, 2021 Page 2 of 4

II. Issues/Concerns

The Board has received inquiries seeking clarification as to the meaning of the phrase “lots or units subject to the declaration.”

Those filing an annual report on behalf of an association may need clarification on the meaning of “lots or units subject to the declaration” in order to (i) ensure the annual report is accurate regarding the number of lots or units in the community, and (ii) pay the appropriate registration or renewal fee.

Section 54.1-2345 of the Code of Virginia states, in part: “'Common interest community' means real estate subject to a declaration containing lots, at least some of which are residential or occupied for recreational purposes, and common areas to which a person, by virtue of the person's ownership of a lot subject to that declaration, is a member of the association and is obligated to pay assessments of common expenses…” (emphasis added)

“Declaration” means any instrument, however denominated, recorded among the land records of the county or city in which the development or any part thereof is located, that either (i) imposes on the association maintenance or operational responsibilities for the common area as a regular annual assessment or (ii) creates the authority in the association to impose on lots, or on the owners or occupants of such lots, or on any other entity any mandatory payment of money as a regular annual assessment in connection with the provision of maintenance or services or both for the benefit of some or all of the lots, the owners or occupants of the lots, or the common area.

“Declaration” includes any amendment or supplement to the instruments described in this definition.

“Lot” means (i) any plot or parcel of land designated for separate ownership or occupancy shown on a recorded subdivision plat for a development or the boundaries of which are described in the declaration or in a recorded instrument referred to or expressly contemplated by the declaration, other than a common area, and (ii) a unit in a condominium association or a unit in a real estate cooperative.

Section 55.1-1800 of the Code of Virginia states, in part: “'Development' means real property located within the Commonwealth subject to a declaration which contains both lots, at least some of which are residential or are occupied for recreational purposes, and common areas with respect to which any person, by virtue of ownership of a lot, is a member of an association and is obligated to pay assessments provided for in a declaration.”

Section 55.1-1900 of the Code of Virginia states, in part: “'Condominium' means real property, and any incidents to or interests in such real property, lawfully subject to this chapter by the recordation of condominium instruments pursuant to the provisions of this chapter.” “'Unit' means a portion of the condominium designed and intended for individual ownership and use.”

Section 55.1-2100 of the Code of Virginia states, in part: “'Cooperative' means real estate owned by an association, each of the members of which is entitled, by virtue of his ownership interest in the association, to exclusive possession of a unit.” “'Unit' means a physical portion of the cooperative designated for separate occupancy under a proprietary lease.”

During development of the regulation, the Board responded to public comment on this issue by indicating the phrase refers to “…lots or units that have been incorporated into the community by way of the recorded governing documents for the community, or any recorded amendments to such governing documents.”

Based on the above, it appears that the terms “lot” and “unit” refer to the real estate in a development that is designated for individual ownership and use. Once the provisions of the declaration become applicable to a lot or unit and any owner of the lot or unit, through recording of the declaration or an amendment to the recorded declaration, the lot or unit becomes subject to the declaration.

III. Board Guidance

The Board provides the following interpretative guidance: “The phrase ‘lots or units subject to the declaration’ as used in 18VAC48-60-60 means any lots or units in a development to which the provisions of the recorded declaration, as amended, for the common interest community are applicable.”

Guidance Document: Common Interest Community Association Registration.

I. Background

18VAC48-60-60 sets the application and renewal fee schedule for common interest community associations.

This section details:

The following fee schedule is based upon the number of lots or units subject to the declaration for each association. Each association filing its first annual report shall also pay the assessment required by § 54.1-2354.5 B of the Code of Virginia.

Number of Lots or Units | Registration Fee | Renewal Fee 1 - 50 | $45 | $30 51 - 100 | $65 | $50 101 - 200 | $100 | $80 201 - 500 | $135 | $115 501 - 1000 | $145 | $130 1001 - 5000 | $165 | $150 5001+ | $180 | $170

Guidance Document Common Interest Community Association Registration - Interpretive Guidance for 18VAC48-60-60 Adopted September 23, 2021 Page 2 of 4

II. Issues/Concerns

The Board received inquiries about the meaning of “lots or units subject to the declaration.”

Filing an annual report requires understanding “lots or units subject to the declaration” to ensure accuracy and correct fees.

Section 54.1-2345 of the Code of Virginia states, in part: “'Common interest community' means real estate subject to a declaration containing lots, at least some of which are residential or occupied for recreational purposes, and common areas to which a person, by virtue of the person's ownership of a lot subject to that declaration, is a member of the association and is obligated to pay assessments of common expenses…” (emphasis added)

“Declaration” is any recorded instrument that imposes maintenance responsibilities or authorizes assessments on lots, owners, or the association for common areas or services.

“Declaration” includes amendments or supplements.

“Lot” means a separately owned or occupied parcel shown on a recorded subdivision plat or a unit in a condominium or cooperative, excluding common areas.

Section 55.1-1800 of the Code of Virginia states, in part: “'Development' means real property located within the Commonwealth subject to a declaration which contains both lots, at least some of which are residential or are occupied for recreational purposes, and common areas with respect to which any person, by virtue of ownership of a lot, is a member of an association and is obligated to pay assessments provided for in a declaration.”

Section 55.1-1900 of the Code of Virginia states, in part: “'Condominium' means real property, and any incidents to or interests in such real property, lawfully subject to this chapter by the recordation of condominium instruments pursuant to the provisions of this chapter.” “'Unit' means a portion of the condominium designed and intended for individual ownership and use.”

Section 55.1-2100 of the Code of Virginia states, in part: “'Cooperative' means real estate owned by an association, each of the members of which is entitled, by virtue of his ownership interest in the association, to exclusive possession of a unit.” “'Unit' means a physical portion of the cooperative designated for separate occupancy under a proprietary lease.”

The Board clarified that “lots or units subject to the declaration” refers to those incorporated into the community via recorded governing documents or amendments.

“Lot” and “unit” refer to real estate designated for individual ownership; once the declaration or its amendment applies, the lot or unit becomes subject to it.

III. Board Guidance

The Board provides the following interpretative guidance: “The phrase ‘lots or units subject to the declaration’ as used in 18VAC48-60-60 means any lots or units in a development to which the provisions of the recorded declaration, as amended, for the common interest community are applicable.”

Common Interest Community Board Guidance Document: Evidence of Proper Fidelity Bond or Dishonesty Insurance and Sufficient Coverage Obtained by CIC Manager Applicant

Adopted March 2, 2010

Introduction

As a condition for licensure, applicants for a Common Interest Community Manager license shall submit evidence of a blanket fidelity bond or employee dishonesty insurance policy that insures the Common Interest Community Manager against losses resulting from theft or dishonesty committed by the officers, directors, and persons employed by the Common Interest Community Manager.

The bond or insurance policy shall also include coverage for losses of clients of the Common Interest Community Manager resulting from theft or dishonesty committed by the officers, directors, and persons employed by the Common Interest Community Manager.

Coverage Requirements

The bond or insurance policy shall provide coverage in an amount equal to the lesser of $2 million or the highest aggregate amount of the operating and reserve balances of all associations under the control of the Common Interest Community Manager during the prior fiscal year.

The minimum coverage amount shall be $10,000.

The surety company or insurance company shall be authorized to do business in Virginia.

Documentation Submission

To fulfill the blanket fidelity bond or employee dishonesty insurance requirement, applicants for Common Interest Community Manager shall submit evidence that proper and sufficient coverage has been obtained to comply with § 54.1-2346(D) of the Code of Virginia.

The name of the surety company or insurance carrier; The dollar amount of the bond or insurance policy; A description of coverage as it applies to the requirements of § 54.1-2346(D); and The expiration date of the bond or insurance policy.

Staff may require a certified statement from the surety company or insurance carrier that the applicant has sufficient coverage to comply with § 54.1-2346(D) of the Code of Virginia.

Common Interest Community Board Guidance Document: Evidence of Proper Fidelity Bond or Dishonesty Insurance and Sufficient Coverage Obtained by CIC Manager Applicant

Adopted March 2, 2010

Introduction

As a condition for licensure, applicants for a Common Interest Community Manager license shall submit evidence of a blanket fidelity bond or employee dishonesty insurance policy that insures the Common Interest Community Manager against losses resulting from theft or dishonesty committed by the officers, directors, and persons employed by the Common Interest Community Manager.

The bond or insurance policy shall also include coverage for losses of clients of the Common Interest Community Manager resulting from theft or dishonesty committed by the officers, directors, and persons employed by the Common Interest Community Manager.

Coverage Requirements

The bond or insurance policy shall provide coverage in an amount equal to the lesser of $2 million or the highest aggregate amount of the operating and reserve balances of all associations under the control of the Common Interest Community Manager during the prior fiscal year.

The minimum coverage amount shall be $10,000.

The surety company or insurance company shall be authorized to do business in Virginia.

Documentation Submission

To fulfill the blanket fidelity bond or employee dishonesty insurance requirement, applicants for Common Interest Community Manager shall submit evidence that proper and sufficient coverage has been obtained to comply with § 54.1-2346(D) of the Code of Virginia.

The name of the surety company or insurance carrier; The dollar amount of the bond or insurance policy; A description of coverage as it applies to the requirements of § 54.1-2346(D); and The expiration date of the bond or insurance policy.

Staff may require a certified statement from the surety company or insurance carrier that the applicant has sufficient coverage to comply with § 54.1-2346(D) of the Code of Virginia.

The Waterworks and Wastewater Works Operator Licensing Regulations effective April 1, 2017, includes a requirement that a minimum of five contact hours of the total 20 hours of CPE required pertain to utility management. Class 1 and Class 2 Waterworks and Wastewater Works Operators (see 18VAC160-30-200 and 18VAC160-30-210).

Board staff received inquiries from licensees regarding whether the 5 hours of CPE in utility management would be be applicable during the current license cycle, since some licensees have already completed their CPE for the current license cycle.

At its meeting on April 20, 2017, the Board voted to not require Class 1 and 2 waterworks and wastewater works operators to complete CPE pertaining to utilities management until the next license cycle (beginning March 1, 2018 for wastewater works operators and March 1, 2019 for waterworks operators).

However, if a Class 1 or 2 waterworks or wastewater works operator does complete a minimum of five hours of CPE during the current license cycle, it will be acceptable toward the licensee meeting the CPE requirements.

Effective April 1, 2017, the Waterworks and Wastewater Works Operator Licensing Regulations require at least 5 of 20 CPE hours to cover utility management for Class 1 and 2 operators (see 18VAC160-30-200 and 18VAC160-30-210).

Board staff received inquiries about whether the 5 hours of utility management CPE apply during the current license cycle, as some licensees have already completed their CPE.

On April 20, 2017, the Board decided that Class 1 and 2 waterworks and wastewater operators are not required to complete utility management CPE until the next license cycle (starting March 1, 2018 for wastewater and March 1, 2019 for waterworks).

If a Class 1 or 2 waterworks or wastewater operator completes at least 5 hours of CPE during the current cycle, it will count toward the requirements.

I. Background

The requirements in subsection 1, 3, and 5 require completion of 100, 50, and 250 home inspections, respectively.

Under the certification program, a self-employed home inspector could satisfy this requirement by submitting an experience verification form signed by the applicant along with a list of addresses.

The home inspector program transitioned from a voluntary certification program to a mandatory licensure program on July 1, 2017.

One of the Board’s responsibilities is to ensure that the applicant has met the minimum requirements for licensure and is minimally competent, and the criteria for proof of home inspections as explained above for the certification program does not seem adequate.

Under the certification program, there was no criteria as to what had to be contained on the list of home inspections completed, and there was no independent verification by a third party.

After researching other states with home inspector regulatory programs whose entry requirements included home inspection experience, nearly all of the programs required specific information be provided on the list of home inspections and required third-party verification.

Pursuant to the regulatory amendment effective July 1, 2017, the experience form has been revised to require a signature from either:

1. the home inspector providing direct supervision, if applicable, or ; 2. a licensed home inspector, client, or an independent verifier (i.e., real estate professional, building official, etc.) who can verify the applicant’s work experience for self-employed home inspectors who completed inspections prior to July 1, 2017.

To ensure consistency in the application of the regulations and to serve as guidance to staff and applicants, the Board adopts the following policy:

• Name of home inspector ; • Date home inspection was performed; • Client name; • Client e-mail and/or phone number; • Address of home inspection; and • Signature of home inspector at the bottom of each page of the home inspection log.

Board staff is also authorized to make further inquiries and investigations with respect to the applicant’s qualifications to confirm or amplify information supplied in accordance with 18VAC15-40-25.B of the Board’s regulations.

I. Background

Subsections 1, 3, and 5 require completing 100, 50, and 250 home inspections, respectively.

Under the certification program, a self-employed home inspector could satisfy this requirement by submitting an experience verification form signed by the applicant along with a list of addresses.

The home inspector program became mandatory licensure on July 1, 2017.

The Board must ensure applicants meet minimum licensure requirements and are competent; the previous proof criteria for home inspections in the certification program appear inadequate.

The certification program lacked specific requirements for the inspection list and did not require third-party verification.

After researching other states with home inspector regulatory programs whose entry requirements included home inspection experience, nearly all of the programs required specific information be provided on the list of home inspections and required third-party verification.

Pursuant to the regulatory amendment effective July 1, 2017, the experience form has been revised to require a signature from either:

1. the home inspector providing direct supervision, if applicable, or ; 2. a licensed home inspector, client, or an independent verifier (i.e., real estate professional, building official, etc.) who can verify the applicant’s work experience for self-employed home inspectors who completed inspections prior to July 1, 2017.

To ensure consistency in the application of the regulations and to serve as guidance to staff and applicants, the Board adopts the following policy:

• Name of home inspector ; • Date home inspection was performed; • Client name; • Client e-mail and/or phone number; • Address of home inspection; and • Signature of home inspector at the bottom of each page of the home inspection log.

Board staff may conduct further inquiries or investigations to verify or clarify applicant qualifications per 18VAC15-40-25.B.

Real Estate Appraiser Board Guidance Document re: Signing any Appraisal Report

Adopted February 21, 2006

1. When signing a pre-printed appraisal report, appraiser trainees shall sign their name in the following manner: John Doe, Appraiser Trainee. Their license number must be indicated on the line marked State License #.

Section 18 VAC 130-20-10 of the Regulations of the Board, defines appraiser trainee as “an individual who is licensed as an appraiser trainee to appraise those properties which the supervising appraiser is permitted to appraise.”

2. Unlicensed Trainees and Signatures

The Board recognizes that there are unlicensed trainees. While an unlicensed individual may sign an appraisal report, § 54.1-2009 of the Code of Virginia, prohibits an unlicensed individual from using the terms “appraiser” or “appraisal”.

Unlicensed trainees shall sign their name in the following manner: John Doe, Unlicensed Trainee. Failing to include a license number will further notify users and reviewers of the report that they are not licensed.

3. Submission Requirements and Disciplinary Actions

All appraisal reports submitted to the Board that were completed after June 1, 2006, shall adhere to the above requirements. Reports submitted in violation of these requirements shall subject the supervising appraiser to disciplinary action by the Board.

Refer to the Real Estate Appraiser Board Guidance Document on signing appraisal reports.

Adopted February 21, 2006..

1. When signing a pre-printed appraisal report, appraiser trainees shall sign their name in the following manner: John Doe, Appraiser Trainee. Their license number must be indicated on the line marked State License #.

Section 18 VAC 130-20-10 of the Regulations of the Board, defines appraiser trainee as “an individual who is licensed as an appraiser trainee to appraise those properties which the supervising appraiser is permitted to appraise.”

Unlicensed Trainees and Signatures

The Board recognizes that there are unlicensed trainees. While an unlicensed individual may sign an appraisal report, § 54.1-2009 of the Code of Virginia, prohibits an unlicensed individual from using the terms “appraiser” or “appraisal”.

Unlicensed trainees shall sign their name in the following manner: John Doe, Unlicensed Trainee. Failing to include a license number will further notify users and reviewers of the report that they are not licensed.

Submission Requirements and Disciplinary Actions

All reports after June 1, 2006, must follow these requirements; violations may lead to disciplinary action against the supervising appraiser.

I. Background

Prior to July 1, 2018, an onsite sewage system installer license from the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals ( WWWOOSSP Board ), along with a construction permit from the Virginia Department of Health, was required to perform certain repairs

1. to an onsite sewage system, including replacement of sewer lines, conveyance lines, distribution boxes, and header lines.

While work considered repairs are limited to licensed installers working under a contractor’s license with the SDS specialty, licensed onsite sewage system operators perform maintenance on onsite sewage systems and are not required to work under a contractor’s license.

During the 2018 General Assembly Session, § 32.1-163 of the Health Code was amended to define “maintenance” as follows:

1. Section 12VAC5-620-10 of the regulations under VDH defines “repair” as “the construction or replacement of all or parts of a sewage disposal system or private well to correct a failing, damaged, or improperly functioning system or well when such construction or replacement is required by the board's regulations”.

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.

Guidance Document Board for Contractors Page 2 of 3

"Maintenance" means, unless otherwise provided in local ordinance, (i) performing adjustments to equipment and controls and/or (ii) in-kind replacement of normal wear and tear parts that do not require a construction permit for adjustment or replacement of the component such as light bulbs, fuses, filters, pumps, motors, sewer lines, conveyance lines, distribution boxes, header lines, or other like components.

"Maintenance" includes pumping the tanks or cleaning the building sewer on a periodic basis.

Maintenance Notwithstanding any local ordinance, “maintenance” shall does not include replacement of tanks, drainfield piping, distribution boxes, subsurface drainfields, or work requiring a construction permit and installer.

Unless otherwise prohibited by local ordinance, a conventional onsite sewage system installer or an alternative onsite sewage system installer may perform maintenance work limited to in-kind replacement of light bulbs, fuses, filters, pumps, sewer lines, conveyance lines, distribution boxes, and header lines.

The definition of “maintenance” in the WWWOOSSP Board’s Regulations tracks to conform to the definition of “maintenance” in the Health Code. Therefore, 18VAC160-40-10 of the WWWOOSSP Board’s regulations was amended effective September 19, 2018, to reflect the above definition of “maintenance”.

II. Issue

With the change in definition, an operator is now permitted to perform replacement of sewer lines, conveyance lines, distribution boxes, and header lines, and a construction permit for repair is no longer required.

Keeping in mind an onsite sewage system operator whose work experience is solely performing maintenance on onsite sewage systems would not qualify for a contractor’s license, there has been confusion regarding whether the work still requires a contractor’s license.

Section 54.1-1100 of the Code of Virginia includes the following definition:

"’Contractor" means any person, that for a fixed price, commission, fee, or percentage undertakes to bid upon, or accepts, or offers to accept, orders or contracts for performing, managing, or superintending in whole or in part, the construction, removal, repair or improvement
— emphasis added —
of any building or structure permanently annexed to real property owned, controlled, or leased by him or another person or any other improvements to such real property. For purposes of this chapter, "improvement" shall include (i) remediation, cleanup, or containment of premises to remove contaminants or (ii) site work necessary to make certain real property usable for human occupancy according to the guidelines established pursuant to § 32.1-11.7.

III. Board Guidance

As a result of the above changes to the WWWOOSSP Board regulations and Code of Virginia, the Board for Contractors adopts the following guidance:

For onsite sewage system work only, the Board will consider the definition of “maintenance” in 18VAC160-40-10 and § 32.1-163 of the Code of Virginia as it pertains to the type of work that would not require a contractor’s license with the SDS specialty.

However, any other regulated work (i.e., contracting, installations and repairs, or operations and maintenance) performed by the individual or contractor must be done in compliance with Chapters 11 and 23 of Title 54.1 of the Code of Virginia as applicable.

I. Background

Prior to July 1, 2018, an onsite sewage system installer license from the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals ( WWWOOSSP Board ), along with a construction permit from the Virginia Department of Health, was required to perform certain repairs

1. to an onsite sewage system, including replacement of sewer lines, conveyance lines, distribution boxes, and header lines.

Repairs are limited to licensed installers under a contractor’s license with the SDS specialty, while licensed onsite sewage system operators perform maintenance without needing a contractor’s license.

During the 2018 General Assembly, § 32.1-163 of the Health Code was amended to define “maintenance”:

Section 12VAC5-620-10 of VDH regulations defines “repair” as construction or replacement of parts of a sewage system or well to correct failure or damage when required by the board's regulations.

Per § 2.2-4002.1 of the Code of Virginia, this guidance document conforms to the definition in § 2.2-4101.

Guidance Document Board for Contractors Page 2 of 3

“Maintenance,” unless local ordinance states otherwise, includes adjustments to equipment and in-kind replacement of parts like light bulbs, fuses, filters, pumps, motors, sewer lines, conveyance lines, distribution boxes, header lines, or similar components that do not require a construction permit.

“Maintenance” also includes periodic tank pumping and sewer cleaning.

Regardless of local ordinance, “maintenance” does not include replacing tanks, drainfield piping, distribution boxes, subsurface drainfields, or work requiring a construction permit and installer.

Unless local ordinance prohibits, a licensed onsite sewage system installer may perform in-kind replacement of light bulbs, fuses, filters, pumps, sewer lines, conveyance lines, distribution boxes, and header lines.

The WWWOOSSP Board’s “maintenance” definition aligns with the Health Code, and 18VAC160-40-10 was amended effective September 19, 2018, to reflect this.

II. Issue

This change allows operators to replace sewer lines, conveyance lines, distribution boxes, and header lines without a repair construction permit.

Operators with only maintenance experience do not qualify for a contractor’s license, causing confusion about licensing requirements for maintenance work.

Section 54.1-1100 of the Code of Virginia defines:

"’Contractor" means any person, that for a fixed price, commission, fee, or percentage undertakes to bid upon, or accepts, or offers to accept, orders or contracts for performing, managing, or superintending in whole or in part, the construction, removal, repair or improvement
— emphasis added —
of any building or structure permanently annexed to real property owned, controlled, or leased by him or another person or any other improvements to such real property. For purposes of this chapter, "improvement" shall include (i) remediation, cleanup, or containment of premises to remove contaminants or (ii) site work necessary to make certain real property usable for human occupancy according to the guidelines established pursuant to § 32.1-11.7.

III. Board Guidance

Due to the changes in regulations and the Code, the Board for Contractors adopts this guidance:

For onsite sewage system work only, the Board considers “maintenance” as defined in 18VAC160-40-10 and § 32.1-163 of the Code as not requiring a contractor’s license with the SDS specialty.

Any other regulated work, including contracting, installation, repair, or operations and maintenance, must comply with Chapters 11 and 23 of Title 54.1 of the Virginia Code.

Common Interest Community Board Guidance Document: Procedure for Determination of Compliance with § 55.1 -2220 and § 55.1 -2234

Adopted October 26, 2009

Revised September 3, 2020

Effective December 10, 2020

The CIC Board has the obligation pursuant to § 55.1 -2230 (B) upon request of an aggrieved owner to render a determination whether compliance with §§ 55.1 - 2220 or 55.1 -2234 has occurred. The following are guidelines for handling the determination request.

Procedural Steps

1. Upon receipt of a complaint for which the Ombudsman concludes there is a Request for a Determination, the file will be set up in the name of the Board and the aggrieved owner. The Ombudsman will send the file to the Executive Director of the CIC Board or designated staff person (“Board staff”). 2. Board staff will request the aggrieved owner provide all written documentation that owner wishes the Board to consider regarding the Request for Determination. Board staff may supplement the written information with other information in possession of Department. Board staff shall collect all relevant documentation which shall constitute the Request for Determination Record (“Determination Record”). 3. If the determination request pertains to compliance with § 55.1 -2220 (escrow of deposits), Board staff shall research to determine if the bond or letter of credit filed with the Board to protect all escrowed deposits is current and valid. 4. If the determination request pertains to compliance with § 55.1 -2234 (developer’s obligation to complete), Board staff shall review the most recently filed public offering statement for language regarding the Guidance Document Procedure for Determination of Compliance with § 55.1 -2220 and § 55.1 -2234. Adopted October 26, 2009 (Revised September 3, 2020). Completion of the units; determine if a payment and performance bond was filed with the Board to ensure completion of all promised and incomplete units and common elements; and determine if the Board was notified by the developer of any of the causes identified in § 55.1 -2234 (A) which may have delayed, hindered, or prevented completion. 5. Board staff will place the Request for Determination and associated Determination Record on the next available Board agenda. 6. The Board will consider the matter at a full Board meeting and determine, based on the Determination Record, whether the information supports a determination that compliance has occurred.

Common Interest Community Board Guidance: Procedure for Determination of Compliance with §§ 55.1-2220 and 55.1-2234

Adopted October 26, 2009

Revised September 3, 2020

Effective December 10, 2020

The CIC Board has the obligation pursuant to § 55.1 -2230 (B) upon request of an aggrieved owner to render a determination whether compliance with §§ 55.1 - 2220 or 55.1 -2234 has occurred. The following are guidelines for handling the determination request.

Procedural Steps

1. Upon receipt of a complaint for which the Ombudsman concludes there is a Request for a Determination, the file will be set up in the name of the Board and the aggrieved owner. The Ombudsman will send the file to the Executive Director of the CIC Board or designated staff person (“Board staff”). 2. Board staff will request the aggrieved owner provide all written documentation that owner wishes the Board to consider regarding the Request for Determination. Board staff may supplement the written information with other information in possession of Department. Board staff shall collect all relevant documentation which shall constitute the Request for Determination Record (“Determination Record”). 3. If the determination request pertains to compliance with § 55.1 -2220 (escrow of deposits), Board staff shall research to determine if the bond or letter of credit filed with the Board to protect all escrowed deposits is current and valid. 4. If the determination request pertains to compliance with § 55.1 -2234 (developer’s obligation to complete), Board staff shall review the most recently filed public offering statement for language regarding the Guidance Document Procedure for Determination of Compliance with § 55.1 -2220 and § 55.1 -2234. Adopted October 26, 2009 (Revised September 3, 2020). Completion of the units; determine if a payment and performance bond was filed with the Board to ensure completion of all promised and incomplete units and common elements; and determine if the Board was notified by the developer of any of the causes identified in § 55.1 -2234 (A) which may have delayed, hindered, or prevented completion. 5. Board staff will place the Request for Determination and associated Determination Record on the next available Board agenda. 6. The Board will consider the matter at a full Board meeting and determine, based on the Determination Record, whether the information supports a determination that compliance has occurred.

To: Regulants & Other Members of the Public

From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APEL SCIDL A 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

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.

§ 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) and 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.

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; 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 does not meet each of the three criteria in Section A, the entire 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.

§ 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:

1. Does the location/source of the wastewater come from a structure that is primarily a residence? 2. Is the accessory use incidental and subordinate to the primary residence? 3. 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.

To: Regulants and the Public

From: Virginia Board for Architects, Engineers, Land Surveyors, Interior Designers, and Landscape Architects (APEL SCIDL A Board)

Date: December 15, 2011; revised: March 17, 2015, June 13, 2016

Re: Onsite Sewage Systems Designed by PE’s and Onsite Soil Evaluators

This document clarifies requirements for onsite sewage system designs by licensed PEs or onsite soil evaluators.

All systems consist of both the treatment and dispersal components.

§ 54.1-406 of the Code of Virginia requires a license to practice engineering unless exempted by §§ 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) and 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.

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; 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.

If all three criteria are met, a licensed onsite soil evaluator may design the system without a PE license.

If any condition is unmet, the entire system must be designed by a licensed PE.

Systems not meeting all three criteria must be designed by a licensed PE, who is responsible for the entire system, not just components.

Soil evaluators are responsible for their work; PEs are responsible for their work based on soil evaluations.

The PE must sign and seal the entire system if the onsite soil evaluator no longer qualifies for the exemption in § 54.1-402(A)(11).

Systems meeting all three criteria may be designed by a licensed onsite soil evaluator under § 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.

§ 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.

Local zoning approval as an accessory use does not determine if wastewater is "residential" under § 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:

1. Does the location/source of the wastewater come from a structure that is primarily a residence? 2. Is the accessory use incidental and subordinate to the primary residence? 3. 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 any answer is "No," a PE must certify the wastewater is residential strength.

Only a licensed PE may perform calculations to certify wastewater as residential strength.

If criteria in Sections A and B are met, or a PE certifies wastewater as residential, a licensed onsite soil evaluator may design the system.

A PE certifying wastewater as residential must sign and seal their work.

CEMETERY BOARD | Guidance Document Financial report and report prepared by independent certified public accountant (SB 1174, Chapter 344 of the 2015 Acts of Assembly) July 1, 2015 (adopted June 16, 2015)

PURPOSE

As a means of providing information or guidance of general applicability to the public, the Cemetery Board is issuing this guidance document in order to assist its licensees in understanding the Board’s procedures for financial reporting required by §§ 54.1-2324 and 54.1-2333 of the Code of Virginia.

BACKGROUND

The following are relevant excerpts from the Cemetery Board statutes:

If the purchaser's payment is made on an installment or deferred payment basis, the cemetery company shall have the option of paying ten percent of the amount of principal in each payment received into the perpetual care trust fund.

If the cemetery company provides a grave or an above-ground crypt or niche without compensation, ten percent of the retail sales price shall be deposited within thirty days after the close of the month in which the property is provided to the consumer. § 54.1-2320. Additional deposit not required upon subsequent sale of same grave, crypt or niche.

Once the cemetery company has recovered an amount equal to its original deposit, deposits to the perpetual care trust fund shall be resumed. § 54.1-2322. Use of income from perpetual care trust fund.

Unless prior approval has been obtained from the Board or a court of competent jurisdiction, the principal of the perpetual care trust fund shall only be used for investment purposes.

B. No portion of the perpetual care trust fund shall be used to pay any personal obligation or debt of any officer or owner of the cemetery or any tax obligation incurred by the cemetery or for any purpose other than that expressly described in this section.

Nothing in this section shall be construed to limit the ability of the perpetual care trust fund trustee from paying normal operating expenses and income taxes of the trust itself, the trust being a separate legal entity. § 54.1-2325. Deposit in preneed trust required upon sale of property or services not to be delivered within 120 days.

The cemetery company shall establish a special trust fund in a Virginia trust company or trust subsidiary or a federally insured bank or savings institution doing business in the Commonwealth.

The trust shall bear the legend "Preneed Trust Account." Deposits are required to be made by the cemetery company within thirty days after the close of the month in which said receipts are paid to it.

B. If the purchaser's payment is made on an installment or deferred payment basis, the seller shall have the option of paying each payment received into the preneed trust account. § 54.1-2330. Specific funds and income to remain in preneed trust account; exception.

The net income from the preneed trust account, after payment of any appropriate trustee fees, commissions, and costs, shall remain in the account and be reinvested and compounded.

Any trustee fees, commissions, and costs in excess of income shall be paid by the cemetery company and not from the trust.

However, the trustee shall, as of the close of the cemetery company's fiscal year, upon written assurance to the trustee of a certified public accountant employed by the seller, return to the seller any income in the seller's account which, when added to the specific funds, is in excess of the current cost requirements for all undelivered property or services included in the seller's preneed burial contracts.

The seller's cost requirements shall be certified in its records by an affidavit sworn by the compliance agent and shall be determined by the seller as of the close of the cemetery company's fiscal year. § 54.1-2331. Disbursement of trust funds upon performance of contract.

The seller may in its records itemize the property or services and the consideration paid or to be paid therefor, to which the deposit requirements of this chapter apply.

In such case, the seller may, upon certification to the trustee of performance or delivery of such property or services and of the amount of specific trust funds identified in its records to such items, request disbursement of that portion of the specific funds deposited pursuant to the contract, which the trustee shall pay to the seller.

B. If the preneed contract provides for two or more persons, the seller may, at its option, designate in its records the consideration paid for each individual in the preneed burial contract.

In such case, upon performance of that portion of the contract identified to a particular individual, the seller may request, by certification in the manner described above, the disbursement of trust funds applicable to that portion of the contract, which the trustee shall pay to the seller.

SUMMARY

Perpetual Care Trust Fund

When determining the total value of the perpetual care trust fund, value shall mean value determined by cost basis.

Preneed Trust Fund

When determining the total value of the preneed trust fund, value shall mean value determined by cost basis.

Cemetery Board Guidance Document on Financial Reports by Independent CPA (SB 1174, Chapter 344, 2015 Acts of Assembly), July 1, 2015 (adopted June 16, 2015)

PURPOSE

The Cemetery Board issues this guidance to help licensees understand financial reporting procedures under §§ 54.1-2324 and 54.1-2333 of the Code of Virginia.

BACKGROUND

Relevant excerpts from Cemetery Board statutes:

Cemetery companies must deposit at least 10% of receipts from sales of graves, crypts, and niches (excluding below-ground vaults) into the perpetual care trust fund within 30 days after the month of receipt.

For installment or deferred payments, the cemetery may deposit 10% of each payment's principal into the trust fund.

If the cemetery company provides a grave or an above-ground crypt or niche without compensation, ten percent of the retail sales price shall be deposited within thirty days after the close of the month in which the property is provided to the consumer. § 54.1-2320. Additional deposit not required upon subsequent sale of same grave, crypt or niche.

If ten percent of the sales price of a grave or above-ground crypt or niche has been deposited in a perpetual care trust fund, no deposit shall be required on subsequent sales of the same grave, crypt or niche. § 54.1-2321. Recovery of original perpetual care trust fund deposit.

Once the cemetery company has deposited in the perpetual care trust fund a sum equal to twice the amount of the original deposit, exclusive of the original deposit, the trustee shall allow the cemetery company to recover its original deposit by withholding the money that would otherwise be required to be deposited in the perpetual care trust fund until the amount of the original deposit is recovered.

Once the cemetery company has recovered an amount equal to its original deposit, deposits to the perpetual care trust fund shall be resumed. § 54.1-2322. Use of income from perpetual care trust fund.

Income from the trust fund shall be used solely for cemetery care, maintenance, administration, and embellishment.

Principal may only be used for investment unless approved by the Board or court.

Trust funds cannot pay personal debts, obligations, or taxes, only for authorized purposes.

Nothing in this section shall be construed to limit the ability of the perpetual care trust fund trustee from paying normal operating expenses and income taxes of the trust itself, the trust being a separate legal entity. § 54.1-2325. Deposit in preneed trust required upon sale of property or services not to be delivered within 120 days.

Cemetery companies must deposit at least 40% of receipts from preneed property or services if delivery exceeds 120 days from payment (§ 54.1-2325).

The trust must be established in a Virginia trust company, trust subsidiary, or federally insured bank or savings institution.

The trust shall be labeled "Preneed Trust Account," with deposits due within 30 days after receipt.

B. If the purchaser's payment is made on an installment or deferred payment basis, the seller shall have the option of paying each payment received into the preneed trust account. § 54.1-2330. Specific funds and income to remain in preneed trust account; exception.

Funds remain until property is delivered or services performed.

Net income, after trustee fees and costs, remains in the account to be reinvested and compounded.

Trustee fees, commissions, and costs exceeding income are paid by the cemetery company, not from the trust.

At fiscal year-end, with CPA assurance, the trustee shall return to the seller any income exceeding current costs for undelivered property/services in the preneed contracts.

The seller's cost requirements shall be certified in its records by an affidavit sworn by the compliance agent and shall be determined by the seller as of the close of the cemetery company's fiscal year. § 54.1-2331. Disbursement of trust funds upon performance of contract.

Upon contract performance, the seller certifies the specific trust funds to the trustee for disbursement.

Seller may itemize property/services and consideration in records for deposit requirements.

Upon certification of performance/delivery, the seller can request disbursement of corresponding trust funds.

For contracts with multiple persons, the seller may designate consideration paid for each individual.

In such case, upon performance of that portion of the contract identified to a particular individual, the seller may request, by certification in the manner described above, the disbursement of trust funds applicable to that portion of the contract, which the trustee shall pay to the seller.

Summary

Perpetual Care Trust Fund

Cemetery companies must have a licensed CPA analyze their financial report, on forms prescribed by the Board, per AICPA standards, to ensure compliance with §§ 54.1-2319, 54.1-2320, 54.1-2321, and 54.1-2322.

When determining the total value of the perpetual care trust fund, value shall mean value determined by cost basis.

Preneed Trust Fund

Cemetery companies must have a licensed CPA analyze their preneed trust financial report, on forms prescribed by the Board, per AICPA standards, to ensure compliance with §§ 54.1-2325, 54.1-2330, and 54.1-2331.

Total value of the preneed trust fund is determined by cost basis (§ 54.1-2331).

Adopted September 27, 2011

Revised October 26, 2017

The Board adopts the following policy as it pertains to Onsite Sewage System Installers and the installation of non-discharging onsite sewage systems:

1. A licensed alternative onsite sewage system installer is required for the installation of nondischarging onsite sewage systems permitted by VDH, regardless of the size of the nondischarging onsite sewage system. 2. The licensed alternative onsite sewage system installer must also be a licensed contractor or work for a licensed contractor who has the SDS specialty on his contractor’s license if required by Chapter 11 of Title 54.1 of the Code of Virginia. 3. Depending on the construction and installation plans of the non-discharging onsite sewage systems (e.g., the plan includes a pumping station), the licensed contractor may be required by the Virginia Board for Contractors to have the H/H classification in addition to the SDS.

Adopted September 27, 2011

Revised October 26, 2017

The Board adopts the following policy as it pertains to Onsite Sewage System Installers and the installation of non-discharging onsite sewage systems:

1. A licensed alternative onsite sewage system installer is required for the installation of nondischarging onsite sewage systems permitted by VDH, regardless of the size of the nondischarging onsite sewage system. 2. The licensed alternative onsite sewage system installer must also be a licensed contractor or work for a licensed contractor who has the SDS specialty on his contractor’s license if required by Chapter 11 of Title 54.1 of the Code of Virginia. 3. Depending on the construction and installation plans of the non-discharging onsite sewage systems (e.g., the plan includes a pumping station), the licensed contractor may be required by the Virginia Board for Contractors to have the H/H classification in addition to the SDS.

BOARD FOR WASTE MANAGEMENT FACILITY OPERATORS APPLICATION REVIEW MATRIX CRIMINAL HISTORY

Effective May 23, 2013

Introduction or Purpose (Inferred)

The following criteria outline the types of criminal convictions that will not be reviewed by the Board in the application process for waste management facility operators.

Conviction Review Criteria

The Board will not review certain convictions based on their age, type, and circumstances as detailed below:

1. Felony Convictions

a. Felony convictions more than five years old with no subsequent reportable convictions, unless the conviction resulted in incarceration where the release date is less than three years from the application date. b. This does not include convictions involving murder, manslaughter, sexual assault, rape, robbery, indecent liberties, fraud, embezzlement, abduction, assaulting a police officer, resisting arrest, or environmental-related convictions.

2. Misdemeanor Convictions

a. Misdemeanor convictions more than three years from the date of application. b. This does not include any environmental-related convictions.

3. Misdemeanor Possession or Distribution of Controlled Substances

a. Misdemeanor convictions for possession or distribution of a controlled substance with no other convictions.

4. Felony Possession of Controlled Substances

a. Felony convictions for possession of controlled substances more than two years old, where the applicant has completed a deterrence program.

5. Traffic-Related Felony Convictions

a. Felony convictions of Title 46 of the Code of Virginia (Traffic Code) more than three years old.

6. Misdemeanor Convictions for Certain Offenses

a. Misdemeanor convictions for simple assault (except domestic assault and assaulting a police officer), disorderly conduct, and/or trespassing.

7. Larceny, Breaking and Entering, and Burglary

a. Convictions of larceny, breaking and entering, and/or burglary more than five years old with no subsequent convictions, provided they did not result in incarceration where the release date is less than three years from the application date.

8. DUI Convictions

a. DUI convictions where the applicant has completed VASAP or another similar program accepted by the court or DMV after the latest conviction. b. This does not include felony DUI convictions.

BOARD FOR WASTE MANAGEMENT FACILITY OPERATORS APPLICATION REVIEW MATRIX CRIMINAL HISTORY

Effective May 23, 2013

Introduction or Purpose (Inferred)

The following criteria outline the types of criminal convictions that will not be reviewed by the Board in the application process for waste management facility operators.

Conviction Review Criteria

The Board will not review certain convictions based on their age, type, and circumstances as detailed below:

1. Felony Convictions

a. Felony convictions more than five years old with no subsequent reportable convictions, unless the conviction resulted in incarceration where the release date is less than three years from the application date. b. This does not include convictions involving murder, manslaughter, sexual assault, rape, robbery, indecent liberties, fraud, embezzlement, abduction, assaulting a police officer, resisting arrest, or environmental-related convictions.

2. Misdemeanor Convictions

a. Misdemeanor convictions more than three years from the date of application. b. This does not include any environmental-related convictions.

3. Misdemeanor Possession or Distribution of Controlled Substances

a. Misdemeanor convictions for possession or distribution of a controlled substance with no other convictions.

4. Felony Possession of Controlled Substances

a. Felony convictions for possession of controlled substances more than two years old, where the applicant has completed a deterrence program.

5. Traffic-Related Felony Convictions

a. Felony convictions of Title 46 of the Code of Virginia (Traffic Code) more than three years old.

6. Misdemeanor Convictions for Certain Offenses

a. Misdemeanor convictions for simple assault (except domestic assault and assaulting a police officer), disorderly conduct, and/or trespassing.

7. Larceny, Breaking and Entering, and Burglary

a. Convictions of larceny, breaking and entering, and/or burglary more than five years old with no subsequent convictions, provided they did not result in incarceration where the release date is less than three years from the application date.

8. DUI Convictions

a. DUI convictions where the applicant has completed VASAP or another similar program accepted by the court or DMV after the latest conviction. b. This does not include felony DUI convictions.

Board for Barbers and Cosmetology November 17, 2014 Guidance Document : Barber and Cosmetology Endorsement - Endorsement Candidate from States Offering Only One Licensing Exam

Interpretation of whether the requirement in 18 VAC 41-20-30 that endorsement applicants must have completed a written and practical examination allows applicants from states with only one licensing exam to take the other exam in Virginia and still qualify for licensure by endorsement:

On November 17, 2014, the Board issued the following guidance:

An individual applying for licensure by endorsement under 18 VAC 41-20-30 whose state only utilizes one licensing exam (written or practical) may take the other exam (written or practical) in Virginia to qualify for endorsement.

Board for Barbers and Cosmetology November 17, 2014 Guidance Document: Barber and Cosmetology Endorsement—Candidates from states with only one licensing exam.

Interpretation of whether the requirement in 18 VAC 41-20-30 that endorsement applicants must have completed a written and practical examination allows applicants from states with only one licensing exam to take the other exam in Virginia and still qualify for licensure by endorsement:

On November 17, 2014, the Board issued guidance:

An individual applying for licensure by endorsement under 18 VAC 41-20-30 whose state only utilizes one licensing exam (written or practical) may take the other exam (written or practical) in Virginia to qualify for endorsement.

Board for Barbers and Cosmetology September 17, 2020

Interpretation of what constitutes an hour of school instruction under 18 VAC 41-20, 18 VAC 41-50, and 18 VAC 41-70.

Clock hour, as used in reference to the hours of instruction requirements established in the regulations, shall have the same meaning as "Clock hour" under State Council of Higher Education for Virginia Regulation 8 VAC 40-31-10.

“Clock (or contact) hour” means a minimum of 50 minutes of supervised or directed instruction and appropriate breaks.”

Board for Barbers and Cosmetology, September 17, 2020.

An hour of school instruction under 18 VAC 41-20, 18 VAC 41-50, and 18 VAC 41-70 is defined as a minimum of 50 minutes of supervised or directed instruction, including appropriate breaks.

In these regulations, "Clock hour" has the same meaning as in 8 VAC 40-31-10 of the State Council of Higher Education for Virginia.

A "Clock (or contact) hour" is at least 50 minutes of supervised or directed instruction, including breaks.

Application Review Matrix

BOARD FOR HEARING AID SPECIALISTS AND OPTICIANS HEARING AID SPECIALISTS AND OPTICIANS APPLICATION REVIEW MATRIX

Effective March 16, 2023

The following convictions will not be reviewed by the Board*

1. Felony convictions, unless the convictions involve sexual offense, drug distribution, physical injury, or directly involve the practice of Opticianry. 2. Misdemeanor convictions, unless the convictions involve sexual offense, drug distribution, or physical injury.

*The matrix shall not apply to applicants who are currently incarcerated.

Application Review Matrix

Board for Hearing Aid Specialists and Opticians Application Review Matrix

Effective March 16, 2023

The Board will not review the following convictions*

1. Felony convictions, unless the convictions involve sexual offense, drug distribution, physical injury, or directly involve the practice of Opticianry. 2. Misdemeanor convictions, unless the convictions involve sexual offense, drug distribution, or physical injury.

The matrix does not apply to currently incarcerated applicants.

Guidance Document : Requirement to take the Virginia Lead Law Exam Board for Asbestos, Lead, and Home Inspectors

Effective April 4, 2019

Page 1 of 2

Guidance Document: Requirement to take the Virginia Lead Law Examination

Adopted February 7, 2019

Effective April 4, 2019

I. Background

Applicants for Lead Risk Assessor, Lead Inspector, and Lead Supervisor must take the applicable discipline-specific exam.

In addition, all candidates must take the Virginia Lead Law examination.

The Virginia Lead Law exam is the same for all disciplines.

II. Issue

Pursuant to the PCS Candidate Information Bulletin for the Virginia Lead Abatement exams (attached), the Virginia Law exam is based on Chapter 5 of Title 54.1 of the Code of Virginia and the Lead-Based Paint Activities Regulations.

There have been no substantial changes related to lead abatement licensing laws and regulations since 2004 and 2003, respectively.

Currently, an individual who applies for a Lead Risk Assessor and Lead Inspector license at the same time would have to take the same Virginia Lead Law exam with each discipline-specific exam, in some instances just days apart.

III. Board Guidance

The Board voted that an individual would not be required to re-take the Virginia Lead Law exam if applying for another discipline or reapplying as a result of an expired license if that individual has taken and passed the Virginia Lead Law exam within the last three years.

However, this three-year waiver for re-taking the Virginia Lead Law examination will not be applicable in the event there are significant changes to the laws and/or regulations that result in an examination review and update.

In accordance with § 2.2-4002.1 of the Code of Virginia, a public comment forum was held from March 4, 2019, through April 3, 2019, with no comments received.

Anyone required by regulation to take a lead licensing examination, including the Virginia Lead Law exam, would have to take the Virginia Lead Law exam after the date of implementation of the updated examination regardless of when they may have previously taken the Virginia Lead Law exam.

Guidance Document: Virginia Lead Law Exam Requirement for Asbestos, Lead, and Home Inspectors

Effective April 4, 2019

Page 1 of 2

Guidance Document: Virginia Lead Law Examination Requirement

Adopted February 7, 2019

Effective April 4, 2019

I. Background

Applicants for Lead Risk Assessor, Lead Inspector, and Lead Supervisor must pass their discipline-specific exam.

All candidates must also take the Virginia Lead Law exam.

The Virginia Lead Law exam is the same for all disciplines.

II. Issue

According to the PCS Candidate Bulletin, the Virginia Law exam covers Chapter 5 of Title 54.1 of the Code of Virginia and Lead-Based Paint Activities Regulations.

There have been no major changes to lead abatement licensing laws since 2004 and regulations since 2003.

Currently, applicants for Lead Risk Assessor and Lead Inspector licenses applying simultaneously must take the same Virginia Lead Law exam for each discipline, sometimes days apart.

III. Board Guidance

The Board approved that individuals reapplying or applying for another discipline within three years of passing the Virginia Lead Law exam are not required to retake it.

This three-year waiver does not apply if significant legal or regulatory changes require exam updates.

Per § 2.2-4002.1 of the Code of Virginia, a public comment forum from March 4 to April 3, 2019, received no comments.

Anyone required to take the lead licensing exam, including the Virginia Lead Law exam, must do so after the updated exam's implementation, regardless of prior attempts.

Director’s Policy #100-17 Posting Information in Public Access Areas

Effective Date: June 8, 2017

Policy Title: Director’s Policy # 100-17 Posting Information in Public Access Areas

Document Details:

Document Code: 6445_Policy 100-17.pdf

Effective Date: 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

Approved By:

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: A photograph of the governor The pictorial history of the Department’s Directors 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.

Director’s Policy #100-17 Posting Information in Public Access Areas

Effective Date: June 8, 2017

Policy Title: Director’s Policy #100-17 Posting Information in Public Access Areas

Document Details:

Document Code: 6445_Policy 100-17.pdf

Effective Date: 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

Approved By:

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 materials produced by DPOR or other state, local, or federal authorities related to its programs may be displayed in DPOR’s public access areas.

Other items, including awards and certificates, may be displayed at the Director’s discretion.

The Communications Director shall coordinate information placement.

Nothing in this policy shall permit placement of materials in any public area DPOR shares with other building tenants.

III. DEFINITIONS

Public Access Areas

DPOR public access areas are on the fourth floor reception and sitting areas outside it, and the first floor in the 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: A photograph of the governor The pictorial history of the Department’s Directors Employee Recognition plaques and photographs

B. REQUESTS

Requests to display materials must be submitted to the Communications Director for approval.

Items produced by organizations listed in the Policy Statement, aimed at increasing public awareness or educating regulants, may be displayed.

C. REMOVAL OF INFORMATION AND MATERIALS

Information remains until outdated or for a period set by the Communications Director.

Title: Director’s Policy #100-11 Internet Website

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 online 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

The Communications Director shall oversee the Department’s website to ensure that the information on the site is professional, clear, accurate, current, and concise. Each operational unit shall designate a website liaison responsible for the accuracy of the unit’s website information. The website liaison shall consult with the Communications Director prior to submitting any substantive website changes to the Web Coordinator. 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. 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. 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

Each operational unit shall perform periodic reviews of the information on the Department’s website. 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. 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. Web content files shall be supplied in an Internet-ready form as an HTML document, Adobe Acrobat .pdf format, or graphic format such as .jpg, .gif, or .bmp. Forms and license applications shall be available in Adobe .pdf format only.

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

Information may remain on the Department’s website for as long as it is current. 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.

Title: Director’s Policy #100-11 Internet Website

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 website shall present the Department’s mission, regulations, and services to regulants and the public, providing data and online services where possible.

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 Communications Director is 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

The Communications Director shall oversee the Department’s website to ensure that the information on the site is professional, clear, accurate, current, and concise. Each operational unit shall designate a website liaison responsible for the accuracy of the unit’s website information. The website liaison shall consult with the Communications Director prior to submitting any substantive website changes to the Web Coordinator. 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. 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. 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

Each operational unit shall perform periodic reviews of the information on the Department’s website. 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. 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. Web content files shall be supplied in an Internet-ready form as an HTML document, Adobe Acrobat .pdf format, or graphic format such as .jpg, .gif, or .bmp. Forms and license applications shall be available in Adobe .pdf format only.

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

Information may remain on the Department’s website for as long as it is current. 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.

Real Estate Board Application Review Matrix

The following convictions will not be reviewed by the Board:

1. Felony convictions more than five years old unless the conviction resulted in incarceration and the release date is less than three years from the date of application. In addition, the Applicant must not be on supervised probation. This does not include convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, assaulting a police officer, identity theft, bribery, embezzlement, offenses related to mortgage loans, and offenses involving a real estate transaction or perpetrated in any way through the use of a real estate license. Further, this does not include any applicant who fails to disclose a reportable criminal conviction on his application. 2. A reportable misdemeanor conviction more than three years old unless there is a prior conviction for the same offense within the last five years. 3. Prior disciplinary violations that did not involve revocation or suspension. 4. For felony drug convictions within the past five years, the applicant must provide some evidence of satisfactorily completing substance abuse counseling when required by the court.

Real Estate Board Application Review Matrix

The following convictions will not be reviewed by the Board:

1. Felony convictions more than five years old unless the conviction resulted in incarceration and the release date is less than three years from the date of application. In addition, the Applicant must not be on supervised probation. This does not include convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, assaulting a police officer, identity theft, bribery, embezzlement, offenses related to mortgage loans, and offenses involving a real estate transaction or perpetrated in any way through the use of a real estate license. Further, this does not include any applicant who fails to disclose a reportable criminal conviction on his application. 2. A reportable misdemeanor conviction more than three years old unless there is a prior conviction for the same offense within the last five years. 3. Prior disciplinary violations that did not involve revocation or suspension. 4. For felony drug convictions within the past five years, the applicant must provide some evidence of satisfactorily completing substance abuse counseling when required by the court.

Guidance Document To: Regulants & Other Members of the Public

From: Virginia Board for Professional Soil Scientists, Wetland Professionals, and Geologists

Date: 9/1/16

Re: Wetland Professionals’ Scope of Practice

It has been brought to the Board’s attention that there may be Wetland Professionals performing boundary surveys.

The purpose of this document is to clarify the Wetland Professionals’ scope of practice.

Wetland surveys as described in 18VAC145-30-40 may be performed by a certified Wetland Professional; however, a boundary survey must be performed by a licensed Virginia Land Surveyor regulated by the Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA).

Surveys, under 18VAC145-30-40 in the regulations for Wetland Professionals, refers to wetland surveys and not land boundary surveys.

Regulations governing boundary surveys can be found in section 18VAC10-20-370 of the APELSCIDLA regulations, which addresses minimum requirements and procedures for licensed land surveyors to perform boundary surveys.

The “practice of land surveying” states in part, “…includes surveying of areas for a determination or correction, a description, the establishment or reestablishment of internal and external “land boundaries…”

The “Practice of wetland delineation” states in part, “…the delineation of wetlands by accepted principles and methods including, but not limited to, observations, investigation, and consultation on soil, vegetation, and hydrologic parameters, and preparations of wetland delineations, descriptions, reports, and interpretive drawings.”

It does not give Wetland Professionals the ability to perform boundary surveys.

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

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

[SIZE=9.96][ArialMT]Wetland Professionals do not have the authority to do boundary surveys. [SIZE=9.96][ArialMT]Boundary surveys must be performed, signed, and sealed by a licensed Land Surveyor as established in the APELSCIDLA Board’s regulations.

Guidance for Regulants & the Public

From: Virginia Board for Soil Scientists, Wetland Professionals, and Geologists

Date: 9/1/16

Re: Wetland Professionals’ Scope of Practice

The Board has been informed that some Wetland Professionals may be performing boundary surveys.

This document clarifies the scope of practice for Wetland Professionals.

Wetland surveys per 18VAC145-30-40 may be performed by certified Wetland Professionals; boundary surveys require a licensed Virginia Land Surveyor regulated by APELSCIDLA.

Under 18VAC145-30-40, surveys refer to wetland surveys, not land boundary surveys.

Boundary survey regulations are in 18VAC10-20-370 of APELSCIDLA, detailing requirements for licensed land surveyors.

The “practice of land surveying” states in part, “…includes surveying of areas for a determination or correction, a description, the establishment or reestablishment of internal and external “land boundaries…”

The “Practice of wetland delineation” states in part, “…the delineation of wetlands by accepted principles and methods including, but not limited to, observations, investigation, and consultation on soil, vegetation, and hydrologic parameters, and preparations of wetland delineations, descriptions, reports, and interpretive drawings.”

It does not give Wetland Professionals the ability to perform boundary surveys.

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

In summary:

[SIZE=9.96][ArialMT]Wetland Professionals do not have the authority to do boundary surveys. [SIZE=9.96][ArialMT]Boundary surveys must be performed, signed, and sealed by a licensed Land Surveyor as established in the APELSCIDLA Board’s regulations.

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document

Effective Date: February 6, 2014

Lead-Based Paint Activities Regulations Interpretations and Policies

18VAC15-30-166. Qualifications for renewal

August 12, 2009 - Refresher training courses must be specific to the discipline of license being renewed. Additionally, although project designers and risk assessors are required to take two initial training courses for licensure, they shall only be required to take the refresher course that directly corresponds to the discipline of the license being renewed.

February 7, 2013 - Refresher training taken within three months of the 36-month period allowed by regulation is considered in compliance with the regulation, provided that all other requirements are met.

Special consideration for Lead Inspector licensure with Lead Risk Assessor training

February 6, 2014 - Applicants for a lead inspector license may meet the training requirements of 18 VAC 15-30-52.E.4 of the Virginia Lead-Based Paint Activities Regulations by:

completion of a board-approved lead initial training course and board-approved refresher training course(s), as applicable; or completion of both a board-approved initial lead inspector training course and a board-approved initial lead risk assessor training course; completion of current board-approved lead risk assessor refresher training course(s); and a current board-approved lead inspector refresher training course, provided all other entry requirements for licensure have been met.

For renewal of a lead inspector license, all requirements for renewal, including successful completion of a board-approved inspector refresher training course, are required.

Page 1 of 1

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document

Effective Date: February 6, 2014

Lead-Based Paint Activities Regulations Interpretations and Policies

18VAC15-30-166: Qualifications for renewal

As of August 12, 2009, refresher courses must match the discipline of the license being renewed. Project designers and risk assessors need only the discipline-specific refresher course, despite requiring two initial courses for licensure.

February 7, 2013 - Refresher training taken within three months of the 36-month period allowed by regulation is considered in compliance with the regulation, provided that all other requirements are met.

Special consideration for Lead Inspector licensure with Lead Risk Assessor training

February 6, 2014 - Applicants for a lead inspector license may meet the training requirements of 18 VAC 15-30-52.E.4 of the Virginia Lead-Based Paint Activities Regulations by:

completion of a board-approved lead initial training course and board-approved refresher training course(s), as applicable; or completion of both a board-approved initial lead inspector training course and a board-approved initial lead risk assessor training course; completion of current board-approved lead risk assessor refresher training course(s); and a current board-approved lead inspector refresher training course, provided all other entry requirements for licensure have been met.

For renewal of a lead inspector license, all requirements for renewal, including successful completion of a board-approved inspector refresher training course, are required.

Page 1 of 1

Common Interest Community Board Guidance Document: Procedure for Consideration of Claims for Recovery from the Common Interest Community Management Recovery Fund

Adopted March 3, 2022 Effective April 28, 2022

I. Background

Section 54.1-2354.5 of the Code of Virginia establishes the Common Interest Community Management Recovery Fund (“the Fund”). The section states, in part:

A. There is hereby created the Common Interest Community Management Recovery Fund, referred to in this section as "the Fund," to be used in the discretion of the Board to protect the interests of associations.

Section 54.1-2354.1 of the Code of Virginia

Provides the following definitions as related to the Fund:

"Claimant" means, upon proper application to the Director, a receiver for a common interest community manager appointed pursuant to § 54.1-2353 in those cases in which there are not sufficient funds to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager or to pay an award of reasonable fees, costs, and expenses to the receiver. "Director" means the Director of the Department of Professional and Occupational Regulation.

Section 54.1-2353 of the Code of Virginia

Provides for the fiduciary obligations a common interest community manager has to associations to which it provides management services, and states, in part:

Guidance Document Procedure for Consideration of Claims for Recovery from the Common Interest Community Management Recovery Fund

Adopted March 3, 2022

A. Fiduciary Duty of Common Interest Community Managers

A common interest community manager owes a fiduciary duty to the associations to which it provides management services with respect to the manager's handling of the funds or the records of each association.

This section of the statute authorizes the Board to seek court appointment of a receiver in cases where a common interest community manager is not able to discharge its fiduciary duties, and states, in part:

C. Court Petition and Relief

If the Board has reasonable cause to believe that a common interest community manager is unable to properly discharge its fiduciary responsibilities to an association to which it provides management services, the Board may file a petition with the circuit court of the county or city wherein the subject common interest community manager maintains an office or is doing business. The petition may seek the following relief:

(i) an injunction prohibiting the withdrawal of any bank deposits or the disposition of any other assets belonging to or subject to the control of the subject common interest community manager; (ii) the appointment of a receiver for all or part of the funds or property of the subject common interest community manager.

The section further outlines the duties of the receiver and the process for distribution of assets:

E. Receiver's Powers and Duties

The court shall describe the powers and duties of the receiver in its appointing order, which may be amended from time to time. The receiver shall, unless otherwise ordered by the court in the appointing order:

(i) prepare and file with the Board a list of all associations managed by the subject common interest community manager; (ii) notify in writing all of the associations to which the subject common interest community manager provides management services of the appointment and take whatever action the receiver deems appropriate to protect the interests of the associations until such time as the associations have had an opportunity to obtain a successor common interest community manager; (iii) facilitate the transfer of records and information to such successor common interest community manager; (iv) identify and take control of all bank accounts, including without limitation trust and operating accounts, over which the subject common interest community manager had signatory authority in connection with its management business; (v) prepare and submit an accounting of receipts and disbursements and account balances of all funds under the receiver's control for submission to the court within four months of the appointment and annually thereafter until the receivership is terminated by the court; (vi) attempt to collect any accounts receivable related to the subject common interest community manager's business; (vii) identify and attempt to recover any assets wrongly diverted from the subject common interest community manager's business, or assets acquired with funds wrongly diverted from the subject common interest community manager's business; (viii) terminate the subject common interest community manager's business; (ix) reduce to cash all of the assets of the subject common interest community manager; (x) determine the nature and amount of all claims of creditors of the subject common interest community manager, including associations to which the subject common interest community manager provided management services; (xi) prepare and file with the court a report of such assets and claims proposing a plan for the distribution of funds in the receivership to such creditors in accordance with the provisions of subsection F.

F. Distribution of Assets

Upon the court's approval of the receiver's report referenced in subsection E, at a hearing after such notice as the court may require to creditors, the receiver shall distribute the assets of the common interest community manager and funds in the receivership first to clients whose funds were or ought to have been held in a fiduciary capacity by the subject common interest community manager, then to the receiver for fees, costs, and expenses awarded pursuant to subsection G, and thereafter to the creditors of the subject common interest community manager, and then to the subject common interest community manager or its successors in interest.

H. Return of Assets

The court may determine whether any assets under the receiver's control should be returned to the subject common interest community manager. The section authorizes the receiver to make a claim against the Fund when the common interest community manager does not have sufficient funds to pay the receiver’s costs and expenses:

G. Claim Against the Fund

A receiver appointed pursuant to this section shall be entitled, upon proper application to the court in which the appointment was made, to recover an award of reasonable fees, costs, and expenses. If there are not sufficient nonfiduciary funds to pay the award, then the shortfall shall be paid by the Common Interest Community Management Recovery Fund as a cost of administering the Fund pursuant to § 54.1-2354.5, to the extent that the said Fund has funds available.

The Fund shall have a claim against the subject common interest community manager for the amount paid. The section further outlines the process for a claimant to make a claim for recovery from the Fund, in part:

H. Claim for Recovery from the Fund

A claimant may seek recovery from the Fund subject to the following conditions:

1. A claimant may file a verified claim in writing to the Director for a recovery from the Fund. 2. Upon proper application to the Director, in those cases in which there are not sufficient funds to pay an award of reasonable fees, costs, and expenses to the receiver or to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, the Director shall report to the Board the amount of any shortfall to the extent that there are not sufficient funds (i) to pay any award of fees, costs, and expenses pursuant to subsection G of § 54.1-2353 by the court appointing the receiver; or (ii) to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, as certified by the court appointing the receiver. 3. If the Board finds there has been compliance with the required conditions, the Board shall issue a directive ordering payment of the amount of such shortfall to the claimant from the Fund, provided that in no event shall such payment exceed the balance in the Fund. When the Fund balance is not sufficient to pay the aggregate amount of such shortfall, the Board shall direct that payment be applied first in satisfaction of any award of reasonable fees, costs, and expenses to the receiver and second to restore the funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager. If the Board has reason to believe that there may be additional claims against the Fund, the Board may withhold any payment from the Fund for a period of not more than one year. After such one-year period, if the aggregate of claims received exceeds the Fund balance, the Fund balance shall be prorated by the Board among the claimants and paid in the above payment order from the Fund in proportion to the amounts of claims remaining unpaid. 4. The Director shall, subject to the limitations set forth in this subsection, pay to the claimant from the Fund such amount as shall be directed by the Board upon the execution and delivery to the Director by such claimant of an assignment to the Board of the claimant's rights on its behalf and on behalf of the associations receiving distributions from the Fund against the common interest community manager to the extent that such rights were satisfied from the Fund. 5. The claimant shall be notified in writing of the findings of the Board. The Board's findings shall be considered a case decision as defined in § 2.2-4001, and judicial review of these findings shall be in accordance with § 2.2-4025 of the Administrative Process Act (§ 2.2-4000 et seq.). 6. Notwithstanding any other provision of law, the Board shall have the right to appeal a decision of any court that is contrary to any distribution recommended or authorized by it. 7. Upon payment by the Director to a claimant from the Fund as provided in this subsection, the Board shall immediately revoke the license of the common interest community manager whose actions resulted in payment from the Fund. The common interest community manager whose license was so revoked shall not be eligible to apply for a license as a common interest community manager until he has repaid in full the amount paid from the Fund on his account, plus interest at the judgment rate of interest from the date of payment from the Fund.

II. Issues/Concerns

Since the Fund was established by the General Assembly in 2008, the Department has never received a claim seeking recovery from the Fund.

Section 54.1-2354.5 of the Code of Virginia requires a claimant to file a “verified claim” in writing to the Director. However, the term “verified claim” is not defined in Chapter 23.3 of Title 54.1 of the Code of Virginia. This is in contrast to provisions in the Virginia Contractor Transaction Recovery Act (“Contractor Recovery Act”) (§ 54.1-1118 et seq. of the Code of Virginia) and Virginia Real Estate Transaction Recovery Act (“Real Estate Recovery Act”) (§ 54.1-2112 et seq. of the Code of Virginia).

The Contractor Recovery Act and the Real Estate Recovery Act each provide a definition for “verified claim.” Sections 54.1-1118 and 54.1-2112 provide, in pertinent part:

"Verified claim" means a completed application, on a form designed by the Board, the truthfulness of which has been attested to by the claimant before a notary public, along with all required supporting documentation, that has been properly received by the Department in accordance with this chapter.

Common Interest Community Board Guidance Document: Procedure for Consideration of Claims for Recovery from the Common Interest Community Management Recovery Fund

that upon “proper application” to the Director, that the Director report to the Board the amount of the shortfall “…to the extent that there are not sufficient funds (i) to pay any award of fees, costs, and expenses pursuant to subsection G of § 54.1-2353 by the court appointing the receiver; or (ii) to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, as certified by the court appointing the receiver.” However, the statute does not stipulate what information and documents must be submitted to the Director in order for a claim to be considered by the Board.

Section 54.1-1122 of the Contractor Recovery Act

states, in part: A. The claimant shall submit the following supporting documentation with the claim:

Copies of the contract with the regulant and all written change orders to the contract. If no written contract between the regulant and the claimant is available, the claimant may submit an affidavit attesting to the terms of the agreement, promise, or other contractual obligation; All pleadings or other documents filed with the court from which judgment was obtained; All orders and opinions of the court from which judgment was obtained, including the final judgment order; The transcript of the debtor's interrogatories, if conducted, or if no transcript is available, a sworn affidavit affirming that debtor's interrogatories were conducted, or evidence that debtor's interrogatories were attempted if not conducted; a description of assets of the judgment debtor disclosed in the debtor's interrogatories; and a description of all steps taken for the sale or application of those disclosed assets in whole or partial satisfaction of the judgment, or a statement why no means are legally available for the sale or application of those disclosed assets, or a statement that the value of the disclosed assets is less than the cost of levying upon and selling such assets including reasonable estimates of the fair market value of the disclosed assets and costs of levying upon selling such assets; A statement of the balance of the judgment remaining unpaid at the time the claim is submitted to the Department, and a statement that the claimant agrees to notify the Department of any additional payment that may be received in whole or partial satisfaction of the judgment during the pendency of the claim before the Board; Any other documentary evidence or exhibits the claimant wishes the Board to consider with the claim.

Further, the Contractor Recovery Act and the Real Estate Recovery Act outline a process for consideration of claims. Section 54.1-1122 of the Contractor Recovery Act states, in part: B. The Department shall promptly consider the verified claim of the claimant administratively. If the claim form is incomplete or not properly notarized, or if all required supporting documentation is not included with the claim, then the Department may provide the claimant with notice of any deficiency and an additional opportunity to submit a corrected verified claim. The burden shall be on the claimant to comply with all claim requirements and to submit the necessary documentation within 12 months of the initial claim submission.

Once the Department confirms that the verified claim is complete, it shall present such verified claim, along with a recommendation regarding payment, to the Board for the Board's consideration and shall notify the claimant of the Board's recommendation. C. The Department's and Board's consideration of the claim shall be based solely on the contents of the verified claim. Neither an informal fact-finding conference pursuant to § 2.2-4019 nor a formal hearing pursuant to § 2.2-4020 shall be required, unless requested by the claimant.

Section 54.1-2114 of the Real Estate Recovery Act

states, in part: C. The Department shall promptly consider the verified claim. If it appears that a prima facie case has been made for payment of the claim, the Department shall provide the regulant with a notice offering the opportunity to be heard at an informal fact-finding conference pursuant to § 2.2-4019 of the Administrative Process Act (§ 2.2-4000 et seq.). Such notice shall state that if the regulant does not request an informal fact-finding conference within 30 days, with three days added in instances where the notice is sent by mail, the Department shall present the claim to the Board with a recommendation to pay the verified claim.

The statute further provides that upon payment of a claim from the Fund that the Board “immediately revoke” the license of the subject common interest community manager; and bars the common interest community manager from eligibility to reapply for a license until the common interest community manager has repaid the Fund.

However, the statute is not clear as to what extent notice must be given to the common interest community manager prior to the imposition of these sanctions by the Board.

III. Board Guidance

The Board adopts a guidance document that establishes the following:

A verified claim to the Director must include the following: A completed application, on a form designed by the Board, the truthfulness of which has been attested to by the claimant before a notary public, along with all required supporting documentation. Until such time as the prescribed form has been designed, a claimant may submit a claim in writing by letter containing the required information which includes the required supporting documents; Name of the claimant; mailing address of the claimant; and other contact information for the claimant, such as telephone number or email address; Name and license number of the common interest community manager that will be the subject of the claim; The amount of the claim to include: • The amount to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager for which there were not sufficient funds. • The amount of fees, costs, and expenses awarded to the receiver by the appointing court for which there were not sufficient non-fiduciary funds; A copy of the court order appointing the receiver as described in § 54.1-2353(E) of the Code of Virginia; A copy of the receiver’s report to the court as described in § 54.1-2353(E)(xi) of the Code of Virginia; A copy of the order of the court approving the receiver’s report; A copy of the order of the court awarding fees, costs, and expenses to the receiver; An acknowledgment from the claimant that upon approval by the Board of the claim, and prior to payment of any payment of the claim, the claimant will execute and deliver to the Director an assignment to the Board of the claimant’s rights on its behalf and on behalf of the associations receiving distributions from the Fund against the common interest community manager to the extent that such rights were satisfied from the Fund.

Guidance on procedures for claims from the Common Interest Community Management Recovery Fund.

Adopted March 3, 2022 Effective April 28, 2022

I. Background

Section 54.1-2354.5 of the Code of Virginia establishes the Common Interest Community Management Recovery Fund (“the Fund”). The section states, in part:

A. There is hereby created the Common Interest Community Management Recovery Fund, referred to in this section as "the Fund," to be used in the discretion of the Board to protect the interests of associations.

Section 54.1-2354.1 of the Code of Virginia

Provides the following definitions as related to the Fund:

"Claimant" means, upon proper application to the Director, a receiver for a common interest community manager appointed pursuant to § 54.1-2353 in those cases in which there are not sufficient funds to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager or to pay an award of reasonable fees, costs, and expenses to the receiver. "Director" means the Director of the Department of Professional and Occupational Regulation.

Section 54.1-2353 of the Code of Virginia

Provides for the fiduciary obligations a common interest community manager has to associations to which it provides management services, and states, in part:

Guidance on Claims Procedure for the Recovery Fund

Adopted March 3, 2022

A. Fiduciary Duty of Community Managers

Community managers owe fiduciary duties to associations regarding funds and records.

This section of the statute authorizes the Board to seek court appointment of a receiver in cases where a common interest community manager is not able to discharge its fiduciary duties, and states, in part:

C. Court Petition and Relief

If the Board has reasonable cause to believe that a common interest community manager is unable to properly discharge its fiduciary responsibilities to an association to which it provides management services, the Board may file a petition with the circuit court of the county or city wherein the subject common interest community manager maintains an office or is doing business. The petition may seek the following relief:

(i) an injunction prohibiting the withdrawal of any bank deposits or the disposition of any other assets belonging to or subject to the control of the subject common interest community manager; (ii) the appointment of a receiver for all or part of the funds or property of the subject common interest community manager.

The section further outlines the duties of the receiver and the process for distribution of assets:

E. Receiver's Powers and Duties

The court shall describe the powers and duties of the receiver in its appointing order, which may be amended from time to time. The receiver shall, unless otherwise ordered by the court in the appointing order:

(i) prepare and file with the Board a list of all associations managed by the subject common interest community manager; (ii) notify in writing all of the associations to which the subject common interest community manager provides management services of the appointment and take whatever action the receiver deems appropriate to protect the interests of the associations until such time as the associations have had an opportunity to obtain a successor common interest community manager; (iii) facilitate the transfer of records and information to such successor common interest community manager; (iv) identify and take control of all bank accounts, including without limitation trust and operating accounts, over which the subject common interest community manager had signatory authority in connection with its management business; (v) prepare and submit an accounting of receipts and disbursements and account balances of all funds under the receiver's control for submission to the court within four months of the appointment and annually thereafter until the receivership is terminated by the court; (vi) attempt to collect any accounts receivable related to the subject common interest community manager's business; (vii) identify and attempt to recover any assets wrongly diverted from the subject common interest community manager's business, or assets acquired with funds wrongly diverted from the subject common interest community manager's business; (viii) terminate the subject common interest community manager's business; (ix) reduce to cash all of the assets of the subject common interest community manager; (x) determine the nature and amount of all claims of creditors of the subject common interest community manager, including associations to which the subject common interest community manager provided management services; (xi) prepare and file with the court a report of such assets and claims proposing a plan for the distribution of funds in the receivership to such creditors in accordance with the provisions of subsection F.

F. Distribution of Assets

Upon the court's approval of the receiver's report referenced in subsection E, at a hearing after such notice as the court may require to creditors, the receiver shall distribute the assets of the common interest community manager and funds in the receivership first to clients whose funds were or ought to have been held in a fiduciary capacity by the subject common interest community manager, then to the receiver for fees, costs, and expenses awarded pursuant to subsection G, and thereafter to the creditors of the subject common interest community manager, and then to the subject common interest community manager or its successors in interest.

H. Return of Assets

The court may determine whether any assets under the receiver's control should be returned to the subject common interest community manager. The section authorizes the receiver to make a claim against the Fund when the common interest community manager does not have sufficient funds to pay the receiver’s costs and expenses:

G. Claim Against the Fund

Receivers can recover reasonable fees and expenses from the court. If funds are insufficient, the Fund pays the shortfall per § 54.1-2354.5, if available.

The Fund shall have a claim against the subject common interest community manager for the amount paid. The section further outlines the process for a claimant to make a claim for recovery from the Fund, in part:

H. Claim for Recovery from the Fund

A claimant may seek recovery from the Fund subject to the following conditions:

1. A claimant may file a verified claim in writing to the Director for a recovery from the Fund. 2. Upon proper application to the Director, in those cases in which there are not sufficient funds to pay an award of reasonable fees, costs, and expenses to the receiver or to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, the Director shall report to the Board the amount of any shortfall to the extent that there are not sufficient funds (i) to pay any award of fees, costs, and expenses pursuant to subsection G of § 54.1-2353 by the court appointing the receiver; or (ii) to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, as certified by the court appointing the receiver. 3. If the Board finds there has been compliance with the required conditions, the Board shall issue a directive ordering payment of the amount of such shortfall to the claimant from the Fund, provided that in no event shall such payment exceed the balance in the Fund. When the Fund balance is not sufficient to pay the aggregate amount of such shortfall, the Board shall direct that payment be applied first in satisfaction of any award of reasonable fees, costs, and expenses to the receiver and second to restore the funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager. If the Board has reason to believe that there may be additional claims against the Fund, the Board may withhold any payment from the Fund for a period of not more than one year. After such one-year period, if the aggregate of claims received exceeds the Fund balance, the Fund balance shall be prorated by the Board among the claimants and paid in the above payment order from the Fund in proportion to the amounts of claims remaining unpaid. 4. The Director shall, subject to the limitations set forth in this subsection, pay to the claimant from the Fund such amount as shall be directed by the Board upon the execution and delivery to the Director by such claimant of an assignment to the Board of the claimant's rights on its behalf and on behalf of the associations receiving distributions from the Fund against the common interest community manager to the extent that such rights were satisfied from the Fund. 5. The claimant shall be notified in writing of the findings of the Board. The Board's findings shall be considered a case decision as defined in § 2.2-4001, and judicial review of these findings shall be in accordance with § 2.2-4025 of the Administrative Process Act (§ 2.2-4000 et seq.). 6. Notwithstanding any other provision of law, the Board shall have the right to appeal a decision of any court that is contrary to any distribution recommended or authorized by it. 7. Upon payment by the Director to a claimant from the Fund as provided in this subsection, the Board shall immediately revoke the license of the common interest community manager whose actions resulted in payment from the Fund. The common interest community manager whose license was so revoked shall not be eligible to apply for a license as a common interest community manager until he has repaid in full the amount paid from the Fund on his account, plus interest at the judgment rate of interest from the date of payment from the Fund.

II. Issues/Concerns

Since its 2008 establishment, the Fund has not received any claims for recovery.

Section 54.1-2354.5 requires a written verified claim to the Director, but 'verified claim' is undefined in Chapter 23.3 of Title 54.1, unlike in the Contractor Recovery Act (§ 54.1-1118) and Real Estate Recovery Act (§ 54.1-2112).

The Contractor Recovery Act and the Real Estate Recovery Act each provide a definition for “verified claim.” Sections 54.1-1118 and 54.1-2112 provide, in pertinent part:

"Verified claim" is a completed, notarized application on a Board-designed form with supporting documentation, properly received by the Department under this chapter.

Guidance on procedures for claims from the Common Interest Community Management Recovery Fund.

that upon “proper application” to the Director, that the Director report to the Board the amount of the shortfall “…to the extent that there are not sufficient funds (i) to pay any award of fees, costs, and expenses pursuant to subsection G of § 54.1-2353 by the court appointing the receiver; or (ii) to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager, as certified by the court appointing the receiver.” However, the statute does not stipulate what information and documents must be submitted to the Director in order for a claim to be considered by the Board.

Section 54.1-1122 of the Contractor Recovery Act

states, in part: A. The claimant shall submit the following supporting documentation with the claim:

Copies of the contract with the regulant and all written change orders to the contract. If no written contract between the regulant and the claimant is available, the claimant may submit an affidavit attesting to the terms of the agreement, promise, or other contractual obligation; All pleadings or other documents filed with the court from which judgment was obtained; All orders and opinions of the court from which judgment was obtained, including the final judgment order; The transcript of the debtor's interrogatories, if conducted, or if no transcript is available, a sworn affidavit affirming that debtor's interrogatories were conducted, or evidence that debtor's interrogatories were attempted if not conducted; a description of assets of the judgment debtor disclosed in the debtor's interrogatories; and a description of all steps taken for the sale or application of those disclosed assets in whole or partial satisfaction of the judgment, or a statement why no means are legally available for the sale or application of those disclosed assets, or a statement that the value of the disclosed assets is less than the cost of levying upon and selling such assets including reasonable estimates of the fair market value of the disclosed assets and costs of levying upon selling such assets; A statement of the balance of the judgment remaining unpaid at the time the claim is submitted to the Department, and a statement that the claimant agrees to notify the Department of any additional payment that may be received in whole or partial satisfaction of the judgment during the pendency of the claim before the Board; Any other documentary evidence or exhibits the claimant wishes the Board to consider with the claim.

Further, the Contractor Recovery Act and the Real Estate Recovery Act outline a process for consideration of claims. Section 54.1-1122 of the Contractor Recovery Act states, in part: B. The Department shall promptly consider the verified claim of the claimant administratively. If the claim form is incomplete or not properly notarized, or if all required supporting documentation is not included with the claim, then the Department may provide the claimant with notice of any deficiency and an additional opportunity to submit a corrected verified claim. The burden shall be on the claimant to comply with all claim requirements and to submit the necessary documentation within 12 months of the initial claim submission.

Once the Department confirms that the verified claim is complete, it shall present such verified claim, along with a recommendation regarding payment, to the Board for the Board's consideration and shall notify the claimant of the Board's recommendation. C. The Department's and Board's consideration of the claim shall be based solely on the contents of the verified claim. Neither an informal fact-finding conference pursuant to § 2.2-4019 nor a formal hearing pursuant to § 2.2-4020 shall be required, unless requested by the claimant.

Section 54.1-2114 of the Real Estate Recovery Act

states, in part: C. The Department shall promptly consider the verified claim. If it appears that a prima facie case has been made for payment of the claim, the Department shall provide the regulant with a notice offering the opportunity to be heard at an informal fact-finding conference pursuant to § 2.2-4019 of the Administrative Process Act (§ 2.2-4000 et seq.). Such notice shall state that if the regulant does not request an informal fact-finding conference within 30 days, with three days added in instances where the notice is sent by mail, the Department shall present the claim to the Board with a recommendation to pay the verified claim.

The statute states that upon paying a claim from the Fund, the Board shall immediately revoke the license of the community manager and bar reapplication until repayment of the Fund.

However, the statute is not clear as to what extent notice must be given to the common interest community manager prior to the imposition of these sanctions by the Board.

III. Board Guidance

The Board adopts a guidance document that establishes the following:

A verified claim to the Director must include the following: A completed application, on a form designed by the Board, the truthfulness of which has been attested to by the claimant before a notary public, along with all required supporting documentation. Until such time as the prescribed form has been designed, a claimant may submit a claim in writing by letter containing the required information which includes the required supporting documents; Name of the claimant; mailing address of the claimant; and other contact information for the claimant, such as telephone number or email address; Name and license number of the common interest community manager that will be the subject of the claim; The amount of the claim to include: • The amount to restore all funds that were or ought to have been held in a fiduciary capacity by the subject common interest community manager for which there were not sufficient funds. • The amount of fees, costs, and expenses awarded to the receiver by the appointing court for which there were not sufficient non-fiduciary funds; A copy of the court order appointing the receiver as described in § 54.1-2353(E) of the Code of Virginia; A copy of the receiver’s report to the court as described in § 54.1-2353(E)(xi) of the Code of Virginia; A copy of the order of the court approving the receiver’s report; A copy of the order of the court awarding fees, costs, and expenses to the receiver; An acknowledgment from the claimant that upon approval by the Board of the claim, and prior to payment of any payment of the claim, the claimant will execute and deliver to the Director an assignment to the Board of the claimant’s rights on its behalf and on behalf of the associations receiving distributions from the Fund against the common interest community manager to the extent that such rights were satisfied from the Fund.

BOARD FOR CONTRACTORS APPLICATION REVIEW MATRIX CRIMINAL HISTORY

Effective July 31, 2015

Main Content / Overview

The following convictions will not be reviewed by the Board:

1. Felony convictions more than three years old with no subsequent reportable convictions, unless the conviction resulted in incarceration where the release date is less than one year from the application date. This does not include convictions involving murder, manslaughter, sexual assault, rape, robbery, indecent liberties, fraud, embezzlement, abduction, assaulting a police officer, larceny, burglary or contractor related convictions. 2. Misdemeanor convictions more than two years from the date of application. 3. Misdemeanor convictions for possession of a controlled substance with no other convictions. 4. Felony convictions for possession of controlled substance more than two years old with no other convictions. For convictions less than two years old, if the applicant has completed a deterrence program. 5. Felony convictions of Title 46 of the Code of Virginia (Traffic Code). 6. Misdemeanor convictions for simple assault (except domestic assault and assaulting a police officer), disorderly conduct, and/or trespassing. 7. Misdemeanor DUI convictions. This does not include DUI felony convictions.

Contractors Board Criminal History Review Matrix

Effective July 31, 2015

Main Content Overview

The following convictions will not be reviewed by the Board:

1. Felony convictions more than three years old with no subsequent reportable convictions, unless the conviction resulted in incarceration where the release date is less than one year from the application date. This does not include convictions involving murder, manslaughter, sexual assault, rape, robbery, indecent liberties, fraud, embezzlement, abduction, assaulting a police officer, larceny, burglary or contractor related convictions. 2. Misdemeanor convictions more than two years from the date of application. 3. Misdemeanor convictions for possession of a controlled substance with no other convictions. 4. Felony convictions for possession of controlled substance more than two years old with no other convictions. For convictions less than two years old, if the applicant has completed a deterrence program. 5. Felony convictions of Title 46 of the Code of Virginia (Traffic Code). 6. Misdemeanor convictions for simple assault (except domestic assault and assaulting a police officer), disorderly conduct, and/or trespassing. 7. Misdemeanor DUI convictions. This does not include DUI felony convictions.

Title: Director’s Policy #100-18 Alternative Dispute Resolution

Effective: 09/25/2009

DIRECTOR’S POLICY #100-18 ALTERNATIVE DISPUTE RESOLUTION

Effective Date: September 25, 2009

Approved By :

I. PURPOSE

The Commonwealth of Virginia recognizes that a fundamental function of government is collaborative problem solving, including the fair and efficient management of conflict and resolution of disputes.

Litigation and other adversarial means of dispute resolution, while necessary at times, are costly in terms of dollars, human resources, and good will.

§§ 2.2-4115-4119 of the Code of Virginia, the Virginia Administrative Dispute Resolution Act (VADRA), establishes an alternative, non-adversarial means of addressing stakeholder concerns while minimizing the costs associated with conflict management and dispute resolution.

II. POLICY STATEMENT

The Department of Professional and Occupational Regulation is committed to utilizing stakeholder collaboration and alternative dispute resolution processes, as appropriate and as set forth in the Virginia Administrative Dispute Resolution Act, as means by which the Department and affected parties may attempt to achieve mutually-agreed upon settlements of matters in controversy without incurring the costs associated with adversarial proceedings.

The VADRA Interagency Council shall serve as a resource for consultation and guidance.

III. DEFINITIONS

Alternative Dispute Resolution (ADR)

A structured, non-adversarial approach (e.g., mediation, conciliation) to reaching a voluntary settlement between disputing parties, which is facilitated by a neutral party.

IV. RELATED DOCUMENTS

N/A

V. GENERAL PROVISIONS

A. DESIGNATION OF AGENCY DISPUTE RESOLUTION COORDINATOR

1. The Director shall designate a Dispute Resolution Coordinator (DRC) for the Department, and authorize him or her to attend DRC training provided by the VADRA Council. 2. The ADR Director may be designated as the agency Dispute Resolution Coordinator or may be asked to recommend another employee to the Director. In the event that the ADR Director does not serve as the DRC, the DRC shall report the information obtained during DRC training and meetings to the ADR Director.

B. INTEGRATION OF ADR INTO DEPARTMENT OPERATIONS

The Department shall conduct an annual review of its Strategic Plan, as well as its policies, procedures, operations, fiscal resources, and regulations to identify new opportunities for adopting collaborative practices and alternative dispute resolution processes.

C. VADRA COUNCIL

1. The Department shall cooperate with and provide assistance to the VADRA Council as requested, including providing periodic reports on the agency’s activities and any associated outcomes resulting from its efforts to promote and use collaborative practices, conflict management techniques, and alternative dispute resolution processes. 2. The Department shall acknowledge the VADRA Council as a resource for: a. training and briefing sessions b. information and technical assistance in the development and use of such practices in state government c. promoting networking among agency DRCs statewide d. coordinating and collaborating with similar initiatives in other states

Title: Director’s Policy #100-18 - Alternative Dispute Resolution

Effective: September 25, 2009

Policy #100-18: Alternative Dispute Resolution

Effective date: September 25, 2009

Approved by:

I. Purpose

Virginia recognizes collaborative problem solving, including fair conflict management and dispute resolution.

Litigation and adversarial dispute resolution are costly in money, resources, and goodwill.

§§ 2.2-4115-4119 of the Code of Virginia, the Virginia Administrative Dispute Resolution Act (VADRA), establishes an alternative, non-adversarial means of addressing stakeholder concerns while minimizing the costs associated with conflict management and dispute resolution.

II. Policy statement

The Department of Professional and Occupational Regulation commits to using stakeholder collaboration and ADR processes under VADRA to resolve disputes amicably and avoid adversarial costs.

The VADRA Interagency Council shall serve as a resource for consultation and guidance.

III. Definitions

Alternative Dispute Resolution (ADR)

A structured, non-adversarial approach (e.g., mediation, conciliation) to reaching a voluntary settlement between disputing parties, which is facilitated by a neutral party.

IV. Related documents

Not applicable

V. General provisions

A. Designation of agency Dispute Resolution Coordinator

1. The Director shall designate a Dispute Resolution Coordinator (DRC) for the Department, and authorize him or her to attend DRC training provided by the VADRA Council. 2. The ADR Director may be designated as the agency Dispute Resolution Coordinator or may be asked to recommend another employee to the Director. In the event that the ADR Director does not serve as the DRC, the DRC shall report the information obtained during DRC training and meetings to the ADR Director.

B. Integration of ADR into Department operations

The Department will annually review its Strategic Plan, policies, procedures, operations, resources, and regulations to identify opportunities for collaborative practices and ADR.

C. VADRA Council

1. The Department shall cooperate with and provide assistance to the VADRA Council as requested, including providing periodic reports on the agency’s activities and any associated outcomes resulting from its efforts to promote and use collaborative practices, conflict management techniques, and alternative dispute resolution processes. 2. The Department shall acknowledge the VADRA Council as a resource for: a. training and briefing sessions b. information and technical assistance in the development and use of such practices in state government c. promoting networking among agency DRCs statewide d. coordinating and collaborating with similar initiatives in other states

Title: 7546_Form Common Interest Community Association Resale

Common Interest Community Board

COMMON INTEREST COMMUNITY ASSOCIATION RESALE CERTIFICATE

Section 55.1-2310 of the Resale Disclosure Act in the Code of Virginia requires this standard resale certificate. The unit being purchased is in a development subject to the Virginia Condominium Act, the Virginia Property Owners’ Association Act or the Virginia Real Estate Cooperative Act.

Properties subject to these acts are considered “common interest communities” under the law and are governed by common interest community owners’ associations (“association”). Units in common interest communities are subject to the Virginia Resale Disclosure Act that requires disclosure of information about the common interest community and its association on this resale certificate.

Under the Resale Disclosure Act, the Common Interest Community Board establishes the fees that may be charged for preparation and delivery of the resale certificate. No association may collect these fees unless the association (i) is registered with the Common Interest Community Board; (ii) is current in filing the most recent annual report and fee with the Common Interest Community Board pursuant to § 55.1-1835; and (iii) provides the option to receive the resale certificate electronically.

Important Notice for Purchasers

The contract to purchase a unit in a common interest community association is a legally binding document. The purchaser may have the right to cancel the contract after receiving the resale certificate.

The purchaser is responsible for examining the information contained in and provided with this resale certificate. The purchaser may request an update of the resale certificate from the association.

Resale Certificate Details

Name of Development: Location of Development (County/City): Association Name: Association Address: Lot Address, Number, or Reference: Date Prepared:

The following disclosures are being made pursuant to § 55.1-2310 of the Virginia Resale Disclosure Act.

1. Contact information: ᄏ Contact information for the preparer of the resale certificate and any managing agent is attached. See Appendix 1. 2. Governing documents and any rules and regulations: ᄏ A copy of the association governing documents and rules and regulations are attached. See Appendix 2. 3. Restraints on alienation: ᄏ There ᄏ is ᄏ is not any restraint on free alienability of any of the units. See Appendix 3. 4. Association assessments: ᄏ The association levies assessments payable by the owners to the association for common expenses. See Appendix 4. 5. Association fees: ᄏ The association ᄏ does ᄏ does not charge fees to the owner of the unit. See Appendix 5. 6. Other entity or facility assessments, fees, or charges: The owner ᄏ is ᄏ is not liable to any other entity or facility for assessments, fees, or other charges due to ownership of the unit. See Appendix 6. 7. Association approved additional or special assessments: The association ᄏ does ᄏ does not have other approved additional or special assessments due and payable to the association. See Appendix 7.

The document continues with similar structured disclosures for each appendix, following the same pattern:

Appendix 1

The name, address, and phone numbers of the preparer of the resale certificate and any managing agent are required to be disclosed under § 55.1-2310.A.1. of the Resale Disclosure Act.

Preparer of the resale certificate:

Name: Company: Mailing Address: Phone Number: Email:

Managing Agent:

Name: Company: CIC Manager License No. (if applicable): Mailing Address: Phone Number: Email:

Not applicable if the association does not have a managing agent.

Appendix 2

The governing documents and any rules and regulations of the association are required to be disclosed under § 55.1-2310.A.2. of the Resale Disclosure Act.

The following are attached in this Appendix:

Association governing documents (required) Rules and regulations

Appendix 3

A statement disclosing any restraint(s) on the alienability (e.g., transfer, sale, or lease) of the unit for which the resale certificate is being issued is required under § 55.1-2310.A.3. of the Resale Disclosure Act.

Article/Section: ________________________________________________________ creates a right(s) of first refusal or other restraint(s) on free alienability of the unit. Not applicable.

Appendix 4

A statement of the amount and payment schedules of assessments and any unpaid assessments currently due and payable to the association is required under § 55.1-2310.A.4. of the Resale Disclosure Act.

The association levies assessments, payable according to the following schedule: ᄏ monthly, in the amount of $ ______________ ᄏ quarterly, in the amount of $ ______________ ᄏ periodic, ____________________, in the amount of $_____________ Current assessment due: $ Due Date: Unpaid assessments: $ The association levies an assessment in the amount of $_____________ upon transfer of a unit.

Appendix 5

A statement of any other fees due and payable by the owner of the unit is required under § 55.1-2310.A.5. of the Resale Disclosure Act.

Other fees due: $ Description Unpaid fees: $ Description Not applicable. There are no other fees due and payable by the owner of the unit.

Appendix 6

A statement of any other entity or facility to which the owner of the unit being sold may be liable for assessments, fees, or other charges due to the ownership of the unit is required under § 55.1-2310.A.6. of the Resale Disclosure Act.

Entity/Facility Name: Amount Due: Not applicable.

Appendix 7

A statement of the amount and payment schedule of any approved additional or special assessment and any unpaid approved additional or special assessment currently due and payable is required under § 55.1-2310.A.7. of the Resale Disclosure Act.

Additional or special assessment due: $ Due Date: Unpaid additional or special assessment due: $ Not applicable.

Appendix 8

A statement of any capital expenditures approved by the association for the current and succeeding fiscal years is required. [Further details follow similar structure, listing assessments, fees, expenditures, reserves, legal actions, insurance, notices, minutes, leasehold estates, occupancy limitations, restrictions, approvals, pending sales, and certifications, each with similar formatting and placeholders.]

7546_Form Common Interest Community Association Resale

Common Interest Community Board COMMON INTEREST COMMUNITY ASSOCIATION RESALE CERTIFICATE

Important Notice for Purchasers

Resale Certificate Details

Resale Disclosure Act Requirements

The following information is provided in accordance with the Resale Disclosure Act, §§ 55.1-2310.A.8. through A.28.:

Appendix 9: Capital Expenditures and Reserves

Capital expenditures approved by the association for the current and succeeding fiscal years are: • Not applicable • $__________

A statement of the amount of any reserves for capital expenditures and of any portions of those reserves designated by the association for any specified projects is required under § 55.1-2310.A.9. of the Resale Disclosure Act.

Total amount of association reserves $_________________________________________

Specific Project | Amount Designated The amount of any reserves for specified projects is contained in Appendix 12. Not applicable.

Appendix 10: Financial Statements

The most recent balance sheet and income and expense statement, if any, of the association are required to be disclosed under § 55.1-2310.A.10. of the Resale Disclosure Act.

The most recent balance sheet and income and expense statement for the association are attached. The most recent balance sheet and income and expense statement for the association are not attached.

Appendix 11: Operating Budget

The current operating budget of the association is required to be disclosed under § 55.1-2310.A.11. of the Resale Disclosure Act.

The current operating budget of the association is attached. Not applicable.

Appendix 12: Reserve Study

The current reserve study, or a summary of such study, is required to be disclosed under § 55.1-2310.A.12. of the Resale Disclosure Act.

The current reserve study of the association is attached. A summary of the current reserve study of the association is attached. Not applicable. A reserve study is not yet required.

Appendix 13: Judgments and Pending Actions

A statement of any unsatisfied judgments against the association and the nature and status of any pending actions in which the association is a party and that could have a material impact on the association, the owners, or the unit being sold are required under § 55.1-2310.A.13. of the Resale Disclosure Act.

There are unsatisfied judgments against the association or pending action(s) in which the association is a party and that could have a material impact on the association, the owners, or the unit being sold. Describe below. Not applicable.

Appendix 14: Insurance Coverage

A statement describing any insurance coverage provided by the association for the benefit of the owners, including fidelity coverage, and any other insurance coverage recommended or required to be obtained by the owners is required under § 55.1-2310.A.14. of the Resale Disclosure Act.

Insurance coverage provided by the association for the benefit of the owners, including fidelity coverage: Description of insurance • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ Any other insurance coverage recommended or required to be obtained by the owners can be found in Article/Section ________________________________________________. Not applicable.

Appendix 15: Use Restrictions and Violations

A statement as to whether the board has given or received written notice that any existing uses, occupancies, alterations, or improvements in or to the unit being sold or to the limited elements assigned thereto violate any provision of the governing documents or rules and regulations together with any copies of that notice(s) is required under § 55.1-2310.A.15. of the Resale Disclosure Act.

Written notice(s) attached. Not applicable.

Appendix 16: Environmental Violations

A statement as to whether the board has received written notice from a governmental agency of any violation of environmental, health, or building codes with respect to the unit being sold, the limited elements assigned thereto, or any other portion of the common interest community that has not been cured is required under § 55.1-2310.A.16. of the Resale Disclosure Act.

Written notice(s) attached. Not applicable.

Appendix 17: Board Meeting Minutes (Last Six Months)

A copy of any approved minutes of meetings of the board held during the last six months is required to be disclosed under § 55.1-2310.A.17. of the Resale Disclosure Act.

A copy of any approved minutes of meetings of the board held during the last six months are attached. Not applicable.

Appendix 18: Recent Association Meeting Minutes

A copy of any approved or draft minutes of the most recent association meeting is required to be disclosed under § 55.1-2310.A.18. of the Resale Disclosure Act.

A copy of any approved or draft minutes of the most recent association meeting are attached. Not applicable.

Appendix 19: Leasehold Estates

A statement of the remaining term of any leasehold estate affecting a common area or common element, as those terms are defined in §§ 55.1-1800, 55.1-1900, and 55.1-2100 in the common interest community and the provisions governing any extension or renewal of such leasehold are required under § 55.1-2310.A.19. of the Resale Disclosure Act.

Not applicable The remaining term of the leasehold estate established in the attached document(s) is ___________.

Appendix 20: Occupancy Limitations

A statement of any limitation(s) in the governing documents on the number or age of persons who may occupy a unit as a dwelling is required under § 55.1-2310.A.20. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any limitation(s) on the number or age of persons who may occupy the unit as a dwelling. Not applicable
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 21: Display Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the right of any owner to display the flag of the United States, including reasonable restrictions as to size, time, place, and manner of placement or display of such flag is required under § 55.1-2310.A.21. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the right of any owner to display the flag of the United States, including reasonable restrictions as to size, time, place, and manner of placement or display of such flag. Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 22: Solar Energy Devices

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the right of any owner to install or use solar energy collection devices on the owner’s unit or limited element is required under § 55.1-2310.A.22. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the right of any owner to install or use solar energy collection devices on the owner’s unit or limited element. Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 23: Signage Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the size, placement, or duration of display of political, for sale, or any other signs on the property is required under § 55.1-2310.A.23. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the size, placement, or duration of display of political, for sale, or any other signs on the property. Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 24: Parking and Vehicle Restrictions

A statement identifying any parking or vehicle restriction(s), limitation(s), or prohibition(s) in the governing documents or rules and regulations is required under § 55.1-2310.A.24. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any parking or vehicle restriction(s), limitation(s), or prohibition(s). Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 25: Home-Based Business Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the operation of a home-based business that otherwise complies with all applicable local ordinances is required under § 55.1-2310.A.25. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the operation of a home-based business that otherwise complies with all applicable local ordinances. Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 26: Rental Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on an owner’s ability to rent the unit is required under § 55.1-2310.A.26. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the owner’s ability to rent the unit. Not applicable.
*Include applicable reference, i.e., governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 27: Real Estate Cooperatives

In a real estate cooperative, an accountant’s statement, if any was prepared, as to the deductibility for federal income tax purposes by the owner of real estate taxes and interest paid by the association is required under § 55.1-2310.A.27. of the Resale Disclosure Act.

An accountant’s statement as to the deductibility for federal income tax purposes by the owner of real estate taxes and interest paid by the association is attached. Not applicable.

Appendix 28: Pending Sale or Encumbrance

A statement describing any pending sale or encumbrance of a common element(s) is required under § 55.1-2310.A.28. of the Resale Disclosure Act.

Any documents pertaining to a pending sale or encumbrance of a common element(s) are attached. Not applicable.

7546_Form Common Interest Community Association Resale

Common Interest Community Board

COMMON INTEREST COMMUNITY ASSOCIATION RESALE CERTIFICATE

Important Notice for Purchasers

Resale Certificate Details

Appendix 29: Project Approvals

A statement indicating any known project approvals currently in effect issued by secondary mortgage market agencies is required under § 55.1-2310.A.29. of the Resale Disclosure Act.

The common interest community is known to be currently approved (or mortgages secured by units in the common interest community are eligible for purchase) by the secondary mortgage market agencies checked below:

______________________________ ______________________________ ______________________________ ______________________________ Not applicable

Appendix 30: Certification of Filing

Certification that the association has filed with the Common Interest Community Board the annual report required by law, including the filing number assigned by the Board and the expiration date of such filing are required to be disclosed under § 55.1-2310.A.30. of the Resale Disclosure Act.

Certification that the association has filed the required annual report with the Common Interest Community Board is attached. ______________________________________________________________________________ Association Filing (Registration) number assigned by the CIC Board Filing (Registration) Expiration date

A copy of the registration issued by the Common Interest Community Board is sufficient for the certification.

Title: 7546_Form Common Interest Community Association Resale

Common Interest Community Board

Common Interest Community Association Resale Certificate

Under § 55.1-2310 of the Virginia Resale Disclosure Act, this resale certificate applies to units in developments governed by the Virginia Condominium Act, Virginia Property Owners’ Association Act, or Virginia Real Estate Cooperative Act.

Properties under these acts are “common interest communities” governed by owners’ associations, and units in these communities are subject to the Virginia Resale Disclosure Act, which requires disclosure of community and association information on this certificate.

Under the Resale Disclosure Act, the Common Interest Community Board establishes the fees that may be charged for preparation and delivery of the resale certificate. No association may collect these fees unless the association (i) is registered with the Common Interest Community Board; (ii) is current in filing the most recent annual report and fee with the Common Interest Community Board pursuant to § 55.1-1835; and (iii) provides the option to receive the resale certificate electronically.

Important Notice for Buyers

The purchase contract is legally binding, and the buyer may have the right to cancel after receiving the resale certificate.

The purchaser is responsible for examining the information contained in and provided with this resale certificate. The purchaser may request an update of the resale certificate from the association.

Resale Certificate Details

Name of Development: Location of Development (County/City): Association Name: Association Address: Lot Address, Number, or Reference: Date Prepared:

The following disclosures are being made pursuant to § 55.1-2310 of the Virginia Resale Disclosure Act.

1. Contact information: ᄏ Contact information for the preparer of the resale certificate and any managing agent is attached. See Appendix 1. 2. Governing documents and any rules and regulations: ᄏ A copy of the association governing documents and rules and regulations are attached. See Appendix 2. 3. Restraints on alienation: ᄏ There ᄏ is ᄏ is not any restraint on free alienability of any of the units. See Appendix 3. 4. Association assessments: ᄏ The association levies assessments payable by the owners to the association for common expenses. See Appendix 4. 5. Association fees: ᄏ The association ᄏ does ᄏ does not charge fees to the owner of the unit. See Appendix 5. 6. Other entity or facility assessments, fees, or charges: The owner ᄏ is ᄏ is not liable to any other entity or facility for assessments, fees, or other charges due to ownership of the unit. See Appendix 6. 7. Association approved additional or special assessments: The association ᄏ does ᄏ does not have other approved additional or special assessments due and payable to the association. See Appendix 7.

The document continues with similar structured disclosures for each appendix, following the same pattern:

Appendix 1

Under § 55.1-2310.A.1., the preparer’s and managing agent’s contact info must be disclosed.

Preparer of the resale certificate:

Name: Company: Mailing Address: Phone Number: Email:

Managing Agent:

Name: Company: CIC Manager License No. (if applicable): Mailing Address: Phone Number: Email:

Not applicable if the association does not have a managing agent.

Appendix 2

Under § 55.1-2310.A.2., governing documents and rules/regulations must be disclosed.

The following are attached in this Appendix:

Association governing documents (required) Rules and regulations

Appendix 3

A statement disclosing any restraint(s) on the alienability (e.g., transfer, sale, or lease) of the unit for which the resale certificate is being issued is required under § 55.1-2310.A.3. of the Resale Disclosure Act.

Article/Section: ________________________________________________________ creates a right(s) of first refusal or other restraint(s) on free alienability of the unit. Not applicable.

Appendix 4

A statement of the amount and payment schedules of assessments and any unpaid assessments currently due and payable to the association is required under § 55.1-2310.A.4. of the Resale Disclosure Act.

The association levies assessments, payable according to the following schedule: ᄏ monthly, in the amount of $ ______________ ᄏ quarterly, in the amount of $ ______________ ᄏ periodic, ____________________, in the amount of $_____________ Current assessment due: $ Due Date: Unpaid assessments: $ The association levies an assessment in the amount of $_____________ upon transfer of a unit.

Appendix 5

A statement of any other fees due and payable by the owner of the unit is required under § 55.1-2310.A.5. of the Resale Disclosure Act.

Other fees due: $ Description Unpaid fees: $ Description Not applicable. There are no other fees due and payable by the owner of the unit.

Appendix 6

A statement of any other entity or facility to which the owner of the unit being sold may be liable for assessments, fees, or other charges due to the ownership of the unit is required under § 55.1-2310.A.6. of the Resale Disclosure Act.

Entity/Facility Name: Amount Due: Not applicable.

Appendix 7

A statement of the amount and payment schedule of any approved additional or special assessment and any unpaid approved additional or special assessment currently due and payable is required under § 55.1-2310.A.7. of the Resale Disclosure Act.

Additional or special assessment due: $ Due Date: Unpaid additional or special assessment due: $ Not applicable.

Appendix 8

A statement of any capital expenditures approved by the association for the current and succeeding fiscal years is required. [Further details follow similar structure, listing assessments, fees, expenditures, reserves, legal actions, insurance, notices, minutes, leasehold estates, occupancy limitations, restrictions, approvals, pending sales, and certifications, each with similar formatting and placeholders.]

7546_Form Common Interest Community Association Resale

Common Interest Community Board Common Interest Community Association Resale Certificate

Important Notice for Purchasers

Resale Certificate Details

Resale Disclosure Act Requirements

The following information is provided in accordance with the Resale Disclosure Act, §§ 55.1-2310.A.8. through A.28.:

Appendix 9: Capital Expenditures and Reserves

Capital expenditures approved by the association for the current and succeeding fiscal years are: • Not applicable • $__________

Disclose total reserves for capital expenditures and any designated for specific projects per § 55.1-2310.A.9.

Total amount of association reserves $_________________________________________

Specific Project | Amount Designated The amount of any reserves for specified projects is contained in Appendix 12. Not applicable.

Appendix 10: Financial Statements

The most recent balance sheet and income and expense statement, if any, of the association are required to be disclosed under § 55.1-2310.A.10. of the Resale Disclosure Act.

The most recent balance sheet and income and expense statement for the association are attached. The most recent balance sheet and income and expense statement for the association are not attached.

Appendix 11: Operating Budget

The current operating budget of the association is required to be disclosed under § 55.1-2310.A.11. of the Resale Disclosure Act.

The current operating budget of the association is attached. Not applicable.

Appendix 12: Reserve Study

The current reserve study, or a summary of such study, is required to be disclosed under § 55.1-2310.A.12. of the Resale Disclosure Act.

The current reserve study of the association is attached. A summary of the current reserve study of the association is attached. Not applicable. A reserve study is not yet required.

Appendix 13: Judgments and Pending Actions

A statement of any unsatisfied judgments against the association and the nature and status of any pending actions in which the association is a party and that could have a material impact on the association, the owners, or the unit being sold are required under § 55.1-2310.A.13. of the Resale Disclosure Act.

There are unsatisfied judgments against the association or pending action(s) in which the association is a party and that could have a material impact on the association, the owners, or the unit being sold. Describe below. Not applicable.

Appendix 14: Insurance Coverage

A statement describing any insurance coverage provided by the association for the benefit of the owners, including fidelity coverage, and any other insurance coverage recommended or required to be obtained by the owners is required under § 55.1-2310.A.14. of the Resale Disclosure Act.

Insurance coverage provided by the association for the benefit of the owners, including fidelity coverage: Description of insurance • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ • Certificate of Insurance or other documentation attached. • See Article/Section ________________________ Any other insurance coverage recommended or required to be obtained by the owners can be found in Article/Section ________________________________________________. Not applicable.

Appendix 15: Use Restrictions and Violations

A statement as to whether the board has given or received written notice that any existing uses, occupancies, alterations, or improvements in or to the unit being sold or to the limited elements assigned thereto violate any provision of the governing documents or rules and regulations together with any copies of that notice(s) is required under § 55.1-2310.A.15. of the Resale Disclosure Act.

Written notice(s) attached. Not applicable.

Appendix 16: Environmental Violations

A statement as to whether the board has received written notice from a governmental agency of any violation of environmental, health, or building codes with respect to the unit being sold, the limited elements assigned thereto, or any other portion of the common interest community that has not been cured is required under § 55.1-2310.A.16. of the Resale Disclosure Act.

Written notice(s) attached. Not applicable.

Appendix 17: Board Meeting Minutes (Last Six Months)

A copy of any approved minutes of meetings of the board held during the last six months is required to be disclosed under § 55.1-2310.A.17. of the Resale Disclosure Act.

A copy of any approved minutes of meetings of the board held during the last six months are attached. Not applicable.

Appendix 18: Recent Association Meeting Minutes

A copy of any approved or draft minutes of the most recent association meeting is required to be disclosed under § 55.1-2310.A.18. of the Resale Disclosure Act.

A copy of any approved or draft minutes of the most recent association meeting are attached. Not applicable.

Appendix 19: Leasehold Estates

A statement of the remaining term of any leasehold estate affecting a common area or common element, as those terms are defined in §§ 55.1-1800, 55.1-1900, and 55.1-2100 in the common interest community and the provisions governing any extension or renewal of such leasehold are required under § 55.1-2310.A.19. of the Resale Disclosure Act.

Not applicable The remaining term of the leasehold estate established in the attached document(s) is ___________.

Appendix 20: Occupancy Limitations

A statement of any limitation(s) in the governing documents on the number or age of persons who may occupy a unit as a dwelling is required under § 55.1-2310.A.20. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any limitation(s) on the number or age of persons who may occupy the unit as a dwelling. Not applicable
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 21: Display Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the right of any owner to display the flag of the United States, including reasonable restrictions as to size, time, place, and manner of placement or display of such flag is required under § 55.1-2310.A.21. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the right of any owner to display the flag of the United States, including reasonable restrictions as to size, time, place, and manner of placement or display of such flag. Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 22: Solar Energy Devices

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the right of any owner to install or use solar energy collection devices on the owner’s unit or limited element is required under § 55.1-2310.A.22. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the right of any owner to install or use solar energy collection devices on the owner’s unit or limited element. Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 23: Signage Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the size, placement, or duration of display of political, for sale, or any other signs on the property is required under § 55.1-2310.A.23. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the size, placement, or duration of display of political, for sale, or any other signs on the property. Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 24: Parking and Vehicle Restrictions

A statement identifying any parking or vehicle restriction(s), limitation(s), or prohibition(s) in the governing documents or rules and regulations is required under § 55.1-2310.A.24. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any parking or vehicle restriction(s), limitation(s), or prohibition(s). Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 25: Home-Based Business Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on the operation of a home-based business that otherwise complies with all applicable local ordinances is required under § 55.1-2310.A.25. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the operation of a home-based business that otherwise complies with all applicable local ordinances. Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 26: Rental Restrictions

A statement setting forth any restriction(s), limitation(s), or prohibition(s) on an owner’s ability to rent the unit is required under § 55.1-2310.A.26. of the Resale Disclosure Act.

Article/Section __________ of the ____________________* describes any restriction(s), limitation(s), or prohibition(s) on the owner’s ability to rent the unit. Not applicable.
*Include applicable references: governing documents, rules, regulations, resolutions, architectural guidelines

Appendix 27: Real Estate Cooperatives

In a real estate cooperative, an accountant’s statement, if any was prepared, as to the deductibility for federal income tax purposes by the owner of real estate taxes and interest paid by the association is required under § 55.1-2310.A.27. of the Resale Disclosure Act.

An accountant’s statement as to the deductibility for federal income tax purposes by the owner of real estate taxes and interest paid by the association is attached. Not applicable.

Appendix 28: Pending Sale or Encumbrance

A statement describing any pending sale or encumbrance of a common element(s) is required under § 55.1-2310.A.28. of the Resale Disclosure Act.

Any documents pertaining to a pending sale or encumbrance of a common element(s) are attached. Not applicable.

7546_Form Common Interest Community Association Resale

Common Interest Community Board

Common Interest Community Association Resale Certificate

Important Notice for Purchasers

Resale Certificate Details

Appendix 29: Project Approvals

Disclose any current project approvals issued by secondary mortgage market agencies, as required by § 55.1-2310.A.29.

The common interest community is known to be currently approved (or mortgages secured by units in the common interest community are eligible for purchase) by the secondary mortgage market agencies checked below:

______________________________ ______________________________ ______________________________ ______________________________ Not applicable

Appendix 30: Certification of Filing

Certification that the association has filed with the Common Interest Community Board the annual report required by law, including the filing number assigned by the Board and the expiration date of such filing are required to be disclosed under § 55.1-2310.A.30. of the Resale Disclosure Act.

Certification that the association has filed the required annual report with the Common Interest Community Board is attached. ______________________________________________________________________________ Association Filing (Registration) number assigned by the CIC Board Filing (Registration) Expiration date

A copy of the registration from the CIC Board suffices for certification.

6256_Summary of Board Interpretations Policies and Guid.pdf

Common Interest Community Board Summary of Board Interpretations, Policies, and Guidance Documents

Updated June 9, 2022

General Board Interpretations (General)

The Board discussed providing interpretations of statutes related to its programs. The Board considered whether it would entertain requests for interpretations that go beyond those interpretations necessary to administer its programs, enforce the regulations, and make case decisions. The Board agreed by consensus to limit its review to those interpretations that fall within the scope of the Board’s authority.

Associations/Association Registration Reserve Balance

The Board discussed “reserve balance” as it is used in § 55-514.2(B) (now § 55.1-1827(B)) of the Property Owners Association Act and § 55-79.81(B) (now § 55.1-1963(B)) of the Virginia Condominium Act.

The Board agreed by consensus this would be the amount in reserves at the end of the fiscal year, plus what they plan to add to the reserve balance, plus one-fourth of the planned assessment income for the coming year.

The bond must cover the highest amount that the reserve balance could be during the year, plus one-fourth in accordance with the Code requirements.

Final Adverse Decisions and Associations with No Governing Boards

The Board discussed the applicability of the final adverse decision process to members of associations with no governing boards. This is a concern because there would be no governing board to consider complaints, thus there could be no final adverse decision.

The Board determined that these complaints would have to go through the Department’s regular complaint process and a remedy to these situations could only be handled by a change in the statute.

Applicability of the Common Interest Community Ombudsman Regulations on Solely Commercial Condominiums

The Board adopted a guidance document on September 20, 2012, regarding whether the Common Interest Community Ombudsman Regulations apply to solely commercial condominiums.

The Guidance Document is available on Town Hall.

Requests for Waiver of Filing Fee for Notice of Final Adverse Decision

The Board adopted a guidance document on September 17, 2013, regarding the waiver of filing fees for filing a Notice of Final Adverse Decision (NFAD).

The Guidance Document is available on Town Hall.

Maximum Allowable Fees

The Board adopted a guidance document on June 27, 2013, regarding specific maximum allowable fees set by the Virginia Condominium Act and Property Owners Association Act that may be charged by the preparer of disclosure packets and resale certificates.

The Guidance Document is available on Town Hall.

Bulletins on these maximum fees are also available on Town Hall.

Best Practices for Property Owners’ Associations’ Declarations

The Board adopted this document on December 10, 2015, to offer guidance on the best practices for the content of property owners’ association declarations.

Best Practices for the Content of Property Owners’ Associations’ Declarations is available on Town Hall.

Guidelines for the Development of Reserve Studies for Capital Components

The Board adopted this document on September 5, 2019, to provide guidelines for associations in the development of reserve studies for capital components.

Guidelines for the Development of Reserve Studies for Capital Components is available on Town Hall.

Common Interest Community Association Registration - Interpretive Guidance for 18VAC48-60-60

The Board adopted this document on September 23, 2021, to provide interpretive guidance regarding the meaning of the phrase "lots or units subject to the declaration" as used in 18VAC48-60-60 of the Common Interest Community Association Registration Regulations.

The Guidance Document is available on Town Hall.

CIC Manager Licensure Reserve Balance

The Board discussed “reserve balance” as referenced in Section 54.1-2346(D) of the Code of Virginia.

It was stated that the reserve balance should be calculated based on the last fiscal year, the date of the application, and the highest aggregate amount of each association managed by the Common Interest Community Manager during the last fiscal year.

The amount of the bond or insurance for the manager is to maintain maximum coverage.

Blanket Fidelity Bond or Employee Dishonesty Insurance Policy

The Board adopted a guidance document on March 2, 2010, regarding the requirement in § 54.1-2346(D) of the Code of Virginia that a Common Interest Community Manager obtain and maintain a blanket fidelity bond or employee dishonest insurance policy.

The Guidance Document is available on Town Hall.

Definition of “Employee” as Used in Statutory Exemption from Licensure

The Board adopted a guidance document on December 2, 2010, regarding the definition of “Employee” as used in § 54.1-2347(A) of the Code of Virginia.

The Guidance Document is available on Town Hall.

CIC Manager License Requirements for Association Debt Collections

The Board considered whether a common interest community manager license is required for a company that is only responsible for the collection of past-due assessments on behalf of an association.

The Board responded by referencing the definition of “management services” in § 54.1-2345 of the Code of Virginia, which includes “(iii) collecting, disbursing, or otherwise exercising dominion or control over money or other property belonging to an association.”

Thus, based on the current statutory language, a license would be required for an entity performing any of the functions in the definition of management services, unless an exemption in § 54.1-2347 of the Code of Virginia applied.

CIC Managers with Disciplinary Action as a Provisional Licensee

An applicant for a common interest community manager license who held a provisional common interest community manager license issued by the Board and had a consent order entered by the Board will not have the previous consent order adversely affect the common interest community manager license application as long as all terms of the consent order were met as stipulated in the applicable consent order.

All other requirements of the Common Interest Community Manager Regulations regarding convictions, adverse financial history, or administrative discipline are not affected by this policy statement.

Requirement to Obtain and Maintain Separate Fidelity Bond or Insurance Policy

The Board adopted a guidance document on September 20, 2012, regarding the requirement for common interest community managers to obtain and maintain a fidelity bond or employee dishonest insurance policy.

The Guidance Document is available on Town Hall.

Certified Principal/Supervisory Employee Personal Adverse Financial History

The Board adopted a guidance document on December 3, 2014, regarding what applicants for a principal/supervisory employee certificate must submit when certain personal adverse financial history is disclosed.

The Guidance Document is available on Town Hall.

CIC Management Recovery Fund Procedure for Consideration of Claims for Recovery from the Common Interest Community Management Recovery Fund

The Board adopted this document on March 3, 2022, to provide interpretive guidance regarding the procedure for submission and consideration of a verified claim for recovery from the Common Interest Community Management Recovery Fund.

The Guidance Document is available on Town Hall.

Condominium Registration Completion Bonds for Commercial Condos

The Board considered whether a commercial condominium needs to file a completion bond with the Board for incomplete common elements since commercial condominiums are exempt from registration.

It was determined that § 55-79.87 (now § 55.1-1972) does not exempt commercial condominiums from filing a completion bond and that Board staff will retain these bonds, if applicable.

Ownership of Condo Unit by POA

The Board reviewed a request for an interpretation on ownership of condominium units by a property owners association.

The Board declined to provide an interpretation as it is outside the Board’s authority.

Meaning of “Substantial Completion”

The Board considered a request to provide an interpretation of the meaning of “substantial completion.”

The Board agreed by consensus that it could not provide an interpretation on this issue as it is outside the Board’s authority.

Registration Process for Condominiums in Foreclosure

The Board discussed a recurring issue that involves the foreclosure of condominiums wherein there are unsold units. Upon learning of a condominium foreclosure (the declarant’s property has been foreclosed, not an individual unit owner’s property), staff proceeds to ascertain the current status of the condominium and, if still owned by the foreclosing entity, the future plans for the condominium in order to ensure that the registration is compliant with the Virginia Condominium Act and the Condominium Regulations.

Specifically, staff must know whether the financial institution plans to sell individual units or sell to a successor declarant. Upon learning this information, staff can then advise as to the appropriate steps to ensure the registration remains up-to-date and accurate.

The problem arises in situations wherein staff is unable to make contact with the foreclosing financial institution or does not obtain cooperation from the financial institution and it proceeds with the sale of the units.

The Board directed staff to i.) ensure that appropriate confirmation from the association is received before releasing the assessment bond or letter of credit; ii.) attempt to obtain a statement from the financial institution to determine the current status and the next course of action; and, iii.) if appropriate, prepare the registration file so that the Board can review the matter in consideration of entering a cease and desist order in accordance with § 55-79.100 (now § 55.1-1986) of the Code of Virginia if compliance is not obtained and/or sales proceed.

Declarant and Developer Control Period

1. QUESTION: Section 55-79.54(c)(3) (now § 55.1-1916(C)(3)) of the Code of Virginia includes a provision for extending the time period for expanding an expandable condominium. Section 55-79.54(d)(3) (now § 55.1-1916(D)(3)) of the Code of Virginia regarding a contractible condominium does not contain a similar provision to allow for an amendment to the declaration to extend the time to contract a contractible condominium. Does the Board take the position that such an amendment is not allowed?

BOARD RESPONSE: The statute does not address extending the time period to withdraw land; therefore, it would not be permitted. Such time period extension only applies to an expandable condominium.

2. QUESTION: The Property Owners’ Association Act (Title 55, Chapter 26 of the Code of Virginia) (now Chapter 18 of Title 55.1) does not contain a provision covering the extension of a developer control period reserved by a developer in a recorded declaration. Could an amendment adopted by two-thirds of the lot owners provide for an extension of the developer control period?

BOARD RESPONSE: The Board does not have any purview over the

extension of a developer control period in a property owners’ association as it is determined by the declaration and not the Property Owners’ Association Act.

The Board considered two questions regarding the applicability of § 55-79.58:1 (now § 55.1-1921) of the Code of Virginia to commercial condominiums and responded as follows.

1. Does the Board have the authority to regulate commercial condominiums?

The Board does have the authority to regulate commercial condominiums, except as exempt pursuant to § 55-79.87(B) (now § 55.1-1972(B)) of the Code of Virginia. 2. Does the Board accept and hold bonds posted pursuant to Virginia Code § 55-79.58:1 (now § 55.1-1921) on behalf of commercial condominium regimes?

If the declarant of a commercial condominium were to present to the Board a bond pursuant to § 55-79.58:1 (now § 55.1-1921) of the Code of Virginia, the Board would retain the bond in accordance with the Code.

Because commercial condominiums are exempt from the application requirements, and therefore are not required to submit plats, plans, and other documentation regarding the condominium, Board staff may not be able to ensure compliance with § 55-79.58:1 (now § 55.1-1921). Therefore, it may be necessary for Board staff to request such documentation to ensure the bond is in compliance.

6/27/13 Letters of Credit May Be Accepted in Lieu of Assessment Bond

The Board adopted a guidance document on June 27, 2013, regarding the requirement for a declarant to post an assessment bond for a condominium. The Guidance Document is located on Town Hall.

The declarant of a condominium must file and maintain a bond or letter of credit in favor of the unit owner’s association to insure the declarant’s assessment obligations are fulfilled.

It has been the registration practice to require that the bond or letter of credit is equal to $1,000 per unit registered (minimum of $10,000 and maximum of $100,000), regardless of whether the declarant still owns the unit.

After discussion, the Board

12/3/13 Guidance Document Summary of Board Interpretations, Policies, and Guidance Documents Last Updated on June 9, 2022 Page 7 of 8

agreed by consensus to continue the practice of requiring an assessment bond or letter of credit be filed for the total number of units registered with the Board.

The Board confirmed by consensus that the declarant is not obligated to maintain the condominium project registration, and may withdraw the registration, if the declarant is not selling units.

As part of withdrawing the registration, the declarant will be required to certify that he has no plans to sell units, will continue to pay assessments on units owned by the declarant, and that he will re-register the condominium project and meet all current entry requirements of the Code of Virginia and Board’s regulations should the declarant decide to sell units in the future.

Release of the assessment bond or letter of credit is possible with withdrawing the registration with confirmation from the unit owners association that the declarant is current in the payment of assessments.

The Board has the obligation, pursuant to § 55-382(B) (now § 55.1-2230(B)) of the Code of Virginia, upon the request of an aggrieved owner to render a determination whether compliance with §§ 55-375 and 55-386 (now §§ 55.1-2220 or 55.1-2234) has occurred.

The Board adopted procedural guidelines for handling determination requests. The determination procedure is available on Town Hall.

A program that in summary will not be sold during the visit to the resort but will be marketed to potential purchasers days after they have left the resort does not appear to meet the definition of alternative purchase.

The Board was asked for an interpretation of what exactly is required from the time-share developer in the Public Offering Statement regarding unsatisfied judgments and the status of pending lawsuits.

The Board declined to provide an interpretation as it is outside the Board’s authority in that it goes beyond an interpretation necessary to administer its programs, enforce the regulations, or make case decisions.

The Board further stated that it urges the developer and its counsel to seek full disclosure consistent with the Code of Virginia and Board’s regulations.

The Board adopted a guidance document on June 7, 2018, regarding changes to § 55-375 (now § 55.1-2220) of the Virginia Real Estate Time-Share Act resulting from legislation during the 2018 General Assembly session.

The Guidance Document is available on Town Hall.

The Board adopted a guidance document on June 7, 2018, regarding the requirements for public offering statements under § 55-374 (now § 55.1-2217) of the Virginia Real Estate Time-Share Act.

The Guidance Document is available on Town Hall.

Summary of Board Interpretations, Policies, and Guidance Documents.

Common Interest Community Board: Interpretations, Policies, and Guidance.

Updated June 9, 2022

General Board Interpretations.

The Board discussed providing interpretations of statutes related to its programs. The Board considered whether it would entertain requests for interpretations that go beyond those interpretations necessary to administer its programs, enforce the regulations, and make case decisions. The Board agreed by consensus to limit its review to those interpretations that fall within the scope of the Board’s authority.

Associations/Registration Reserve Balance.

The Board discussed “reserve balance” as used in § 55-514.2(B) (now § 55.1-1827(B)) of the Property Owners Association Act and § 55-79.81(B) (now § 55.1-1963(B)) of the Virginia Condominium Act.

The Board agreed reserve balance equals year-end reserves plus planned additions plus one-fourth of next year's assessment income.

The bond must cover the highest amount that the reserve balance could be during the year, plus one-fourth in accordance with the Code requirements.

Final Adverse Decisions and Associations Without Governing Boards.

The Board discussed applying the final adverse decision process to associations without governing boards, which lack a body to consider complaints, making final adverse decisions impossible.

The Board determined that these complaints would have to go through the Department’s regular complaint process and a remedy to these situations could only be handled by a change in the statute.

Applicability of Ombudsman Regulations to Commercial Condominiums.

On September 20, 2012, the Board adopted guidance on whether the Ombudsman Regulations apply to solely commercial condominiums.

The guidance is available on Town Hall.

Requests for Filing Fee Waivers for Final Adverse Decisions.

On September 17, 2013, the Board adopted guidance on waiving NFAD filing fees.

The guidance document is available on Town Hall.

Maximum Allowable Fees...

On June 27, 2013, the Board adopted guidance on maximum fees for disclosure packets and resale certificates under the Virginia Condominium Act and Property Owners Association Act.

The Guidance Document is available on Town Hall.

Bulletins on these maximum fees are also available on Town Hall.

Best Practices for Property Owners’ Association Declarations.

On December 10, 2015, the Board adopted guidance on best practices for association declarations.

Best Practices for the Content of Property Owners’ Associations’ Declarations is available on Town Hall.

Guidelines for Developing Reserve Studies for Capital Components.

On September 5, 2019, the Board adopted guidelines for developing reserve studies for capital components.

Guidelines for the Development of Reserve Studies for Capital Components is available on Town Hall.

Interpretive Guidance for 18VAC48-60-60 on Common Interest Community Registration.

On September 23, 2021, the Board adopted guidance on the meaning of "lots or units subject to the declaration" in 18VAC48-60-60.

The Guidance Document is available on Town Hall.

CIC Manager Licensure and Reserve Balance.

The Board discussed “reserve balance” in § 54.1-2346(D) of the Virginia Code.

Reserve balance should be based on the last fiscal year, application date, and highest aggregate managed by the CIC manager during that year.

The amount of the bond or insurance for the manager is to maintain maximum coverage.

Blanket Fidelity Bond or Employee Dishonesty Insurance Policy...

On March 2, 2010, the Board adopted guidance on § 54.1-2346(D), requiring CIC managers to maintain a fidelity bond or employee dishonesty insurance.

The Guidance Document is available on Town Hall.

Definition of “Employee” in Statutory Licensure Exemption.

On December 2, 2010, the Board adopted guidance on the definition of “Employee” in § 54.1-2347(A).

The Guidance Document is available on Town Hall.

CIC Manager License Requirements for Association Debt Collections

The Board considered if a CIC manager license is required for companies solely collecting past-due assessments.

The Board cited § 54.1-2345, which defines “management services” to include collecting, disbursing, or controlling association property, requiring a license unless exempted in § 54.1-2347.

Thus, based on the current statutory language, a license would be required for an entity performing any of the functions in the definition of management services, unless an exemption in § 54.1-2347 of the Code of Virginia applied.

CIC Managers with Disciplinary Action as a Provisional Licensee

Applicants with a provisional license and a Board consent order are not adversely affected if all terms are met.

All other requirements of the Common Interest Community Manager Regulations regarding convictions, adverse financial history, or administrative discipline are not affected by this policy statement.

Requirement to Obtain and Maintain Separate Fidelity Bond or Insurance Policy

On September 20, 2012, the Board adopted guidance on the requirement for community managers to obtain and maintain a fidelity bond or employee dishonest insurance.

The Guidance Document is available on Town Hall.

Certified Principal/Supervisory Employee Personal Adverse Financial History

On December 3, 2014, the Board adopted guidance on required submissions when applicants disclose adverse financial history.

The Guidance Document is available on Town Hall.

CIC Management Recovery Fund Procedure for Consideration of Claims for Recovery from the Common Interest Community Management Recovery Fund

On March 3, 2022, the Board adopted guidance on submitting and considering claims for recovery from the CIC Management Recovery Fund.

The Guidance Document is available on Town Hall.

Condominium Registration Completion Bonds for Commercial Condos

The Board considered if commercial condominiums must file completion bonds despite exemption from registration.

It was determined that § 55-79.87 (now § 55.1-1972) does not exempt commercial condominiums from filing a completion bond and that Board staff will retain these bonds, if applicable.

Ownership of Condo Unit by POA

The Board reviewed a request regarding ownership of condo units by a POA.

The Board declined to provide an interpretation as it is outside the Board’s authority.

Meaning of “Substantial Completion”

The Board considered interpreting “substantial completion.”

The Board agreed by consensus that it could not provide an interpretation on this issue as it is outside the Board’s authority.

Registration Process for Condominiums in Foreclosure

The Board discussed foreclosure of condominiums with unsold units. Staff will verify the status and future plans to ensure registration compliance with the Virginia Condominium Act and Regulations.

Staff must determine if the institution plans to sell units or to a successor declarant to advise on registration updates.

Problems occur if staff cannot contact or obtain cooperation from the foreclosing institution, which may proceed with sales.

The Board directed staff to i.) ensure that appropriate confirmation from the association is received before releasing the assessment bond or letter of credit; ii.) attempt to obtain a statement from the financial institution to determine the current status and the next course of action; and, iii.) if appropriate, prepare the registration file so that the Board can review the matter in consideration of entering a cease and desist order in accordance with § 55-79.100 (now § 55.1-1986) of the Code of Virginia if compliance is not obtained and/or sales proceed.

Declarant and Developer Control Period

1. Question: § 55-79.54(c)(3) (now § 55.1-1916(C)(3)) allows extension for expandable condos, but § 55-79.54(d)(3) (now § 55.1-1916(D)(3)) does not for contractible condos. Is amendments to extend a contractible condo’s time not permitted?

The statute does not permit extending the land withdrawal period; it applies only to expandable condominiums.

2. Question: The Property Owners’ Association Act (Title 55, Chapter 26, now Chapter 18 of Title 55.1) lacks provisions for extending the developer control period via amendment. Can a two-thirds lot owner amendment extend it?

BOARD RESPONSE: The Board does not have any purview over the

extension of a developer control period in a property owners’ association as it is determined by the declaration and not the Property Owners’ Association Act.

The Board considered two questions regarding the applicability of § 55-79.58:1 (now § 55.1-1921) of the Code of Virginia to commercial condominiums and responded as follows.

1. Does the Board have the authority to regulate commercial condominiums?

The Board does have the authority to regulate commercial condominiums, except as exempt pursuant to § 55-79.87(B) (now § 55.1-1972(B)) of the Code of Virginia. 2. Does the Board accept and hold bonds posted pursuant to Virginia Code § 55-79.58:1 (now § 55.1-1921) on behalf of commercial condominium regimes?

The Board will retain bonds submitted under § 55-79.58:1 (now § 55.1-1921) for commercial condominiums.

Commercial condominiums are exempt from application requirements, so staff may need to request documentation to verify bond compliance under § 55-79.58:1 (now § 55.1-1921).

On June 27, 2013, the Board adopted guidance allowing letters of credit instead of assessment bonds.

The Board adopted a guidance document on June 27, 2013, regarding the requirement for a declarant to post an assessment bond for a condominium. The Guidance Document is located on Town Hall.

The declarant must file and maintain a bond or letter of credit to secure assessment obligations.

The registration practice requires a bond or letter of credit of $1,000 per unit (minimum $10,000, maximum $100,000), regardless of ownership status.

After discussion, the Board

12/3/13 Guidance Document Summary of Board Interpretations, Policies, and Guidance Documents Last Updated on June 9, 2022 Page 7 of 8

agreed by consensus to continue the practice of requiring an assessment bond or letter of credit be filed for the total number of units registered with the Board.

The Board confirmed that a declarant may withdraw the condominium registration if not selling units and is not obligated to maintain it.

To withdraw registration, the declarant must certify no current plans to sell, continue paying assessments on owned units, and re-register if selling in the future, meeting all current Virginia and Board requirements.

Release of the assessment bond or letter of credit is possible with withdrawing the registration with confirmation from the unit owners association that the declarant is current in the payment of assessments.

Under § 55-382(B) (now § 55.1-2230(B)), the Board must determine compliance with §§ 55-375 and 55-386 (now §§ 55.1-2220 or 55.1-2234) upon owner request.

The Board adopted procedural guidelines for handling determination requests. The determination procedure is available on Town Hall.

A program that in summary will not be sold during the visit to the resort but will be marketed to potential purchasers days after they have left the resort does not appear to meet the definition of alternative purchase.

The Board was asked to interpret requirements for disclosures of unsatisfied judgments and pending lawsuits in the Public Offering Statement.

The Board declined to interpret, stating it is outside its authority beyond program administration, regulation enforcement, or case decisions.

The Board further stated that it urges the developer and its counsel to seek full disclosure consistent with the Code of Virginia and Board’s regulations.

On June 7, 2018, the Board adopted guidance on changes to § 55-375 (now § 55.1-2220) of the Virginia Time-Share Act from 2018 legislation.

The Guidance Document is available on Town Hall.

On June 7, 2018, the Board adopted guidance on public offering statement requirements under § 55-374 (now § 55.1-2217) of the Virginia Time-Share Act.

The Guidance Document is available on Town Hall.

The purpose of this policy is to establish procedures for suspending and removing suspensions on licenses, certifications, registrations, and other authorizations issued by the Department of Professional and Occupational Regulation.

Disciplinary and court ordered suspensions (under the provisions of § 63.2-1937 of the Code of Virginia) shall be processed by the Executive Director of the appropriate regulatory program in accordance with the terms of the disciplinary or court order.

This policy shall not apply to dishonored check suspensions which are processed in accordance with § 54.1-104 of the Code of Virginia.

Suspension

The temporary interruption of a professional privilege or authorization (e.g., license, certification, registration, or other authorization to engage in a business, trade, profession, or occupation issued by the Commonwealth of Virginia pursuant to those sections of Title 54.1 of the Code of Virginia).

N/A

A. LICENSE SUSPENSIONS

1. Disciplinary Suspensions a. The Executive Director shall suspend the license, certification, registration, or other authorization and insert a comment in the record history to indicate the reason for the suspension. b. The Executive Director shall notify the regulant of the suspension by certified mail, return receipt requested. The notification shall include instructions regarding renewal requirements that must be met during the suspension.

a. All inquiries regarding court orders and suspension should be directed to the Deputy Director for Communications and Board Operations. All court orders received by the Department directing that a license be suspended shall be hand-delivered upon receipt to the FOIA and Records Manager. b. The FOIA and Records Manager shall record the court order in the electronic subpoena log, retain a scanned copy in the shared Subpoena Log folder, and forward the court order to suspend to the Deputy Director for Communications and Board Operations who will identify the appropriate Executive Director to process the suspension. c. The Executive Director shall suspend the license, certification, registration, or other authorization and insert a comment in the record history to indicate that the license was suspended by court order. d. The Executive Director shall notify the regulant of the suspension by certified mail, return receipt requested. The notification shall include instructions regarding renewal requirements that must be met during the suspension.

B. REMOVAL OF THE SUSPENSION

1. Disciplinary Suspensions The Executive Director shall remove the suspension, indicate the reason for the removal of the suspension in the record history, and forward the license, certification, or registration to the regulant. The expiration date shall be the same as that in effect at the time of suspension. The Executive Director shall notify the regulant in writing of any requirements that must be met to preserve his or her license status. If the suspension lasted for one year or less, the regulant shall have 30 days to comply with any renewal requirements that should have been met during the period of suspension. If the suspension exceeded one year, the regulant shall be required to meet any renewal, reinstatement, or re-application requirements (as documented in the board regulations) that would apply for the length of time that elapsed since the license suspension date.

a. All court orders received by the Department directing the removal of the suspension shall be hand-delivered upon receipt to the FOIA and Records Manager. b. The FOIA and Records Manager shall record the court order in the electronic subpoena log, retain a scanned copy in the shared Subpoena Log folder, and forward the court order to remove the suspension to the Deputy Director for Communications and Board Operations who will identify the appropriate Executive Director to process the suspension removal. c. The Executive Director shall remove the suspension, indicate the reason for the removal of the suspension in the record history, and forward the license, certification, or registration to the regulant. The expiration date shall be the same as that in effect at the time of suspension. d. The Executive Director shall notify the regulant in writing of any requirements that must be met to preserve his or her license status. e. If the suspension lasted for one year or less, the regulant shall have 30 days to comply with any renewal requirements that should have been met during the period of suspension. f. If the suspension exceeded one year, the regulant shall be required to meet any renewal, reinstatement, or re-application requirements (as documented in the board regulations) that would apply for the length of time that elapsed since the license suspension date.

The purpose of this policy is to establish procedures for suspending and removing suspensions on licenses, certifications, registrations, and other authorizations issued by the Department of Professional and Occupational Regulation.

Disciplinary and court-ordered suspensions under § 63.2-1937 of the Code of Virginia shall be processed by the Executive Director per the order's terms.

This policy shall not apply to dishonored check suspensions which are processed in accordance with § 54.1-104 of the Code of Virginia.

Suspension

The temporary interruption of a professional privilege or authorization (e.g., license, certification, registration, or other authorization to engage in a business, trade, profession, or occupation issued by the Commonwealth of Virginia pursuant to those sections of Title 54.1 of the Code of Virginia).

N/A

A. LICENSE SUSPENSIONS

1. Disciplinary Suspensions a. The Executive Director shall suspend the license, certification, registration, or other authorization and insert a comment in the record history to indicate the reason for the suspension. b. The Executive Director shall notify the regulant of the suspension by certified mail, return receipt requested. The notification shall include instructions regarding renewal requirements that must be met during the suspension.

a. All inquiries regarding court orders and suspension should be directed to the Deputy Director for Communications and Board Operations. All court orders received by the Department directing that a license be suspended shall be hand-delivered upon receipt to the FOIA and Records Manager. b. The FOIA and Records Manager shall record the court order in the electronic subpoena log, retain a scanned copy in the shared Subpoena Log folder, and forward the court order to suspend to the Deputy Director for Communications and Board Operations who will identify the appropriate Executive Director to process the suspension. c. The Executive Director shall suspend the license, certification, registration, or other authorization and insert a comment in the record history to indicate that the license was suspended by court order. d. The Executive Director shall notify the regulant of the suspension by certified mail, return receipt requested. The notification shall include instructions regarding renewal requirements that must be met during the suspension.

B. REMOVAL OF THE SUSPENSION

1. Disciplinary Suspensions The Executive Director shall remove the suspension, indicate the reason for the removal of the suspension in the record history, and forward the license, certification, or registration to the regulant. The expiration date shall be the same as that in effect at the time of suspension. The Executive Director shall notify the regulant in writing of any requirements that must be met to preserve his or her license status. If the suspension lasted for one year or less, the regulant shall have 30 days to comply with any renewal requirements that should have been met during the period of suspension. If the suspension exceeded one year, the regulant shall be required to meet any renewal, reinstatement, or re-application requirements (as documented in the board regulations) that would apply for the length of time that elapsed since the license suspension date.

a. All court orders received by the Department directing the removal of the suspension shall be hand-delivered upon receipt to the FOIA and Records Manager. b. The FOIA and Records Manager shall record the court order in the electronic subpoena log, retain a scanned copy in the shared Subpoena Log folder, and forward the court order to remove the suspension to the Deputy Director for Communications and Board Operations who will identify the appropriate Executive Director to process the suspension removal. c. The Executive Director shall remove the suspension, indicate the reason for the removal of the suspension in the record history, and forward the license, certification, or registration to the regulant. The expiration date shall be the same as that in effect at the time of suspension. d. The Executive Director shall notify the regulant in writing of any requirements that must be met to preserve his or her license status. e. If the suspension lasted for one year or less, the regulant shall have 30 days to comply with any renewal requirements that should have been met during the period of suspension. f. If the suspension exceeded one year, the regulant shall be required to meet any renewal, reinstatement, or re-application requirements (as documented in the board regulations) that would apply for the length of time that elapsed since the license suspension date.

Exam Equivalency Board for Contractors

The following table lists state exam equivalents to the Virginia exam, along with approval dates and relevant details.

State and Exam Information

Arizona AZ C -37 (CR -37) Plumbing (Commercial) PSI Exam Journeyman and Master Plumbing Exam Approval Date: April 14, 2015

Tennessee Business and Law Management Examination PSI Exam General and Advanced Business Exams Note: The Virginia portion is not included. Approval Date: March 3, 2015

Tennessee BC-B - Commercial Contractor PSI Exam Building Technical Exam Approval Date: March 3, 2015

Exam Equivalency Board for Contractors

The following table lists state exam equivalents to the Virginia exam, along with approval dates and relevant details.

State and Exam Information

Arizona AZ C -37 (CR -37) Plumbing (Commercial) PSI Exam Journeyman and Master Plumbing Exam Approval Date: April 14, 2015

Tennessee Business and Law Management Examination PSI Exam General and Advanced Business Exams Note: The Virginia portion is not included. Approval Date: March 3, 2015

Tennessee BC-B - Commercial Contractor PSI Exam Building Technical Exam Approval Date: March 3, 2015

Common Interest Community Board Guidance Document: Regarding what Certified Principal/Supervisory Employee Applicants must submit when Certain Personal Adverse Financial History is Disclosed

Adopted December 3, 2014

I. Issue

The Common Interest Community Manager Regulations at 18VAC48-50-35 H require an applicant for certification to provide all relevant information for the seven years prior to application on any outstanding judgments, past-due tax assessments, defaults on bonds, or pending or past bankruptcies, all as related to providing management services as defined in § 54.1-2345 of the Code of Virginia.

II. Applicable Regulation and Statute

18VAC48-50-35 H The applicant for certification shall provide all relevant information for the seven years prior to application on any outstanding judgments, past-due tax assessments, defaults on bonds, or pending or past bankruptcies, all as related to providing management services as defined in § 54.1-2345 of the Code of Virginia.

The applicant for certification shall further disclose whether or not he was the subject of any adverse disciplinary action, including revocation of a license, certificate, or registration within the seven-year period immediately preceding the date of application.

§ 55.1-2345. Definitions.

"Management services" means (i) acting with the authority of an association in its business, legal, financial, or other transactions with association members and nonmembers; (ii) executing the resolutions and decisions of an association or, with the authority of the association, enforcing the rights of the association secured by statute, contract, covenant, rule, or bylaw; (iii) collecting, disbursing, or otherwise exercising dominion or control over money or other property belonging to an association; (iv) preparing budgets, financial statements, or other financial reports for an association; (v) arranging, conducting, or coordinating meetings of an association or the governing body of an association; (vi) negotiating contracts or otherwise coordinating or arranging for services or the purchase of property and goods for or on behalf of an association; or (vii) offering or soliciting to perform any of the aforesaid acts or services on behalf of an association.

III. Policy

The Board authorizes staff to approve applicants for principal or supervisory employee certification who disclose personal adverse financial history in accordance with 18VAC48-50-35 H, provided all other entry requirements are met, as follows:

1. For past-due tax assessment, the applicant provides proof of an installment agreement or payment plan with the Internal Revenue Service or other applicable taxation authority. Such installment agreement or payment plan shall not be in default. 2. For an outstanding judgment, the applicant provides proof of an installment plan to satisfy the judgment and proof that payments pursuant to the established installment plan are current. 3. For an active bankruptcy, the applicant provides proof of a payment plan established by a bankruptcy court. Such payment plan shall not be in default.

An applicant unable to provide documentation in accordance with this policy that is acceptable, or discloses adverse financial history not related to a past-due tax assessment, outstanding judgment, or bankruptcy shall be afforded the opportunity to have the application considered by the Board through an informal fact-finding conference pursuant to the Administrative Process Act (Chapter 40 of Title 2.2 of the Code of Virginia).

Common Interest Community Board Guidance Document: Regarding what Certified Principal/Supervisory Employee Applicants must submit when Certain Personal Adverse Financial History is Disclosed

Adopted December 3, 2014

I. Issue

The Common Interest Community Manager Regulations at 18VAC48-50-35 H require an applicant for certification to provide all relevant information for the seven years prior to application on any outstanding judgments, past-due tax assessments, defaults on bonds, or pending or past bankruptcies, all as related to providing management services as defined in § 54.1-2345 of the Code of Virginia.

II. Applicable Regulation and Statute

18VAC48-50-35 H The applicant for certification shall provide all relevant information for the seven years prior to application on any outstanding judgments, past-due tax assessments, defaults on bonds, or pending or past bankruptcies, all as related to providing management services as defined in § 54.1-2345 of the Code of Virginia.

The applicant for certification shall further disclose whether or not he was the subject of any adverse disciplinary action, including revocation of a license, certificate, or registration within the seven-year period immediately preceding the date of application.

§ 55.1-2345. Definitions.

"Management services" means (i) acting with the authority of an association in its business, legal, financial, or other transactions with association members and nonmembers; (ii) executing the resolutions and decisions of an association or, with the authority of the association, enforcing the rights of the association secured by statute, contract, covenant, rule, or bylaw; (iii) collecting, disbursing, or otherwise exercising dominion or control over money or other property belonging to an association; (iv) preparing budgets, financial statements, or other financial reports for an association; (v) arranging, conducting, or coordinating meetings of an association or the governing body of an association; (vi) negotiating contracts or otherwise coordinating or arranging for services or the purchase of property and goods for or on behalf of an association; or (vii) offering or soliciting to perform any of the aforesaid acts or services on behalf of an association.

III. Policy

The Board authorizes staff to approve applicants for principal or supervisory employee certification who disclose personal adverse financial history in accordance with 18VAC48-50-35 H, provided all other entry requirements are met, as follows:

1. For past-due tax assessment, the applicant provides proof of an installment agreement or payment plan with the Internal Revenue Service or other applicable taxation authority. Such installment agreement or payment plan shall not be in default. 2. For an outstanding judgment, the applicant provides proof of an installment plan to satisfy the judgment and proof that payments pursuant to the established installment plan are current. 3. For an active bankruptcy, the applicant provides proof of a payment plan established by a bankruptcy court. Such payment plan shall not be in default.

An applicant unable to provide documentation in accordance with this policy that is acceptable, or discloses adverse financial history not related to a past-due tax assessment, outstanding judgment, or bankruptcy shall be afforded the opportunity to have the application considered by the Board through an informal fact-finding conference pursuant to the Administrative Process Act (Chapter 40 of Title 2.2 of the Code of Virginia).

COMMONWEALTH OF VIRGINIA DEPARTMENT OF PROFESSIONAL AND OCCUPATIONAL REGULATION

9960 Mayland Drive, Suite 400 Richmond, Virginia 23233-1485 (804) 367-8510 cic@dpor.virginia.gov www.dpor.virginia.gov

VIRGINIA CONDOMINIUM ACT DISCLOSURE

(Virginia Code Sections 55.1-1943 and 55.1-1955)

THE DECLARANT AND SPECIAL MEETING

The Declarant of your condominium has scheduled a special meeting to consider extending the period during which the Declarant:

1. May appoint and remove some or all of the officers and directors of the condominium unit owners’ association; and 2. May exercise powers and responsibilities otherwise assigned to the unit owners’ association by the condominium instruments and the Virginia Condominium Act.

An affirmative vote of two-thirds of all the unit owners (other than the Declarant) is required to extend the period of Declarant control.

During such time, the Declarant or such officers and directors are subject to liability as fiduciaries of the unit owners for their acts or omissions.

UNIT OWNER INTERESTS AND RESPONSIBILITIES

As a unit owner, you are advised to exercise whatever due diligence you deem necessary to protect your interests.

A Declarant’s interests may or may not align with the interests of other unit owners.

It is the responsibility of all unit owners to monitor governance of the association to ensure that business is conducted properly.

COMMON ELEMENT STRUCTURAL WARRANTY

Warranty Period.

Extending the period of Declarant control means that the Declarant may control the condominium during the period when the unit owners’ association may assert claims for structural defects in the common elements.

If the period of Declarant control is extended at the special meeting, the association’s right to pursue warranty claims will be preserved by election of a Warranty Review Committee.

WARRANTY REVIEW COMMITTEE

The unit owners other than the Declarant will elect a Warranty Review Committee consisting of no fewer than three persons unaffiliated with the Declarant.

The Warranty Review Committee will have at least one year to assert warranty claims and will have both necessary funding and authority to:

(1) Engage an independent architect, engineer, legal counsel, and other experts; (2) Investigate whether there are any breaches of the Declarant’s warranty on the common elements; and (3) Assert or settle any such claims.

[This disclosure must accompany the notice of the special meeting at which extending the period of Declarant control is being considered by the unit owners.]

This form was developed by the Common Interest Community Board in accordance with § 55.1-1943(B) of the Code of Virginia.

10/1/19

Commonwealth of Virginia Department of Professional and Occupational Regulation

9960 Mayland Drive, Suite 400 Richmond, Virginia 23233-1485 (804) 367-8510 cic@dpor.virginia.gov www.dpor.virginia.gov

Virginia Condominium Act Disclosure

(Virginia Code Sections 55.1-1943 and 55.1-1955)

The Declarant and Special Meeting

The Declarant of your condominium has scheduled a special meeting to consider extending the period during which the Declarant:

1. May appoint and remove some or all of the officers and directors of the condominium unit owners’ association; and 2. May exercise powers and responsibilities otherwise assigned to the unit owners’ association by the condominium instruments and the Virginia Condominium Act.

A two-thirds vote of all unit owners (excluding the Declarant) is needed to extend Declarant control.

During such time, the Declarant or such officers and directors are subject to liability as fiduciaries of the unit owners for their acts or omissions.

Unit Owner Interests and Responsibilities

Unit owners should exercise due diligence to protect their interests.

A Declarant’s interests may differ from other unit owners’ interests.

It is the responsibility of all unit owners to monitor governance of the association to ensure that business is conducted properly.

Common Element Structural Warranty

Warranty Period.

Extending control allows the Declarant to control the condominium during the period when the association can assert claims for structural defects in the common elements.

If control is extended, the association’s right to pursue warranty claims is preserved by a Warranty Review Committee.

Warranty Review Committee

Non-Declarant unit owners will elect a Warranty Review Committee of at least three unaffiliated members.

The Warranty Review Committee will have at least one year to assert warranty claims and will have both necessary funding and authority to:

(1) Engage an independent architect, engineer, legal counsel, and other experts; (2) Investigate whether there are any breaches of the Declarant’s warranty on the common elements; and (3) Assert or settle any such claims.

This disclosure must accompany the notice of the special meeting to consider extending Declarant control.

This form was developed by the Common Interest Community Board per § 55.1-1943(B) of the Virginia Code.

10/1/19

Finance Policy #700-04 Revenue Refunds

Effective Date: July 1, 2018

Policy Title: Finance Policy #700-04 Revenue Refunds

Document Reference:

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

Approved By:

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.[/a] [b.] Non-regulant refunds shall be made to the original payer.[/b] [c.] Checks will be mailed to the address of record unless different mailing instructions are submitted with the refund request.[/c] [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.[/d] 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.

Finance Policy #700-04 Revenue Refunds

Effective July 1, 2018

Policy Title: Finance Policy #700-04 Revenue Refunds

Document Reference:

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

Approved by:

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.[/a] [b.] Non-regulant refunds shall be made to the original payer.[/b] [c.] Checks will be mailed to the address of record unless different mailing instructions are submitted with the refund request.[/c] [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.[/d] 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.

Director’s Policy #100 -04 Release of Information

Effective Date: June 5, 2017

Policy Title: Director’s Policy #100 -04 Release of Information

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 7

Approved By:

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, personal information 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

V. GENERAL PROVISIONS

A. CUSTODIAN OF RECORD

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

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. 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. 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. 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. 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. 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.

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

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.

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. 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. 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.

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. 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

Title:

I. PURPOSE

The purpose of this policy is to establish guidelines for the release and confidentiality of various records and information maintained by the department.

II. POLICY STATEMENT

It is the policy of the department to protect confidential information while complying with applicable laws and regulations governing public records and disclosures. The following sections outline the procedures and restrictions related to different types of records and information.

III. DEFINITIONS

Definitions relevant to this policy include terms such as confidential materials, public disclosure, and specific types of records covered under this policy.

1. Confidentiality of Mediation Files and Communications

a) All memoranda, work products, or other materials contained in the case file of a mediator are confidential. b) All materials in the case file of a mediation program pertaining to a specific mediation are confidential. c) Any communication made in or in connection with mediation, including communications to schedule mediation, whether made to a mediator, a mediation program, a party, or any other person, is confidential. d) Confidential materials and communications are not subject to the Virginia Freedom of Information Act nor discovery in judicial or administrative proceedings unless permitted under § 2.2-4119 of the Code of Virginia.

2. Disciplinary and Fair Housing Complaint Files

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.

3. Open Case Files

Open case files are exempt from public disclosure under § 54.1-108.3 of the Code of Virginia. Nothing in this policy shall conflict with the release of complaint information during investigations as provided in the Administrative Process Act.

4. Orders and Settlement Agreements

Orders (final and consent) and written settlement agreements resulting from voluntary alternative dispute resolution proceedings, e.g., conciliation, mediation, or facilitation, are subject to public disclosure unless the involved parties agree in writing that the agreement remains confidential and the respective board determines that disclosure is not required to further the law's purposes.

5. Informal Fact-Finding Conference Transcripts

Due to the public forum in which an informal fact-finding conference is held, transcripts contained in case files (both open and closed) are subject to public disclosure. Open file transcripts may be released by Adjudication Section staff.

6. Contracts and Procurement Records

Direct record requests to:

Procurement and contract records may be released in accordance with § 2.2-4342 of the Code of Virginia.

7. Electronic Mail

Direct record requests to:

All documents sent or received on the state electronic mail system and any attachments are subject to public disclosure. Specific exclusions apply in accordance with §§ 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia. When responding to 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.

8. Examination Information

Direct record requests to:

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, except where the Department deems that the validity or security of future examinations will not be compromised.

b. Examination scores may be released to candidates or other jurisdictions if permitted by board regulation and policy.

9. Financial Records

Direct record requests to:

Requests for records maintained by the Finance Section shall be submitted to the Budget and Financial Services Director.

10. Governor’s Working Papers

Direct record requests to:

Reports, projects, correspondence, and other documents classified as working papers of the Office of the Governor, Lieutenant Governor, Attorney General, members of the General Assembly, or the Division of Legislative Services are not subject to public disclosure.

11. Legal Documents

Direct record requests to:

a) Written legal advice to DPOR or department officers/employees and related correspondence are protected by attorney-client privilege and are not subject to public disclosure. b) Legal memoranda and work products compiled specifically for litigation or active administrative investigations concerning matters properly discussed in closed meetings under § 2.2-3711 are exempt from public disclosure.

12. License Maintenance Records

Direct record requests to:

License maintenance records such as name and address changes, fee payment records, and renewal cards are subject to public disclosure with redaction of exempt information per Section V.E of this policy.

13. License Transcripts

Direct record requests to:

a. License transcripts summarize activity from initial licensure through fee/license expiration. They are prepared for court submission and used as an alternative to personal testimony. They are authenticated by the licensing section.

b. License transcripts are available for a fee of $40.00 per individual/business entity name; however, no fee shall be charged to organizations providing legal aid to the indigent or governmental/law enforcement agencies involved in active criminal investigations.

c. Upon request, transcripts may be prepared and authenticated by field investigators and regional supervisors to corroborate investigator testimony.

14. Meeting Minutes and Documents

Direct record requests to:

a. Draft minutes of public meetings are available on the Department website and the Commonwealth Calendar within ten workdays following the meeting (§ 2.2-3707.1). Final minutes are available within three workdays of approval.

b. Documents from closed meetings held lawfully under § 2.2-3711 are not subject to public disclosure. No record open to inspection shall be deemed exempt solely because it was discussed in a closed meeting.

15. Personnel Records

Direct record requests to:

a. Requests for individual employee records shall be handled according to Department of Human Resource Management Policy 6.05 and FOIA. No employee information shall be released without written consent, except as listed below.

b. Upon disclosure of certain information to a third party, the Human Resources Section shall notify the employee, including the requesting party’s name and address.

Employee’s position Employee’s job classification Dates of employment Annual salary or pay rate exceeding $10,000

16. Property Registration Files

Direct record requests to:

Property registration files are available electronically for public disclosure.

17. Recovery Fund Files

Direct record requests to:

Copies of Contractor and Real Estate Recovery Fund claim files are available upon request, regardless of case status.

18. Regulant Lists

Direct record requests to:

Statewide regulant lists for specific boards and occupations are available electronically via CD, DVD, or e-mail.

D. OTHER DISCLOSABLE INFORMATION

While the Virginia Freedom of Information Act addresses the disclosure of “records,” other “information” shall be available to the public to ensure consumer protection when using credentialed practitioners.

The licensing section is responsible for responding to general inquiries regarding licenses and licensing requirements. The following licensing, certification, and registration information may be released via telephone, fax, e-mail, or other agreed communication:

Last 4 digits of licensee’s social security number or Virginia DMV Control Number License number Date of initial licensure Expiration date of license License classification Method of obtaining license (e.g., exam, reciprocity, comity) License status Address of record (physical or alternate addresses) E-mail address (if available) Identity of individuals required for business licensure (e.g., qualified individuals, brokers, responsible management) and affiliated company Bond information

E. OTHER NON-DISCLOSABLE INFORMATION

The following information is not subject to disclosure:

Nine-character social security numbers or Virginia DMV control numbers (disclosed at discretion) Bank routing and account numbers Credit/debit card numbers Examination scores, pass/fail status, or number of attempts unless policy states otherwise State income, business, estate, and personal property tax returns Any information compromising privacy or safety (e.g., medical, mental, scholastic records) only disclosed with approval from authorized officials

F. PROCEDURE FOR CORRECTING PERSONAL INFORMATION

Pursuant to § 2.2-3806.A.5 of the Code of Virginia, procedures are in place for correcting personal information.

Director’s Policy #100 -04 Release of Information

This policy outlines the procedures related to the release of information maintained by the Department, including the rights of individuals to request corrections to their information.

I. PURPOSE

The purpose of this policy is to establish the process for individuals to request corrections, removals, or amendments to their information held by the Department, in accordance with applicable laws and regulations.

II. POLICY STATEMENT

The Department is committed to maintaining accurate and current information. In the event that a registrant 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.

III. DEFINITIONS

Registrant: An individual whose information is maintained by the Department. Corrective Action: The process of amending, removing, or correcting information that is inaccurate, obsolete, or irrelevant. Information Management Director: The individual responsible for reviewing requests for correction, coordinating corrective actions, and responding to requesters.

The Code of Virginia provides the legal framework for these procedures, ensuring individuals’ rights to accurate information and proper correction processes.

Director’s Policy #100 -04 Release of Information

Effective Date: June 5, 2017

Policy Title: Director’s Policy #100 -04 Release of Information

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 7

Approved by:

I. Purpose

This policy provides DPOR employees with guidelines for responding to information requests.

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

Under § 2.2-3700 et seq. of the Code of Virginia, DPOR favors full disclosure of all public records it holds.

Exclusions follow §§ 54.1-108 and 2.2-3705.1 to 2.2-3706 of the Code, including withholding personal or confidential info that may threaten safety or security, unless a board policy states otherwise.

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

Per § 2.2-3801, personal information includes data about an individual (e.g., SSN, driver’s license, property holdings, education, medical, criminal, employment records) or info that infers personal traits (e.g., fingerprints, photos, membership).

"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

Records documenting transactions with public officers, agencies, or employees.

Any recorded info created, received, or retained for law or public business is a public record.

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

V. GENERAL PROVISIONS

A. Custodian of record

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

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. 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. 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. 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. 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. 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.

C. Record categories and FOIA response assignments

Applications: Requests for license maintenance records go to: Information Management Section.

Applications for exams or licensure (§ 54.1-108.2) are exempt from disclosure, including 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. 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. 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. Complaint Files: Direct information requests to: Compliance and Investigations Division

The Division responds to inquiries about complaint counts and details.

Open complaints can be publicly acknowledged if probable cause exists; case files remain confidential until closed.

Cases with probable cause are disclosed on the website.

Nothing in this policy shall conflict with the release of complaint information during disciplinary investigations as provided for in the Administrative Process Act.

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. 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

Title:

I. Purpose

The purpose of this policy is to establish guidelines for the release and confidentiality of various records and information maintained by the department.

II. Policy statement

It is the policy of the department to protect confidential information while complying with applicable laws and regulations governing public records and disclosures. The following sections outline the procedures and restrictions related to different types of records and information.

III. Definitions

Definitions relevant to this policy include terms such as confidential materials, public disclosure, and specific types of records covered under this policy.

1. Confidentiality of Mediation Files and Communications

a) All memoranda, work products, or other materials contained in the case file of a mediator are confidential. b) All materials in the case file of a mediation program pertaining to a specific mediation are confidential. c) Any communication made in or in connection with mediation, including communications to schedule mediation, whether made to a mediator, a mediation program, a party, or any other person, is confidential. d) Confidential materials and communications are not subject to the Virginia Freedom of Information Act nor discovery in judicial or administrative proceedings unless permitted under § 2.2-4119 of the Code of Virginia.

2. Disciplinary and Fair Housing Complaint Files

The Information Management Section prepares and redacts exempt info from closed complaint files before FOIA release.

Unless specifically requested by an involved party, e-mail addresses contained in closed case files shall be disclosed.

3. Open Case Files

Open case files are exempt from public disclosure under § 54.1-108.3 of the Code of Virginia. Nothing in this policy shall conflict with the release of complaint information during investigations as provided in the Administrative Process Act.

4. Orders and Settlement Agreements

Orders (final and consent) and written settlement agreements resulting from voluntary alternative dispute resolution proceedings, e.g., conciliation, mediation, or facilitation, are subject to public disclosure unless the involved parties agree in writing that the agreement remains confidential and the respective board determines that disclosure is not required to further the law's purposes.

5. Informal Fact-Finding Conference Transcripts

Due to the public forum in which an informal fact-finding conference is held, transcripts contained in case files (both open and closed) are subject to public disclosure. Open file transcripts may be released by Adjudication Section staff.

6. Contracts and procurement records

Direct record requests to:

Procurement and contract records may be released in accordance with § 2.2-4342 of the Code of Virginia.

7. Electronic mail

Direct record requests to:

Emails and attachments on the state electronic mail system are public records, with exclusions per §§ 54.1-108 and §§ 2.2-3705.1–2.2-3706 of the Code of Virginia. Email content determines disclosure exemptions.

8. Examination information

Direct record requests to:

Examination questions, papers, answer sheets, and scoring keys are exempt from disclosure under §§ 54.1-108.1 and 2.2-3705.1 unless disclosure risks future exam security or validity.

Examination scores may be released to candidates or jurisdictions if allowed by board regulation and policy.

9. Financial records

Direct record requests to:

Requests for Finance Section records go to the Budget and Financial Services Director.

10. Governor’s working papers

Direct record requests to:

Working papers of the Governor, Lieutenant Governor, Attorney General, General Assembly members, or Division of Legislative Services are not public records.

11. Legal documents

Direct record requests to:

a) Written legal advice to DPOR or department officers/employees and related correspondence are protected by attorney-client privilege and are not subject to public disclosure. b) Legal memoranda and work products compiled specifically for litigation or active administrative investigations concerning matters properly discussed in closed meetings under § 2.2-3711 are exempt from public disclosure.

12. License maintenance records

Direct record requests to:

License maintenance records (name/address changes, fee payments, renewal cards) are public, with exempt info redacted per Section V.E.

13. License transcripts

Direct record requests to:

License transcripts summarize licensure activity, prepared for court, and authenticated by the licensing section.

Transcripts cost $40 per name, free for legal aid organizations and law enforcement in active investigations.

Transcripts may be prepared and authenticated by investigators and supervisors to support testimony.

14. Meeting minutes and documents

Direct record requests to:

Draft minutes are on the website within 10 workdays; final minutes within 3 days of approval (§ 2.2-3707.1).

Documents from lawful closed meetings under § 2.2-3711 are not public; discussion in closed meetings does not automatically exempt records.

15. Personnel records

Direct record requests to:

Employee records requests follow DHRM Policy 6.05 and FOIA; employee info is released only with written consent unless exceptions apply.

b. Upon disclosure of certain information to a third party, the Human Resources Section shall notify the employee, including the requesting party’s name and address.

Employee’s position Employee’s job classification Dates of employment Annual salary or pay rate exceeding $10,000

16. Property registration files

Direct record requests to:

Property registration files are available electronically to the public.

17. Recovery fund files

Direct record requests to:

Copies of Recovery Fund claim files are available upon request, regardless of case status.

18. Regulated lists

Direct record requests to:

Statewide regulant lists are available electronically via CD, DVD, or email.

D. Other disclosable information

Beyond FOIA records, other information must be available to protect consumers using credentialed practitioners.

The licensing section is responsible for responding to general inquiries regarding licenses and licensing requirements. The following licensing, certification, and registration information may be released via telephone, fax, e-mail, or other agreed communication:

Last 4 digits of licensee’s social security number or Virginia DMV Control Number License number Date of initial licensure Expiration date of license License classification Method of obtaining license (e.g., exam, reciprocity, comity) License status Address of record (physical or alternate addresses) E-mail address (if available) Identity of individuals required for business licensure (e.g., qualified individuals, brokers, responsible management) and affiliated company Bond information

E. Other non-disclosable information

The following information is not subject to disclosure:

Nine-character social security numbers or Virginia DMV control numbers (disclosed at discretion) Bank routing and account numbers Credit/debit card numbers Examination scores, pass/fail status, or number of attempts unless policy states otherwise State income, business, estate, and personal property tax returns Any information compromising privacy or safety (e.g., medical, mental, scholastic records) only disclosed with approval from authorized officials

F. Procedure for correcting personal information

Pursuant to § 2.2-3806.A.5 of the Code of Virginia, procedures are in place for correcting personal information.

Director’s Policy #100 -04 Release of Information

This policy outlines the procedures related to the release of information maintained by the Department, including the rights of individuals to request corrections to their information.

I. PURPOSE

The purpose of this policy is to establish the process for individuals to request corrections, removals, or amendments to their information held by the Department, in accordance with applicable laws and regulations.

II. POLICY STATEMENT

The Department commits to accurate, current information. Registrants may submit written requests for correction, removal, or amendment to the Information Management Section if their information is inaccurate, obsolete, or irrelevant.

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.

III. DEFINITIONS

Registrant: An individual whose information is maintained by the Department. Corrective Action: The process of amending, removing, or correcting information that is inaccurate, obsolete, or irrelevant. Information Management Director: The individual responsible for reviewing requests for correction, coordinating corrective actions, and responding to requesters.

The Code of Virginia provides the legal basis for these procedures, safeguarding individuals' rights to accurate information and corrections.

EXAMINATION POLICY #600-02 EXAMINATION SITE CONDUCT

Effective Date: December 1, 2019

Policy Title: Examination Policy #600 -02 Examination Site Conduct

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

Approved By:

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. 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 Bulletin/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:

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. 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. 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. 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.
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 the initial warning, any continuation of the prohibited conduct shall result in the collection of all examination materials and expulsion from the test site.
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.

Examination Policy #600-02: Examination Site Conduct.

Effective Date: December 1, 2019

Policy Title: Examination Policy #600 -02 Examination Site Conduct...

Effective December 1, 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..

Approved By:

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.

Under § 54.1-102 of the Code of Virginia, it is unlawful to procure or assist in procuring a license, certificate, permit, or authorization through theft, fraud, or illegal means.

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. 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 Bulletin/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:

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. 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. 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. In situations where a candidate exhibits distracting or disruptive behavior at the examination site:
a. The proctor discusses the behavior with the candidate and requests correction.
b. If conduct persists, the proctor reclaims materials and expels the candidate.
Continuing to respond to exam questions whether verbal, online, or in paper/pencil format after time has been called:
a. The proctor warns the candidate that time is up.
b. Continued conduct after warning results in reclaiming materials and expulsion.
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.

3665_Continuing Post License Education Course Reportin.pdf

The Real Estate Board is issuing this guidance document in order to interpret and implement the requirements of 18 VAC 135-20-360.I of the Board’s Regulations (effective April 1, 2008) as a means of providing information or guidance of general applicability to the public:

To ensure that Board-approved continuing and post license education providers meet the standards of quality deemed by the Board to be necessary to protect the public interest, health, safety, and welfare pursuant to § 54.1-2105 of the Code of Virginia, every Board-approved continuing and post license education provider shall electronically transmit continuing and post license education course completion data to the Board in an approved format within five business days of the completion of each individual course.

See 3665_Continuing Post License Education Course Reportin.pdf

The Real Estate Board issues this guidance to interpret and implement 18 VAC 135-20-360.I of its Regulations (effective April 1, 2008) for public information.

To ensure quality and protect public interest under § 54.1-2105 of the Code of Virginia, all Board-approved continuing and post license education providers must electronically submit course completion data to the Board in an approved format within five business days of each course.

7122_Real Estate Appraiser Board Application Review Matrix

Board staff may approve an initial application for licensure or registration when any of the following conditions are met:

1. The applicant has disclosed a felony conviction more than five years old, unless the conviction resulted in incarceration and the release date is less than three years from the date of application and the applicant is not on supervised probation. This does not include convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, drug possession, drug distribution, assaulting a police officer, crimes of moral turpitude, or crimes involving a real estate transaction. 2. The applicant has disclosed a reportable misdemeanor conviction more than three years old, unless there is a prior conviction for the same offense. 3. The applicant has disclosed a prior disciplinary action that is more than five years old, did not involve revocation or suspension, and was not disciplined for substantial cause.

All appraiser credentials held by the applicant must be in good standing with no legal impediments on his or her ability to practice.

If additional questions arise during the review of an application subject to this Application Review Matrix, Board staff shall refer the matter to an Informal Fact-Finding conference for further investigation by the Board.

7122_Real Estate Appraiser Board Application Review Matrix

Board staff may approve an initial application for licensure or registration when any of the following conditions are met:

1. The applicant has disclosed a felony conviction more than five years old, unless the conviction resulted in incarceration and the release date is less than three years from the date of application and the applicant is not on supervised probation. This does not include convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, drug possession, drug distribution, assaulting a police officer, crimes of moral turpitude, or crimes involving a real estate transaction. 2. The applicant has disclosed a reportable misdemeanor conviction more than three years old, unless there is a prior conviction for the same offense. 3. The applicant has disclosed a prior disciplinary action that is more than five years old, did not involve revocation or suspension, and was not disciplined for substantial cause.

All appraiser credentials must be in good standing with no legal impediments to practice.

If questions arise during review, Board staff shall refer the matter to an Informal Fact-Finding conference for investigation.

[SIZE=15.96]Effective May 9, 2022

[SIZE=14.04]The following convictions will not be reviewed by the Board*:

[SIZE=14.04]The matrix shall not apply to applicants who are currently incarcerated, except those incarcerated for juvenile convictions.

[SIZE=14.04]The following convictions will not be reviewed by the Board*:

[SIZE=14.04]Felony convictions more than 10 years old with no subsequent reportable convictions of a similar nature, unless the conviction resulted in incarceration where the release date is less than three years from the application date. [SIZE=14.04]Felony convictions more than five years old with no subsequent reportable convictions of a similar nature, unless the conviction resulted in incarceration where the release date is less than three years from the application date. This does not include convictions involving murder, sexual assault, rape, robbery, indecent liberties, fraud. [SIZE=14.04]Felony convictions for distribution of controlled substance, where the applicant has completed a deterrence program if required by the court. [SIZE=14.04]Misdemeanor convictions. [SIZE=14.04]Juvenile convictions. [SIZE=14.04]Drug possession convictions. [SIZE=14.04]Prior disciplinary action only involving monetary penalties that do not involve client safety. [SIZE=14.04]The provisions above notwithstanding, staff may refer matters to the Board based on the totality of an applicant’s criminal history where there appears to be substantial risk of public harm.

[BOLDItalic][SIZE=14.04]Note:[/BOLDItalic] The asterisk (*) indicates specific conditions or exceptions as noted above.

[SIZE=15.96]Effective May 9, 2022

[SIZE=14.04]The following convictions will not be reviewed by the Board*:

[SIZE=14.04]The matrix shall not apply to applicants who are currently incarcerated, except those incarcerated for juvenile convictions.

[SIZE=14.04]The following convictions will not be reviewed by the Board*:

[SIZE=14.04]Felony convictions more than 10 years old with no subsequent reportable convictions of a similar nature, unless the conviction resulted in incarceration where the release date is less than three years from the application date. [SIZE=14.04]Felony convictions more than five years old with no subsequent reportable convictions of a similar nature, unless the conviction resulted in incarceration where the release date is less than three years from the application date. This does not include convictions involving murder, sexual assault, rape, robbery, indecent liberties, fraud. [SIZE=14.04]Felony convictions for distribution of controlled substance, where the applicant has completed a deterrence program if required by the court. [SIZE=14.04]Misdemeanor convictions. [SIZE=14.04]Juvenile convictions. [SIZE=14.04]Drug possession convictions. [SIZE=14.04]Prior disciplinary action only involving monetary penalties that do not involve client safety. [SIZE=14.04]The provisions above notwithstanding, staff may refer matters to the Board based on the totality of an applicant’s criminal history where there appears to be substantial risk of public harm.

[BOLDItalic][SIZE=14.04]Note:[/BOLDItalic] The asterisk (*) indicates specific conditions or exceptions as noted above.

6903_Property Lines along Public Roads without Recorded.pdf

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.

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.

Issue Solving Boundary Retracement Problems

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 that 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 the best way 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, thus center of traveled way overrides the set pipe if the deed calls the road as the boundary.

Also, if 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.)

Assume the strip may not have been 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 , 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.

Prescriptive Right of Way Roads and the Byrd Act

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.” The new survey shall go to the center of the road or old property line location as described previously. 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. 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).” 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.

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)

Reference: Property Lines along Public Roads without Recorded Rights

This guidance complies with § 2.2-4002.1 of the Code of Virginia, aligning with the definition in § 2.2-4101.

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

Guidance Document: Property Lines without Recorded Fee Simple Rights

Adopted July 15, 2020..

Effective December 1, 2020

Applicable Regulations

18VAC10-20-370.B. Standards for Land Boundary Surveying

The professional shall search land records for the land description and adjoining boundaries.

The professional shall use all available relevant data from known sources.

All evidence, including field evidence, shall be compared to establish correct boundaries.

Inconsistencies in boundary research shall be clearly identified on plats, maps, and reports.

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. Additional Standards for Boundary Surveys

Each boundary survey must be monumented with permanent objects at corners and changes, except in cases like streams or lakes. When feasible, monuments should have temporary witness markers.