Compliance Analysis Overview

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.Guidance Document Home Inspector Licensing Regulations: Definition of “Describe” Adopted November 9, 2017

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.”1

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

Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Definition of “Describe” in 18VAC15-40-130 of Home Inspector Regulations

Adopted November 9, 2017

I. Issue

Board staff received an inquiry on whether all items in 18VAC15-40-130 must be described in the inspection report as referenced.

For reference, 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, etc., unchanged during the 2017 transition 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.Guidance Document Home Inspector Licensing Regulations: Definition of “Describe” Adopted November 9, 2017

II.

Policy

The Board adopts the definition of “describe” as: “To identify in writing a system or component by its type or characteristics.”

For example, describing flooring as “hardwood” or “carpet” suffices; more specific descriptors like “oak hardwood” or “nylon carpet” are optional, at the inspector’s discretion. 1 Derived from ASHI Standards of Practice effective March 1, 2014.

Guidance Document Board for Asbestos, Lead, and Home Inspectors 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 Asbestos, Lead, and Home Inspectors Guidance Document: Verification of Course Completion Certificates Awarded to Training Program Managers and Principal Instructors

Adopted May 12, 2022 Effective Date: July 7, 2022

I.

Background Board staff has received inquiries from other states regarding the validity of Virginia asbestos and lead training course completion certificates wherein the name of the course participant, the training manager, and the principal instructor are one and the same.

II. Issue

As training managers and principal instructors with asbestos and lead licenses are required to complete refresher training, to include an examination, and the Board’s regulations are silent on whether these individuals are permitted to sign their own completion certificates, it is necessary to develop means to verify whether a training manager and/or principal instructor has completed refresher training and the requisite examination.

III. Board Guidance Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors In order to limit confusion and verify the completion of refresher training and the passing of required closed-book, monitored examinations, the Board provides the following guidance:

1. Course participants who are both the training manager and principal instructor of a training program must be monitored by another instructor if completing said program’s examination for the purpose of license renewal. The monitoring individual will sign the certificate of completion as the participant’s instructor.
2. Course participants who are either the training manager or the principal instructor must be monitored by the other if completing their own program’s examination for the purpose of license renewal. The monitoring individual will sign the certificate of completion as the participant’s instructor.

This policy applies to asbestos and lead refresher courses only.

The Board will not accept initial training certificates of completion wherein the name of the course participant, training manager, and principal instructor are the same.

Page 2 of 2

Guidance Document Board for Asbestos, Lead, and Home Inspectors in accordance with § 2.2-4002.1, this proposed guidance conforms to § 2.2-4101.

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Verification of Course Completion Certificates for Program Managers and Principal Instructors

Adopted May 12, 2022 Effective Date: July 7, 2022

I.

Background: Board staff received inquiries from other states about the validity of Virginia asbestos and lead training certificates where the course participant, training manager, and principal instructor are the same person.

II. Issue

Training managers and principal instructors with asbestos and lead licenses must complete refresher training and exams, but regulations do not specify if they can sign their own certificates; verification methods are needed.

III. Board Guidance Page 1 of 2: To prevent confusion and verify completion of refresher training and monitored exams, the Board provides guidance:

1. Participants who are both training manager and principal instructor must be monitored by another instructor when completing their exam for license renewal. The monitor will sign the certificate as instructor.
2. Participants who are either training manager or principal instructor must be monitored by the other when completing their exam for license renewal. The monitor will sign as instructor.

This policy applies to asbestos and lead refresher courses only.

The Board will not accept initial training certificates where the course participant, training manager, and principal instructor are the same person.

Page 2 of 2

Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Meaning of Direct Supervision as used in 18VAC15-40-32

Effective April 16, 2020

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 Passed the board-approved course contact hours Experience examination

Completion of 100 home

1. 35 inspections prior to July 1, 2017 Yes

Completion of 50 home inspections under the direct supervision of a

1. 35 home inspector Yes

Completion of 50 home inspections

1. 70 prior to July 1, 2017 Yes

Completion of 25 home inspections under the direct supervision of a

1. 70 home inspector YesGuidance Document Board for Asbestos, Lead, and Home Inspectors 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. 18VAC15-40-32 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

None Page 2 of 3 Guidance Document Board for Asbestos, Lead, and Home Inspectors 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.

Page 3 of 3

Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Meaning of Direct Supervision in 18VAC15-40-32

Effective April 16, 2020

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 Passed the board-approved course contact hours Experience examination

Completion of 100 home

1. 35 inspections prior to July 1, 2017 Yes

Completion of 50 home inspections under the direct supervision of a

1. 35 home inspector Yes

Completion of 50 home inspections

1. 70 prior to July 1, 2017 Yes

Completion of 25 home inspections under the direct supervision of a

1. 70 home inspector YesGuidance Document Board for Asbestos, Lead, and Home Inspectors 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

Applicants verifying experience after July 1, 2017, must verify 25 or 50 home inspections under the direct supervision of a licensed or certified home inspector, as per 18VAC15-40-32 C.

Section 54.1-500 of Virginia Code provides the following definition:

A "home inspection" is a paid evaluation by a licensed inspector of accessible residential components, including systems, structure, foundation, roof, masonry, exterior, interior, and related parts. It may be limited per contract, but energy analysis alone is not 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

None. Page 2 of 3. Guidance emphasizes exposure to residential housing, report preparation, and understanding inspection scope and contract limitations.

III. Policy

To ensure consistency, the Board defines "direct supervision" as a licensed inspector physically present at all times when an unlicensed trainee conducts a home inspection as per 18VAC15-40-32, responsible for the inspection and report.

Page 3 of 3

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document Effective Date: August 23, 2011 Asbestos Licensing Regulations Interpretations and Policies 18VAC15-20-32.E Qualifications for licensure – individuals and 18VAC15-20-70.C Procedures for renewal May 13, 2009 – Training courses completed through EPA/AHERA accredited training providers are considered acceptable to satisfy asbestos licensing training requirements only when the course taken by the participant was taught within the geographical boundaries of the state in which the provider was approved at the time the course was taken. 18VAC15-20-70.C Procedures for renewal May 13, 2009 – To be consistent with EPA’s Model Accreditation Plan outlined in 40 CFR Part 763, Subpart E, Appendix C, Subpart D, a 12 month grace period is allowed to enable a formerly licensed person with an expired training certificate to complete a refresher training course without having to retake the initial training course. 18VAC15-20-453.2 Conflict of interest May 3, 2011 - The Conflict of Interest section does not apply to a contractor / sub-contractor relationship between an asbestos contractor and an asbestos project monitor. A contractor / sub-contractor relationship does not meet the definition of an employee as defined by this chapter therefore contractor / sub-contractor relationships are not prohibited. 18VAC15-20-70.C Procedures for renewal August 23, 2011 – Refresher training courses must be specific to the discipline of license being renewed.

Page 1 of 1

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document Effective Date: August 23, 2011 Asbestos Licensing Regulations Interpretations and Policies 18VAC15-20-32.E Qualifications for licensure – individuals and 18VAC15-20-70.C Procedures for renewal May 13, 2009 – Training courses completed through EPA/AHERA accredited training providers are considered acceptable to satisfy asbestos licensing training requirements only when the course taken by the participant was taught within the geographical boundaries of the state in which the provider was approved at the time the course was taken. 18VAC15-20-70.C Procedures for renewal May 13, 2009 – To be consistent with EPA’s Model Accreditation Plan outlined in 40 CFR Part 763, Subpart E, Appendix C, Subpart D, a 12 month grace period is allowed to enable a formerly licensed person with an expired training certificate to complete a refresher training course without having to retake the initial training course. 18VAC15-20-453.2 Conflict of interest May 3, 2011 - The Conflict of Interest section does not apply to a contractor / sub-contractor relationship between an asbestos contractor and an asbestos project monitor. A contractor / sub-contractor relationship does not meet the definition of an employee as defined by this chapter therefore contractor / sub-contractor relationships are not prohibited. 18VAC15-20-70.C Procedures for renewal August 23, 2011 – Refresher training courses must be specific to the discipline of license being renewed.

Page 1 of 1

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

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

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

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Clarification Regarding Abatement Projects that Require a Project Monitor

Effective April 16, 2020

I.

Background The Board was asked to clarify 18VAC15-20-455.1 of the Asbestos Licensing Regulations. Section 18VAC15-20-455.1 states:

A project monitor is required on:

1. Asbestos projects performed in buildings that are occupied or intended to be occupied upon completion of the asbestos project exceeding 260 linear feet or 160 square feet or 35 cubic feet of asbestos-containing material; or

1. Whenever the building or property owner deems it necessary to monitor asbestos projects.

The requester indicated that one interpretation in the industry has been that the building owner alone can choose whether to have an asbestos abatement project monitored, regardless of the quantity of ACM removed.

II. Policy Guidance Document Board for Asbestos, Lead, and Home Inspectors In order to clarify any misconceptions regarding whether an asbestos abatement project requires a project monitor, the Board adopts the following policy.

Section 18VAC15-20-455.1 includes two conditions in which a project monitor is required on an asbestos abatement project: 1) asbestos projects performed in buildings that are occupied or intended to be occupied upon completion of the asbestos project exceeding 260 linear feet or 160 square feet or 35 cubic feet of asbestos-containing material; or 2) whenever the building or property owner deems it necessary to monitor asbestos projects. A project monitor is always required when the conditions of number 1 are met, and apply regardless of whether the property owner deems project monitoring is needed; or the condition of number 2 is met because a property owner deems a project monitoring is needed, even if the project scope is less than described in number 1. The condition outlined in number 2 does not nullify the conditions outlined in number 1.

Page 2 of 2

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Clarification Regarding Abatement Projects that Require a Project Monitor

Effective April 16, 2020

I.

Background The Board was asked to clarify 18VAC15-20-455.1 of the Asbestos Licensing Regulations. Section 18VAC15-20-455.1 states:

A project monitor is required on:

1. Asbestos projects in occupied buildings exceeding 260 linear feet, 160 sq ft, or 35 cu ft of asbestos-containing material; or

1. Whenever the owner deems asbestos project monitoring necessary.

The requester indicated industry interprets that building owners alone can decide on asbestos abatement monitoring, regardless of ACM quantity.

II. Policy Guidance Board for Asbestos, Lead, and Home Inspectors To clarify if an asbestos abatement needs a project monitor, the Board adopts this policy.

Section 18VAC15-20-455.1 includes two conditions in which a project monitor is required on an asbestos abatement project: 1) asbestos projects performed in buildings that are occupied or intended to be occupied upon completion of the asbestos project exceeding 260 linear feet or 160 square feet or 35 cubic feet of asbestos-containing material; or 2) whenever the building or property owner deems it necessary to monitor asbestos projects. A project monitor is always required when the conditions of number 1 are met, and apply regardless of whether the property owner deems project monitoring is needed; or the condition of number 2 is met because a property owner deems a project monitoring is needed, even if the project scope is less than described in number 1. The condition outlined in number 2 does not nullify the conditions outlined in number 1.

Page 2 of 2

BOARD FOR ASBESTOS, LEAD, AND HOME INSPECTORS GUIDANCE DOCUMENT NRS Specialty for Inspections Conducted by a Home Inspector when a Home is Under Construction Adopted August 17, 2017

I.

Background Board staff has received a number of inquiries regarding the necessity for an NRS specialty for inspections conducted by a home inspector on homes during the course of construction (pre-drywall inspections, slab inspections, frame inspections, etc.).

II. Relevant Statutes Section 54.1-500 of the Code of Virginia defines “home inspection” as: “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.”

Further, § 54.1-500 provides that “’residential building’ means for the purposes of home inspection, a structure consisting of one to four dwelling units used or occupied, or intended to be used or occupied, for residential purposes.” Page 1 of 2 Finally, § 54.1-503.E of the Code of Virginia defines “new residential structure” as “a residential structure for which the first conveyance of record title to a purchaser has not occurred, or of which a purchaser has not taken possession, whichever occurs later.” III. Policy The Board determined that a licensed home inspector is required to hold the NRS specialty to perform course of construction inspections.

Page 2 of 2

BOARD FOR ASBESTOS, LEAD, AND HOME INSPECTORS GUIDANCE DOCUMENT NRS Specialty for Inspections Conducted by a Home Inspector when a Home is Under Construction Adopted August 17, 2017

I.

Background: Board staff received inquiries about the need for an NRS specialty for inspections by home inspectors during construction (pre-drywall, slab, frame, etc.).

II. Relevant Statutes: § 54.1-500 defines “home inspection” as a written evaluation of accessible components of a residential building by a licensed inspector, including systems, structure, foundation, roof, masonry, exterior, interior, and related components. Limited scope is allowed per contract, which must align with laws and regulations. Energy analysis alone is not a home inspection.

Further, § 54.1-500 defines “residential building” as a structure with 1-4 units used or intended for residential use. § 54.1-503E defines “new residential structure” as one not yet conveyed or occupied by a purchaser. III. Policy: The Board requires licensed home inspectors to hold the NRS specialty for course of construction inspections.

Page 2 of 2

Virginia Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Clarification of Acceptable Degree Programs for Asbestos and Lead Licensing

Adopted by the Board on May 17, 2016

I. Background

Asbestos

Regulation 18 VAC 15-20-32 lists the qualifications for each individual asbestos license discipline. These qualifications are modeled after the EPA Asbestos Model Accreditation Plan for States (MAP), which suggests that states consider similar qualifications. The Board used the MAP as a starting point and added more specific qualifications in developing its Asbestos Licensing Regulations.

To satisfy the education requirement for Inspector, Management Planner, and Project Designer, an applicant can have either a bachelor’s degree or an associate degree in engineering, architecture, industrial hygiene, physical science or a related field. “Related field” affords the applicant the opportunity to use a degree that does not fall into one of those specific fields of study.

Lead

Regulation 18 VAC 15-30-52 lists the qualifications for each individual lead-based paint activity discipline. Section 54.1-501.6 of the Code of Virginia restricts any Lead-Based Paint regulations of the Board from being more stringent than EPA’s Lead-Based Paint Activities Regulations. Because of this restriction, the Board’s entry requirements are identical to EPA’s Lead-Based Paint Activities Regulation,

40 CFR 745.226.

Page 1 of 2To satisfy the education requirement for Project Designer, the applicant can have a bachelor’s degree in engineering, architecture, or a related profession; however, the field of study for the degree designation was left blank for Risk Assessor.

II.

Issue

Frequently, Board staff has difficulty determining which fields of study should be recognized as a related field or a related profession. Many of today’s degrees have rather creative titles. Even after reviewing transcripts, it is difficult to determine whether certain degrees are related and should be acceptable in meeting the minimum requirements for licensure. Additionally, since Lead Risk Assessor does not specify a field of study, staff has no regulatory guidance on what fields of study may be acceptable.

Board staff requests guidance in deciding which fields of study should be accepted as either a related field to asbestos or a related profession to lead-based paint activities.

III. Policy

To ensure consistency in the application of the regulations and to serve as guidance to staff and applicants, the Board adopts the following policy: Where a determination cannot be made whether a degree should be accepted as either a related field or profession, a degree with a minimum of 40 semester credit hours in STEM (Science, Technology, Engineering, and Math) related courses is acceptable towards meeting the application requirements for licensure pursuant to 18 VAC 15-30-52 and 18 VAC 15-20-32. Applicants for licensure pursuant to this provision shall supply official transcripts for each degree program that is being submitted for consideration.

Board staff may request additional information as needed in order to ensure compliance with this policy. Should Board staff be unable to satisfactorily determine whether the credit hours comply with this policy, the application will not be approved.

The applicant may request an informal fact-finding conference pursuant to the Administrative Process Act (Chapter 40 of Title 2.2 of the Code of Virginia) in order for the Board to consider the submitted documentation in the event that the supporting documentation is not sufficient or a determination cannot be reasonably made by staff based on the information submitted.

Page 2 of 2

Virginia Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Clarification of Acceptable Degree Programs for Asbestos and Lead Licensing

Adopted by the Board on May 17, 2016

I. Background

Asbestos

Regulation 18 VAC 15-20-32 lists qualifications for asbestos license disciplines, modeled after EPA MAP, with added specific qualifications in licensing regulations.

To meet education requirements for Inspector, Management Planner, and Project Designer, applicants may have a bachelor’s or associate degree in engineering, architecture, industrial hygiene, physical science, or a related field, which allows degrees outside specified fields.

Lead

Regulation 18 VAC 15-30-52 lists qualifications for lead-based paint disciplines. Section 54.1-501.6 restricts the Board’s requirements to EPA’s Lead-Based Paint Regulations, making them identical.

40 CFR 745.226.

Page 1 of 2 To meet education requirements for Project Designer, applicants may have a bachelor’s in engineering, architecture, or a related profession; the field for Risk Assessor was left blank.

II.

Issue

Frequently, Board staff has difficulty determining which fields of study should be recognized as a related field or a related profession. Many of today’s degrees have rather creative titles. Even after reviewing transcripts, it is difficult to determine whether certain degrees are related and should be acceptable in meeting the minimum requirements for licensure. Additionally, since Lead Risk Assessor does not specify a field of study, staff has no regulatory guidance on what fields of study may be acceptable.

Board staff seeks guidance on acceptable fields of study as related to asbestos or lead-based paint activities.

III. Policy

To ensure consistency, if a degree’s relatedness is unclear, a minimum of 40 semester credit hours in STEM courses is acceptable for licensure, with official transcripts required.

Board staff may request additional info to ensure compliance; if unable to verify credit hours, the application will be denied.

Applicants may request an informal conference under the Administrative Process Act if documentation is insufficient or staff cannot determine eligibility.

Page 2 of 2

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

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

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

B. RECOVERY FUND CLAIMS

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

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

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

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

D. PARTIAL PAYMENTS

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

E. DEBT SET-OFF MATCHES

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

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

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

B. RECOVERY FUND CLAIMS

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

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

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

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

D. PARTIAL PAYMENTS

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

E. DEBT SET-OFF MATCHES

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

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

1. a. The Presiding Officer conducts the Set-Off Hearing to determine if the amount owed remains due; the debt’s basis is not addressed. b. Finance staff present evidence and may call witnesses; debtors may do the same. Proceedings are recorded. c. The Presiding Officer decides if the Department is entitled to the set-off amount.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Training Variance to Qualify for Lead Inspector Licenses Adopted February 6, 2014

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: In lieu of meeting the training requirements of 18 VAC 15-30-52.F.4.a, an Board for Asbestos, Lead, and Home Inspectors Guidance Document Training Variance to Qualify for Lead Inspector License Adopted February 6, 2014 applicant can meet the training requirements for a lead inspector license by providing evidence of successful completion of board-approved lead inspector refresher training along with evidence that the applicant has taken and maintained current risk assessor training (initial and all subsequent refreshers, as applicable). 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.

Board for Asbestos, Lead, and Home Inspectors Guidance Document Training Variance to Qualify for Lead Inspector License Adopted February 6, 2014

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Training Variance to Qualify for Lead Inspector Licenses Adopted February 6, 2014

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: In lieu of meeting the training requirements of 18 VAC 15-30-52.F.4.a, an Board for Asbestos, Lead, and Home Inspectors Guidance Document Training Variance to Qualify for Lead Inspector License Adopted February 6, 2014 applicant can meet the training requirements for a lead inspector license by providing evidence of successful completion of board-approved lead inspector refresher training along with evidence that the applicant has taken and maintained current risk assessor training (initial and all subsequent refreshers, as applicable). 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.

Board for Asbestos, Lead, and Home Inspectors Guidance Document Training Variance to Qualify for Lead Inspector License Adopted February 6, 2014

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

C. Late fee payments disqualify candidates unless the Director grants a waiver for extenuating circumstances.

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

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

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

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

Board for Asbestos, Lead, and Home Inspectors Guidance Document: CPE for Home Inspectors with the NRS Specialty

Adopted: May 16, 2019 Effective: October 17, 2019

I.

Background Effective July 1, 2017, home inspectors conducting new residential structure (NRS) inspections are required to obtain the NRS specialty, which is achieved by successfully completing an eight-hour NRS training module approved by the Board no more than two years prior to application1. In order to maintain the NRS specialty, a licensed home inspector must submit proof of completion of a four-hour, Board-approved NRS CPE course2.

II. Issues

The NRS specialty can be added to a home inspector license at any time during the two-year license cycle. However, the renewal of the NRS specialty is simultaneous with the renewal of the home inspector license. Staff has received a number of inquiries from home inspectors with the NRS specialty who took the initial training module within the last few months and would have to take the NRS CPE course in order to renew the license. For example, the NRS CPE course was taken and the NRS specialty added to the license in January 2019. The license expired July 31, 2019. Would the NRS CPE course be required so soon after the initial NRS CPE training module was completed?

III. Board Guidance 1 See 18VAC15-40-35 of the Home Inspector Licensing Regulations 2 See 18VAC15-40-75 of the Home Inspector Licensing Regulations Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors Because there are few, if any, changes in the NRS courses (initial and CPE) in such a short time period, the Board adopts the following guidance: A home inspector license with the NRS specialty wherein the initial NRS training module pursuant to 18VAC15-40-35.2 of the Home Inspector Licensing Regulations was taken no more than one year before the expiration date on the license, will not require proof of the NRS CPE course pursuant to 18VAC15-40-75 for that renewal. For example, a home inspector license with the NRS specialty expires July 31, 2019. If the initial NRS training module was completed on or after August 1, 2018, the NRS CPE course would not be required to renew the license for that license cycle. The NRS CPE course will be required to have been completed during each subsequent renewal cycle in order to maintain the NRS specialty.

All other requirements for renewal must be met in order to renew the license and the home inspector is still required to have completed 16 contact hours of CPE during the license cycle pursuant to 18VAC15-40-72.

Page 2 of 2

Guidance Document Board for Asbestos, Lead, and Home Inspectors in accordance with § 2.2-4002.1, this guidance conforms to § 2.2-4101.

Board for Asbestos, Lead, and Home Inspectors Guidance Document: CPE for Home Inspectors with the NRS Specialty

Adopted: May 16, 2019 Effective: October 17, 2019

I.

Background Effective July 1, 2017, home inspectors conducting new residential structure (NRS) inspections are required to obtain the NRS specialty, which is achieved by successfully completing an eight-hour NRS training module approved by the Board no more than two years prior to application1. In order to maintain the NRS specialty, a licensed home inspector must submit proof of completion of a four-hour, Board-approved NRS CPE course2.

II. Issues

The NRS specialty can be added to a home inspector license at any time during the two-year license cycle. However, the renewal of the NRS specialty is simultaneous with the renewal of the home inspector license. Staff has received a number of inquiries from home inspectors with the NRS specialty who took the initial training module within the last few months and would have to take the NRS CPE course in order to renew the license. For example, the NRS CPE course was taken and the NRS specialty added to the license in January 2019. The license expired July 31, 2019. Would the NRS CPE course be required so soon after the initial NRS CPE training module was completed?

III. Board Guidance 1 See 18VAC15-40-35 of the Home Inspector Licensing Regulations 2 See 18VAC15-40-75 of the Home Inspector Licensing Regulations Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors Because there are few, if any, changes in the NRS courses (initial and CPE) in such a short time period, the Board adopts the following guidance: A home inspector license with the NRS specialty wherein the initial NRS training module pursuant to 18VAC15-40-35.2 of the Home Inspector Licensing Regulations was taken no more than one year before the expiration date on the license, will not require proof of the NRS CPE course pursuant to 18VAC15-40-75 for that renewal. For example, a home inspector license with the NRS specialty expires July 31, 2019. If the initial NRS training module was completed on or after August 1, 2018, the NRS CPE course would not be required to renew the license for that license cycle. The NRS CPE course will be required to have been completed during each subsequent renewal cycle in order to maintain the NRS specialty.

All other renewal requirements apply, including completing 16 contact hours of CPE during the cycle per 18VAC15-40-72.

Page 2 of 2

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

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

B. COMPLAINT FORMAT REQUIREMENTS

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

C. SOURCES OF COMPLAINTS

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

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

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

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

B. COMPLAINT FORMAT REQUIREMENTS

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

C. SOURCES OF COMPLAINTS

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

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

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

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

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

® ACCURINT

® PUBLIC RECORDS

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

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

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

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

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

® ACCURINT

® PUBLIC RECORDS

1. All personnel must comply with LexisNexis ® Non-FCRA and Department’s Information Security agreements.
2. All LexisNexis ® Accurint ® Public Records inquiries must be logged and available for management inspection.
3. Division information from LexisNexis ® Accurint ® must be used for verification only and not disclosed outside DPOR. Only verified public info may be shared externally.

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

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

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Inspections Without a Written Evaluation (Report) Conducted by a Home Inspector

Adopted August 26, 2021 Effective Date: October 28, 2021

I.

Background

Board staff has received inquiries regarding whether inspections of residences conducted by a home inspector which do not include a written report are 1) considered home inspections, and 2) allowed under the law. Informally known as “walk-and-talk inspections,” these are a specialized service offered by some home inspectors wherein the home inspector and client walk through the home and the home inspector verbally reports on the observable components of the residence. The client is expected to make notes and/or take pictures during the walk-through and the home inspector does not provide a written report. Based on anecdotal information from those in the real estate industry, these types of inspections have become more commonplace as a result of the current competitive real estate market.

II. Issue

Section 54.1-500 of the Code of Virginia defines a home inspection as: “…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 Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors 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.” The definition of “home inspection” contains several elements that are necessary for an inspection of a residential building to fall within the meaning of home inspection: 1) the service is provided for compensation; 2) it is conducted by a home inspector; and 3) there is a written evaluation of readily accessible components. While a home inspection contract can limit the scope of a home inspection, these three conditions, at a minimum, must be satisfied to be considered a home inspection under the Board’s laws and regulation. The “walk-and-talk” inspections described herein do not include a written evaluation.

III. Board Guidance The Board provides the following guidance regarding home inspectors conducting inspections of residential buildings that do not include a written evaluation (report): Based on the definition of “home inspection” in § 54.1-500, a home inspection must include, among other things, a written evaluation of readily accessible components.

Because a “walk-and-talk” inspection does not include a written evaluation, it is not considered a home inspection. It would be contrary to state law for a home inspector to represent a “walk-and-talk” inspection as a home inspection. While the Board’s authority over an individual licensed as a home inspector is limited to such individual’s performance of home inspections, the specialized service described herein should not be called, described, or referred to as a “home inspection” as it does not comply with the definition of a home inspection in § 54.1-500 of the Code of Virginia. A home inspector who represents a “walk-and-talk” inspection as a home inspection may be subject to disciplinary action by the Board.

Page 2 of 2

Guidance Document Board for Asbestos, Lead, and Home Inspectors In accordance with § 2.2-4002.1 of the Virginia Code, this guidance conforms to the definition in § 2.2-4101.

Board for Asbestos, Lead, and Home Inspectors Guidance: Inspections Without Written Evaluation (Report) Conducted by a Home Inspector

Adopted August 26, 2021 Effective Date: October 28, 2021

I.

Background

Board staff has received inquiries regarding whether inspections of residences conducted by a home inspector which do not include a written report are 1) considered home inspections, and 2) allowed under the law. Informally known as “walk-and-talk inspections,” these are a specialized service offered by some home inspectors wherein the home inspector and client walk through the home and the home inspector verbally reports on the observable components of the residence. The client is expected to make notes and/or take pictures during the walk-through and the home inspector does not provide a written report. Based on anecdotal information from those in the real estate industry, these types of inspections have become more commonplace as a result of the current competitive real estate market.

II. Issue

Section 54.1-500 of the Code of Virginia defines a home inspection as: “…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 Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors 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.” The definition of “home inspection” contains several elements that are necessary for an inspection of a residential building to fall within the meaning of home inspection: 1) the service is provided for compensation; 2) it is conducted by a home inspector; and 3) there is a written evaluation of readily accessible components. While a home inspection contract can limit the scope of a home inspection, these three conditions, at a minimum, must be satisfied to be considered a home inspection under the Board’s laws and regulation. The “walk-and-talk” inspections described herein do not include a written evaluation.

III. Board Guidance The Board states that, per § 54.1-500, a home inspection must include a written evaluation of accessible components.

Because a “walk-and-talk” inspection does not include a written evaluation, it is not considered a home inspection. It would be contrary to state law for a home inspector to represent a “walk-and-talk” inspection as a home inspection. While the Board’s authority over an individual licensed as a home inspector is limited to such individual’s performance of home inspections, the specialized service described herein should not be called, described, or referred to as a “home inspection” as it does not comply with the definition of a home inspection in § 54.1-500 of the Code of Virginia. A home inspector who represents a “walk-and-talk” inspection as a home inspection may be subject to disciplinary action by the Board.

Page 2 of 2

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: Testing Irregularity Report, Examination Agreement

V. GENERAL PROVISIONS:

A. EXAM SITE CONDUCT AGREEMENT: Before testing, candidates must read, sign, and submit an agreement acknowledging prohibited conduct and consequences.

B. HANDLING PROHIBITED CONDUCT: Proctors should use sound judgment, avoid confrontation or physical contact, and involve a second proctor if possible. All incidents must be documented.

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

After initial warning, continued prohibited conduct will lead to collection of exam materials and expulsion.

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

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

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspectors 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 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, Former Governor Northam’s Amended Executive Order 51 authorized the heads of executive branch agencies, on behalf of their regulatory boards as appropriate, to temporarily waive any state requirement or regulation in order to assist in mitigating the effects of the pandemic.

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, and as the Board’s regulations are silent on electronic methods of course delivery, staff has received multiple inquiries regarding allowable methods of delivery for asbestos and lead training courses.

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, Board staff provides the following guidance: Page 1 of 3 Guidance Document Virginia Board for Asbestos, Lead, and Home Inspectors 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.

1. 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.

Page 2 of 3 Guidance Document Virginia Board for Asbestos, Lead, and Home Inspectors For auditing purposes, Board staff will have unrestricted access to the electronic course at any time during which the course is conducted.

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 Page 3 of 3

Guidance Document Virginia Board for Asbestos, Lead, and Home Inspectors in accordance with § 2.2-4002.1 of the Code of Virginia, this guidance conforms to the definition in § 2.2-4101.

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 COVID-19 State of Emergency, Former Governor Northam’s Amended Executive Order 51 authorized agency heads to temporarily waive state requirements to mitigate pandemic effects.

Pursuant to this authority, a waiver of DPOR regulations limiting online, electronic, or distance theoretical instruction was issued.

During this time, asbestos and lead courses without hands-on components were permitted virtually.

II. Issue

Since the waiver expired on July 31, 2021, and regulations are silent on electronic course delivery, staff received inquiries on allowable methods for asbestos and lead training.

III. Board Guidance

To align with CFR and Chapter 54.1 of Virginia Code, Board staff provides guidance: electronic delivery of asbestos and lead refresher courses is permitted if requirements are met:

1. Training providers must authenticate each student’s identity and eligibility.
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. Instructors must be available for questions or technical assistance via online, message boards, or phone.
6. A minimum 20-question test at course end; 80% correct for completion.

The test must prevent feedback until after submission.

1. 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.

Notifications and participant lists must specify if the course is electronic.

For auditing, Board staff will have unrestricted access to electronic courses during conduct.

Electronic courses must meet all other statutory and regulatory refresher requirements.

Electronic delivery includes real-time virtual and asynchronous training.

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document Effective Date: August 23, 2011 Lead-Based Paint Licensing Regulations Interpretations and Policies 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.

Page 1 of 1

Virginia Board for Asbestos, Lead, Mold, and Home Inspectors Guidance Document Effective Date: August 23, 2011 Lead-Based Paint Licensing Regulations Interpretations and Policies 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.

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.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. 18VAC15-30-166.A Qualifications for renewal 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: i.) completion of a board-approved lead initial training course and board-approved refresher training course(s), as applicable; or ii.) 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.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. 18VAC15-30-166.A Qualifications for renewal 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: i.) completion of a board-approved lead initial training course and board-approved refresher training course(s), as applicable; or ii.) 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

Guidance Document: Requirement to take the Virginia Lead Law Exam Board for Asbestos, Lead, and Home Inspectors Effective April 4, 2019 In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held from March 4, 2019, through April 3, 2019, with no comments received.

Board for Asbestos, Lead, and Home Inspectors 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 Page 1 of 2 Guidance Document: Requirement to take the Virginia Lead Law Exam Board for Asbestos, Lead, and Home Inspectors Effective April 4, 2019 examination will not be applicable in the event there are significant changes to the laws and/or regulations that results in an examination review and update. Anyone required by regulation to take a lead licensing examination, to include 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.

Page 2 of 2

Guidance Document: Requirement to take the Virginia Lead Law Exam Board for Asbestos, Lead, and Home Inspectors Effective April 4, 2019 In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held from March 4, 2019, through April 3, 2019, with no comments received.

Board for Asbestos, Lead, and Home Inspectors 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 Page 1 of 2 Guidance Document: Requirement to take the Virginia Lead Law Exam Board for Asbestos, Lead, and Home Inspectors Effective April 4, 2019 examination will not be applicable in the event there are significant changes to the laws and/or regulations that results in an examination review and update. Anyone required by regulation to take a lead licensing examination, to include 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.

Page 2 of 2

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

1. The applicant shall submit a complete application.
2. The applicant must hold the same or similar license, certificate, registration, permit, or other authorization required for the practice of any business, profession or occupation issued by another jurisdiction based on requirements in such other jurisdiction that are substantially equivalent to those required in Virginia.
3. The applicant must not have engaged in acts grounds for disciplinary action.
4. The applicant’s spouse must be transferred to Virginia by the military.
5. If review isn't complete within 20 days, the board may issue a temporary license valid for 12 months or until a permanent license is issued; no renewals or reinstatements.

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

The provisions do not apply to Branch Pilot licenses issued by other jurisdictions, as they are not deemed substantially equivalent.

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

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

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

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

Guidance Document Board for Asbestos, Lead, and Home Inspectors In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held June 10, 2019 through July 10, 2019.

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Inspections of Specific Components of a Residential Building

Adopted: May 16, 2019 Effective: July 11, 2019

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:

“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.” Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors 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.

Page 2 of 2

Guidance Document Board for Asbestos, Lead, and Home Inspectors In accordance with § 2.2-4002.1 of the Code of Virginia, public comment forum held June 10, 2019 through July 10, 2019.

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Inspections of Specific Components of a Residential Building

Adopted: May 16, 2019 Effective: July 11, 2019

I.

Background: Board staff received inquiries on whether a home inspector license is required for inspections of limited components or systems of a residential structure.

Examples include roof, foundation, HVAC inspections, etc.

II. Relevant Statutes

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

“Any inspection of a residential building for compensation by a licensed home inspector. A home inspection includes a written evaluation of accessible components, including heating, cooling, plumbing, electrical, structural, foundation, roof, masonry, exterior, interior, and related components. It may be limited in scope per a home inspection contract, provided it aligns with this chapter and Board regulations. Residential building energy analysis alone, as defined in § 54.1-1144, is not a home inspection.” Page 1 of 2 Guidance Document Board for Asbestos, Lead, and Home Inspectors III. Based on § 54.1-500, an unlicensed individual inspecting a residential component or system is not performing a home inspection.

Page 2 of 2

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

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

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

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

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

1. Requests may be submitted by mail (including email), facsimile, or other written formats using DPOR forms. Online changes are available on the Department’s website. Telephone requests are not accepted.
2. Individual name change requests must include legal proof such as a marriage certificate, divorce decree, or court order.
3. Business name change requests must include all information required by relevant board regulations or local requirements.

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

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

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

Virginia Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Clarification of an Employment Relationship Pursuant to 18VAC15-20-456.D of the Asbestos Licensing Regulations

Adopted February 11, 2016

I. Background

Asbestos Licensing Regulation 18 VAC 15-20-20 defines an “employee” as any person in the service of another under any contract of hire, express or implied, oral or written.

Subsection D of Regulation 18 VAC 15-20-456 requires Asbestos Project Monitors who analyze PCM air samples on site to be employed by a licensed analytical laboratory.

II. Issue

As a result of the broad scope of the definition of “employee” in 18 VAC 15-20-20, questions have arisen as to the necessary relationship of a project monitor to a licensed analytical laboratory pursuant to 18 VAC 15-20-456.

III. Policy

The Internal Revenue Service Ruling 87-41 provides 20 factors that the IRS suggests as an aid in determining whether an individual is an employee. In determining whether an employment relationship exists between the Asbestos Project Monitor and the Asbestos Analytical Laboratory in the context described in 18 VAC 15-20-456.D, the factors contained in the IRS 20 Factors and Virginia Exemptions for Employee Classification will be used as a guide in making such a determination. IRS 20 Factors and Virginia Exemptions for Employee Classification are attached and hereby incorporated into this guidance document.

Guidance Document: Clarification of an Employment Relationship Pursuant to 18VAC15-20- Board for Asbestos, Lead, and Home 456.D of the Asbestos Licensing Regulations Inspectors Adopted February 11, 2016IRS 20 Factors and Virginia Exemptions for Employee Classification Revenue Ruling 87-41: The Twenty Factors To help determine whether a worker is an employee under the common law rules, the IRS identified 20 factors that may indicate whether the employer can exercise enough control to establish an employer-employee relationship. These factors, set forth in Revenue Ruling 87-41, were based on the circumstances that the courts identified and relied upon to decide whether an employment relationship existed. Not all the factors must be present to find an employee/employment relationship, but the factors are guides to use to assess the likelihood as to whether an individual is an employee or an independent contractor.

(1) Instructions. An employee must comply with instructions about when, where and how to work. The control factor is present if the employer has the right to require compliance with the instructions.

(2) Training. An employee receives on-going training from, or at the direction of, the employer.

Independent contractors use their own methods and receive no training from the purchasers of their services.

(3) Integration. An employee’s services are integrated into the business operations because the services are important to the business. This shows that the worker is subject to direction and control of the employer.

(4) Services rendered personally. If the services must be rendered personally, presumably the employer is interested in the methods used to accomplish the work as well as the end results. An employee often does not have the ability to assign their work to other employees, an independent contractor may assign the work to others.

(5) Hiring, supervising and paying assistants. If an employer hires, supervises and pays assistants, the worker is generally categorized as an employee. An independent contractor hires, supervises and pays assistants under a contract that requires him or her to provide materials and labor and to be responsible only for the result.

(6) Continuing relationship. A continuing relationship between the worker and the employer indicates that an employer-employee relationship exists. The IRS has found that a continuing relationship may exist where work is performed at frequently recurring intervals, even if the intervals are irregular.

(7) Set hours of work. A worker who has set hours of work established by an employer is generally an employee. An independent contractor sets his/her own schedule.

(8) Full time required. An employee normally works full time for an employer. An independent contractor is free to work when and for whom he or she chooses. (9) Work done on premises. Work performed on the premises of the employer for whom the services are performed suggests employer control, and therefore, the worker may be an employee. Independent Contractor may perform the work wherever they desire as long as the contract requirements are performed.

(10) Order or sequence set. A worker who must perform services in the order or sequence set by an employer is generally an employee. Independent Contractor performs the work in whatever order or sequence they may desire.

(11) Oral or written reports. A requirement that the worker submit regular or written reports to the employer indicates a degree of control by the employer.

(12) Payments by hour, week or month. Payments by the hour, week or month generally point to an employer-employee relationship.

(13) Payment of expenses. If the employer ordinarily pays the worker’s business and/or travel expenses, the worker is ordinarily an employee.

(14) Furnishing of tools and materials. If the employer furnishes significant tools, materials and other equipment by an employer, the worker is generally an employee.

(15) Significant investment. If a worker has a significant investment in the facilities where the worker performs services, the worker may be an independent contractor.

(16) Profit or loss. If the worker can make a profit or suffer a loss, the worker may be an independent contractor. Employees are typically paid for their time and labor and have no liability for business expenses.

(17) Working for more than one firm at a time. If a worker performs services for a multiple of unrelated firms at the same time, the worker may be an independent contractor.

(18) Making services available to the general public. If a worker makes his or her services available to the general public on a regular and consistent basis, the worker may be an independent contractor.

(19) Right to discharge. The employer’s right to discharge a worker is a factor indicating that the worker is an employee.

(20) Right to terminate. If the worker can quit work at any time without incurring liability, the worker is generally an employee.

Payments Subject to Withholding Virginia law conforms to the federal definition of income subject to withholding. Virginia withholding is generally required on any payment for which federal withholding is required. This includes most wages, pensions and annuities, gambling winnings, vacation pay, bonuses, and certain expense reimbursements.

Payments Exempt From Withholding Payments that are exempt from federal withholding are also exempt from Virginia withholding.

In addition, the following payments are exempt from Virginia withholding:  Payments made for acting in or serving as a crew member for movies, television series, commercials, or promotional films that are filmed totally or partially in Virginia by an employer that conducts business in Virginia for less than 90 days and that edits, processes and markets the completed project outside Virginia  Payments made from an IRA or SEP  Payments made to nonresident employees of rail carriers, motor carriers, and water carriers  Payments made to resident and nonresident merchant seamen

Virginia Board for Asbestos, Lead, and Home Inspectors

Guidance Document: Clarification of Employment Relationship Pursuant to 18VAC15-20-456.D of Asbestos Licensing Regulations

Adopted February 11, 2016

I. Background

Asbestos Licensing Regulation 18 VAC 15-20-20 defines an “employee” as any person in the service of another under any contract of hire, express or implied, oral or written.

Subsection D of Regulation 18 VAC 15-20-456 requires Asbestos Project Monitors who analyze PCM air samples on site to be employed by a licensed analytical laboratory.

II. Issue

Questions have arisen about the necessary relationship of a project monitor to a licensed analytical laboratory due to the broad scope of “employee” in 18 VAC 15-20-20 pursuant to 18 VAC 15-20-456.

III. Policy

IRS Ruling 87-41 provides 20 factors to help determine if an individual is an employee. These factors, along with Virginia Exemptions for Employee Classification, will guide the determination between the Project Monitor and the Laboratory, and are incorporated into this guidance.

Guidance Document: Clarification of an Employment Relationship Pursuant to 18VAC15-20- Board for Asbestos, Lead, and Home 456.D of the Asbestos Licensing Regulations Inspectors Adopted February 11, 2016IRS 20 Factors and Virginia Exemptions for Employee Classification Revenue Ruling 87-41: The Twenty Factors To help determine whether a worker is an employee under the common law rules, the IRS identified 20 factors that may indicate whether the employer can exercise enough control to establish an employer-employee relationship. These factors, set forth in Revenue Ruling 87-41, were based on the circumstances that the courts identified and relied upon to decide whether an employment relationship existed. Not all the factors must be present to find an employee/employment relationship, but the factors are guides to use to assess the likelihood as to whether an individual is an employee or an independent contractor.

(1) Instructions. An employee must follow instructions on when, where, and how to work; control exists if the employer can require compliance.

(2) Training. An employee receives ongoing training from or at the employer's direction.

Independent contractors use their methods and receive no training from clients.

(3) Integration. An employee’s services are integrated into business operations, indicating employer control and direction.

(4) Services personally rendered. If services must be personal, the employer is interested in methods and results; employees typically cannot assign work, contractors can.

(5) Hiring, supervising, paying assistants. If an employer does so, the worker is generally an employee; contractors hire, supervise, pay assistants under a contract for materials, labor, and results.

(6) Continuing relationship. Ongoing work suggests an employer-employee relationship, even if performed at recurring but irregular intervals.

(7) Set hours. Worker with hours set by employer is generally an employee; contractors set their own schedule.

(8) Full-time work. Employees usually work full time; contractors choose their hours. (9) Work on premises suggests employer control; contractors may work anywhere as per contract.

(10) Order or sequence set. A worker who must perform services in the order or sequence set by an employer is generally an employee. Independent Contractor performs the work in whatever order or sequence they may desire.

(11) Reports. Requiring regular or written reports indicates employer control.

(12) Payment schedule. Hourly, weekly, or monthly payments suggest employment.

(13) Expenses. Employer paying business/travel expenses indicates employee status.

(14) Tools/materials. Employer providing significant tools/equipment suggests employee.

(15) Investment. Significant investment in facilities suggests independent contractor.

(16) Profit or loss. If the worker can make a profit or suffer a loss, the worker may be an independent contractor. Employees are typically paid for their time and labor and have no liability for business expenses.

(17) Multiple firms. Working for multiple unrelated firms suggests independent contractor.

(18) Public availability. Offering services to the public regularly suggests independent contractor.

(19) Discharge right. Employer’s right to discharge indicates employee status.

(Right to terminate. If the worker can quit anytime without liability, the worker is generally an employee.

Payments Subject to Withholding Virginia law follows the federal definition of income subject to withholding. Virginia requires withholding on any payment requiring federal withholding, including wages, pensions, annuities, gambling winnings, vacation pay, bonuses, and certain reimbursements.

Payments Exempt From Withholding Payments exempt from federal withholding are also exempt from Virginia withholding.

In addition, the following payments are exempt from Virginia withholding:  Payments made for acting in or serving as a crew member for movies, television series, commercials, or promotional films that are filmed totally or partially in Virginia by an employer that conducts business in Virginia for less than 90 days and that edits, processes and markets the completed project outside Virginia  Payments made from an IRA or SEP  Payments made to nonresident employees of rail carriers, motor carriers, and water carriers  Payments made to resident and nonresident merchant seamen

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

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

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

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

Internet A global web of interconnected networks and computers.

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

B. GENERAL

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

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

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

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

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

C. CHANGES TO THE DEPARTMENT WEBSITE

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

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

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

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

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

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

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

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

Internet A global web of interconnected networks and computers.

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

B. GENERAL

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

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

1. The website may include hyperlinks to sites with educational, reference, research value, or related to the Department’s or Virginia’s mission.

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

1. Data and online services shall be developed by the IS Division with operational units and are not subject to content review or approval.
2. Forms per Procedure #1002 are not subject to review. Requests to post forms go to the Forms Analyst or Web Coordinator, with a copy to the operational unit.

C. CHANGES TO THE DEPARTMENT WEBSITE

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

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

1. Info may remain on the website as long as current.
2. Any unique Department website information must be printed by the website liaison and forwarded to the Information Management Section for archival retention; duplicate information does not require separate retention.

Same as previous, no change needed.

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

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

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

III. DEFINITIONS:

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

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

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

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

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

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

A. CUSTODIAN OF RECORD

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

B. RESPONDING TO INFORMATION REQUESTS

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

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

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

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

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

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

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

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

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

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

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

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

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

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

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

E. OTHER NON-DISCLOSABLE INFORMATION

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

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

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

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

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

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

III. DEFINITIONS:

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

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

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

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

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

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

A. CUSTODIAN OF RECORD

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

B. RESPONDING TO INFORMATION REQUESTS

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

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

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

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

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

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

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

1. Bonds direct requests to: Licensing Section; performance bonds (amount and issuer) are publicly disclosable upon request.
2. Certifications of Regulant Status direct requests to: Licensing Section; responsible for preparing in accordance with DPOR Procedure #903.
3. Complaint files direct requests to: Compliance and Investigations; inquiries about complaints are responded to, open complaints may be publicly acknowledged when probable cause exists, case files are exempt until closure, and disclosures follow the Administrative Process Act.

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

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

1. Contracts and procurement records direct requests to: Procurement Section; records may be released per § 2.2-4342.
2. Electronic mail requests go to: Custodian of Record; all emails and attachments are subject to disclosure, with exclusions per § 54.1-108, §§ 2.2-3705.1–2.2-3706, and policies. Email content determines exemptions.
3. Examination info requests go to: Education/Examinations or Info Management; questions, papers, answer sheets, and keys are exempt unless security is not compromised; scores may be released per regulations and policies.
4. Financial records requests go to: Finance Section; requests submitted to the Budget and Financial Services Director.
5. Governor’s working papers requests go to: Custodian; these are not public. Legal documents: legal advice and memoranda for litigation or investigations are privileged. License maintenance records are public with exemptions. License transcripts summarize license activity, prepared for court, and authenticated per § 54.1-112.

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

1. 2-3711 are not subject to public disclosure. However, no record that is otherwise open to inspection under this chapter shall be deemed exempt by virtue of the fact that it has been reviewed or discussed in a closed meeting. Personnel records requests go to: Human Resources; requests handled per policies, employee info released only with consent, and employees are notified of disclosures. Property registration files are publicly available electronically. Recovery Fund claim files are available upon request. Regulant lists are available electronically for distribution.

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

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

E. OTHER NON-DISCLOSABLE INFORMATION

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

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

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

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

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

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

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

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

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

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Renewing Asbestos Worker Licenses with Asbestos Supervisor Refresher Training Adopted May 17, 2018

I.

Issue The Board’s Asbestos Licensing Regulations allow an applicant to qualify for licensure as an asbestos worker using accredited asbestos supervisor training (initial and all subsequent refreshers). However, an asbestos worker license cannot be renewed with an accredited asbestos supervisor training course – the course must be an accredited asbestos worker course.

II. Relevant Regulations Section 18VAC15-20-32.E.1 of the Asbestos Licensing Regulations states: E. Specific entry requirements.

1. Worker. Each individual applying for an initial asbestos worker license shall provide proof of successful completion of (i) an EPA/AHERA or board-approved initial accredited asbestos worker training program and all subsequent EPA/AHERA or board-approved accredited asbestos worker refresher training programs or (ii) an EPA/AHERA or board-approved initial accredited supervisor training program and all subsequent EPA/AHERA or board-approved accredited asbestos supervisor refresher training programs.

The training certificate must indicate that the training was taken within 12 months preceding the date the department receives the application.

In addition, 18VAC15-20-70.C states: Page 1 of 2 C. Prior to the expiration date shown on the individual's current license, the individual desiring to renew that license shall provide evidence of meeting the annual refresher training requirement for license renewal and the appropriate fee specified in 18VAC15-20-53. The board will accept any asbestos training programs that are approved by EPA/AHERA or the board. A copy of the training certificate documenting the successful completion of the refresher training for the license discipline being renewed and meeting the requirements outlined in this chapter shall accompany the renewal notice and fee.

III. Board Guidance The Board will accept EPA/AHERA or Board-approved asbestos supervisor training programs for renewal of an asbestos worker license provided all other requirements of the Board are met.

Page 2 of 2

Board for Asbestos, Lead, and Home Inspectors Guidance Document: Renewing Asbestos Worker Licenses with Asbestos Supervisor Refresher Training Adopted May 17, 2018

I.

Issue The Board’s Asbestos Licensing Regulations allow an applicant to qualify for licensure as an asbestos worker using accredited asbestos supervisor training (initial and all subsequent refreshers). However, an asbestos worker license cannot be renewed with an accredited asbestos supervisor training course – the course must be an accredited asbestos worker course.

II. Relevant Regulations Section 18VAC15-20-32.E.1 states: E. Specific entry requirements.

1. Worker. Applicants for an initial asbestos worker license must provide proof of completion of (i) EPA/AHERA or board-approved initial and refresher asbestos worker training or (ii) EPA/AHERA or board-approved initial and refresher asbestos supervisor training.

The training certificate must show it was completed within 12 months before the department receives the application.

In addition, 18VAC15-20-70.C states: Page 1 of 2 C. Prior to the expiration date shown on the individual's current license, the individual desiring to renew that license shall provide evidence of meeting the annual refresher training requirement for license renewal and the appropriate fee specified in 18VAC15-20-53. The board will accept any asbestos training programs that are approved by EPA/AHERA or the board. A copy of the training certificate documenting the successful completion of the refresher training for the license discipline being renewed and meeting the requirements outlined in this chapter shall accompany the renewal notice and fee.

III. Board Guidance: The Board accepts EPA/AHERA or Board-approved asbestos supervisor training for license renewal if all other requirements are met.

Page 2 of 2

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

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

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

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Clarification of Requirements for Individuals who Analyze PCM Air Samples Onsite Adopted May 14, 2015

I.

Background Regulation 18 VAC 15-20-33 E.2.b (2) describes the entry requirements for the licensure of an asbestos analytical laboratory to perform onsite PCM analysis, and the qualifications of the onsite analyst who is analyzing the PCM air samples.

Regulation 18 VAC 15-20-456 outlines the responsibilities of an Asbestos Project Monitor. Subsection D describes the accreditations the Asbestos Project Monitor must have to analyze PCM air samples on site, and indicates that they shall be employed by a licensed analytical laboratory.

II.

Issue Regulation 18 VAC 15-20-456.D requires project monitors who analyze PCM air samples onsite to “be listed or have applied for listing in the AAR and rated ‘acceptable’ or is accredited by AIHA or has been rated ‘proficient’ in the PAT Program’s most recent round of asbestos evaluations” in addition to being employed by a licensed analytical laboratory. Further, 18 VAC 15-33.E.2.b(2) requires on-site analysts to have the same accreditation/designation as well as the NIOSH 582 training program or equivalent. Other than the AAR listing, the other options for accreditation/designation apply to analytical laboratories and not individuals. The Board is requested to identify how a project monitor or on-site analyst can meet the accreditations/designations applicable to analytical laboratories.

Guidance Document: Project Monitor Requirements for On-Site Analysis Adopted May 14, 2015 Page 1 of 2

III.

Clarification The Board clarified that a project monitor or on-site analyst can satisfy the requirement for AIHA accreditation or PAT Program proficiency through completion of the NIOSH 582 or equivalent, and the following:

• For PAT Program proficiency, the project monitor or on-site analyst is employed by a licensed analytical laboratory that is rated as “proficient” in the PAT Program and the analytical laboratory maintains, and provides upon request, the training and quality control documentation such as is necessary to demonstrate competency in performing onsite analysis.
• For AIHA (AIHA-LAP, LLC) accreditation, the project monitor is employed by a licensed analytical laboratory that is AIHA accredited and the analytical laboratory maintains, and provides upon request, the training and quality control documentation such as is necessary to demonstrate competency in performing onsite analysis.

Guidance Document: Project Monitor Requirements for On-Site Analysis Adopted May 14, 2015 Page 2 of 2

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Clarification of Requirements for Individuals who Analyze PCM Air Samples Onsite Adopted May 14, 2015

I.

Background Regulation 18 VAC 15-20-33 E.2.b (2) details licensure entry requirements for asbestos analytical labs to perform onsite PCM analysis and qualifications of onsite analysts.

Regulation 18 VAC 15-20-456 outlines the responsibilities of an Asbestos Project Monitor. Subsection D describes the accreditations the Asbestos Project Monitor must have to analyze PCM air samples on site, and indicates that they shall be employed by a licensed analytical laboratory.

II.

Issue Regulation 18 VAC 15-20-456.D requires project monitors who analyze PCM air samples onsite to “be listed or have applied for listing in the AAR and rated ‘acceptable’ or is accredited by AIHA or has been rated ‘proficient’ in the PAT Program’s most recent round of asbestos evaluations” in addition to being employed by a licensed analytical laboratory. Further, 18 VAC 15-33.E.2.b(2) requires on-site analysts to have the same accreditation/designation as well as the NIOSH 582 training program or equivalent. Other than the AAR listing, the other options for accreditation/designation apply to analytical laboratories and not individuals. The Board is requested to identify how a project monitor or on-site analyst can meet the accreditations/designations applicable to analytical laboratories.

Guidance Document: Project Monitor Requirements for On-Site Analysis Adopted May 14, 2015 Page 1 of 2

III.

The Board clarified that a project monitor or on-site analyst can meet AIHA accreditation or PAT proficiency via NIOSH 582 or equivalent, and the following:

• For PAT proficiency, the project monitor or on-site analyst must be employed by a licensed lab rated ‘proficient’ in the PAT Program, which maintains and provides training and quality control documentation upon request.
• For AIHA accreditation, the project monitor must be employed by an AIHA-accredited licensed lab that maintains and provides training and quality control documentation upon request.

Guidance Document: Project Monitor Requirements for On-Site Analysis Adopted May 14, 2015 Page 2 of 2

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Identification Requirements for Applications for Asbestos and Lead Licensure and Home Inspector Certification Adopted February 5, 2015

I.

Applicable Law

§ 54.1-116. Applicants to include social security numbers, or other identifying number; exemption.

A. Every applicant for a license, certificate, registration or other authorization to engage in a business, trade, profession or occupation issued by the Commonwealth pursuant to this title, and every applicant for renewal thereof, shall provide on the application either his social security number or control number issued by the Department of Motor Vehicles pursuant to § 46.2-342. An initial application or renewal application which does not include either identifying number shall not be considered or acted upon by the issuing entity, and no refund of any fees paid with the application shall be granted.

II.

Background As part of the application process, Board staff conducts a data search in public and proprietary records software to verify that the applicant’s name matches the Social Security Number provided on the application. This process is necessary in order to reduce the use of fraudulent Social Security Numbers in order to obtain licensure. The public and proprietary records software identifies anyone that utilizes a specific Social Security Number in any type of transaction (i.e., real estate transaction). While this system is not infallible, since multiple names have been found to be associated with the same Social Security Number, it has been the most reliable system in which Board staff

Guidance Document: Identification Requirements Adopted February 5, 2015 Page 1 of 2 has access.

If Board staff could not verify the validity of the Social Security Number via the public and proprietary records software data search, it would request the applicant to provide verification from the Social Security Administration (SSA) of the applicant’s Social Security Number. On August 1, 2014, the SSA stopped providing this service, leaving Board staff with no other source of verification in the event of a Social Security Number discrepancy. DPOR staff has explored other possibilities directly with the SSA; however, to date staff has not been successful in securing an alternative verification system with the SSA.

In December, DPOR was able to obtain access to the Department of Motor Vehicles’ (DMV) Portal as an External User. However, this form of verification only works for those who have a Virginia Driver’s License. Most of the fraudulent Social Security Numbers encountered come from out-of-state applicants. The public and proprietary records software is still utilized for out-of-state applicants.

III.

Policy The Board authorizes staff to request from the applicant a photocopy (front and back) of the Social Security card and a photocopy of a government-issued photo identification issued to the applicant in instances where the name cannot be matched with the Social Security Number or the Virginia Department of Motor Vehicle Control Number as supplied on the application utilizing either public and proprietary records software or the DMV Portal. Upon receipt of the requested identification, the name on the Social Security card and the government-issued photo identification must match the name on the application in order to be accepted.

Should there be any question regarding the validity of either the Social Security card or the government-issued photo identification submitted by the applicant, or if the applicant’s name on these documents does not match the name on the application, the applicant may request an informal fact finding conference for the Board to further consider the application.

Guidance Document: Identification Requirements Adopted February 5, 2015 Page 2 of 2

Virginia Board for Asbestos, Lead, and Home Inspectors Guidance Document: Identification Requirements for Applications for Asbestos and Lead Licensure and Home Inspector Certification Adopted February 5, 2015

I.

Applicable Law

§ 54.1-116. Applicants must include social security or other ID; exemption.

A. Every applicant for a license, certificate, registration or other authorization to engage in a business, trade, profession or occupation issued by the Commonwealth pursuant to this title, and every applicant for renewal thereof, shall provide on the application either his social security number or control number issued by the Department of Motor Vehicles pursuant to § 46.2-342. An initial application or renewal application which does not include either identifying number shall not be considered or acted upon by the issuing entity, and no refund of any fees paid with the application shall be granted.

II.

Background As part of the application process, Board staff conducts a data search in public and proprietary records software to verify that the applicant’s name matches the Social Security Number provided on the application. This process is necessary in order to reduce the use of fraudulent Social Security Numbers in order to obtain licensure. The public and proprietary records software identifies anyone that utilizes a specific Social Security Number in any type of transaction (i.e., real estate transaction). While this system is not infallible, since multiple names have been found to be associated with the same Social Security Number, it has been the most reliable system in which Board staff

Guidance Document: Identification Requirements Adopted February 5, 2015 Page 1 of 2 has access.

If Board staff could not verify the validity of the Social Security Number via the public and proprietary records software data search, it would request the applicant to provide verification from the Social Security Administration (SSA) of the applicant’s Social Security Number. On August 1, 2014, the SSA stopped providing this service, leaving Board staff with no other source of verification in the event of a Social Security Number discrepancy. DPOR staff has explored other possibilities directly with the SSA; however, to date staff has not been successful in securing an alternative verification system with the SSA.

In December, DPOR was able to obtain access to the Department of Motor Vehicles’ (DMV) Portal as an External User. However, this form of verification only works for those who have a Virginia Driver’s License. Most of the fraudulent Social Security Numbers encountered come from out-of-state applicants. The public and proprietary records software is still utilized for out-of-state applicants.

III.

Policy The Board authorizes staff to request from the applicant a photocopy (front and back) of the Social Security card and a photocopy of a government-issued photo identification issued to the applicant in instances where the name cannot be matched with the Social Security Number or the Virginia Department of Motor Vehicle Control Number as supplied on the application utilizing either public and proprietary records software or the DMV Portal. Upon receipt of the requested identification, the name on the Social Security card and the government-issued photo identification must match the name on the application in order to be accepted.

If validity of the SSN card or ID is questioned, or names do not match, the applicant may request an informal conference for further review.

Guidance Document: Identification Requirements Adopted February 5, 2015 Page 2 of 2

BOARD FOR ASBESTOS, LEAD, AND HOME INSPECTORS GUIDANCE DOCUMENT Home Inspector Applicant’s Verification of Inspections Completed Adopted August 17, 2017

I.

Background Section 18VAC15-40-32 of the Board’s Home Inspector Licensing Regulations provides the qualifications for licensure, including the requirement that “an applicant for licensure as a home inspector shall furnish documentation acceptable to the board that one of the qualifications for licensure in Table 1 has been met.” 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.

II.

Issue

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.

Page 1 of 2 III. Policy 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: In addition to the above requirement for a third-party signature outlined above, the Board requires the list of home inspections submitted to satisfy the requirements in subsections 1, 3, and 5 of 18VAC15-40-32 of the Board’s regulations as they pertain to the completion of home inspections to include, at a minimum, the following information:

• 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.

Page 2 of 2

BOARD FOR ASBESTOS, LEAD, AND HOME INSPECTORS GUIDANCE DOCUMENT Home Inspector Applicant’s Verification of Inspections Completed Adopted August 17, 2017

I.

Background Section 18VAC15-40-32 of the Board’s Home Inspector Licensing Regulations provides the qualifications for licensure, including the requirement that “an applicant for licensure as a home inspector shall furnish documentation acceptable to the board that one of the qualifications for licensure in Table 1 has been met.” 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.

II.

Issue

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.

Research of other states' home inspector programs shows most require detailed inspection lists and third-party verification.

Page 1 of 2 III. Policy: Since July 1, 2017, the experience form requires a signature from either:

1. the home inspector providing direct supervision, if applicable, or;
2. a licensed home inspector, client, or independent verifier (e.g., real estate professional, building official) who can verify work experience for self-employed inspectors before July 1, 2017.

To ensure consistency and guidance, the Board adopts this policy: Besides the third-party signature, the inspection list must meet subsections 1, 3, and 5 of 18VAC15-40-32, including at least the following information:

• 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 on each page of the inspection log.

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

Page 2 of 2

Board for Asbestos Lead and Home Inspectors Guidance Document: Review of Applications with Misdemeanor Convictions Adopted August 7, 2014 Amended August 16, 2018

I.

Background The Asbestos Licensing Regulations and the Lead-Based Paint Activities Regulations of the Board for Asbestos, Lead, and Home Inspectors (Board) include the provisions applicable to asbestos and lead abatement licensing in Virginia. The Board may discipline a license or deny an application upon review in accordance with § 54.1-204 and the Administrative Process Act (Title 2.2, Chapter 40 of the Code of Virginia) if the applicant or licensee has been convicted of any felony and/or misdemeanor involving certain offenses.

II.

Applicable Regulations

Asbestos Licensing Regulations 18VAC15-20-32. Qualifications for Licensure—Individuals. . . .

G. Conviction or guilt. The applicant shall not have been convicted or found guilty, regardless of adjudication, in any jurisdiction of any felony or of any misdemeanor involving lying, cheating or stealing or any violation while engaged in environmental remediation activity that resulted in the Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 1 of 2 significant harm or the imminent and substantial threat of significant harm to human health or the environment, there being no appeal pending therefrom or the time of appeal having lapsed. Any plea of nolo contendre shall be considered a conviction for the purposes of this section. The record of conviction, finding or case decision shall be considered prima facie evidence of a conviction or finding of guilt. The board, at its discretion, may deny licensure or certification to any applicant in accordance with § 54.1-204 of the Code of Virginia.

Lead-Based Paint Activities Regulations 18VAC15-30-52. Qualifications for Licensure - Individuals.

J. Conviction or guilt. The applicant shall disclose the following information:

A conviction in any jurisdiction of any felony.

A conviction in any jurisdiction of any misdemeanor. . . . 18VAC15-30-810. Grounds for Denial of Application Denial of Renewal, or Discipline A. The board shall have the authority to fine any licensee or accredited lead training provider, training manager or principal instructor, and to deny renewal, to suspend, to revoke or to deny application for any license or approval as an accredited lead training program, accredited lead training provider, training manager or principal instructor provided for under Chapter 5 of Title 54.1 of the Code of Virginia for: . . .

1. Subject to the provisions of § 54.1-204 of the Code of Virginia, having been convicted or found guilty, regardless of adjudication in any jurisdiction of the United States, of any felony or of any misdemeanor involving lying, cheating, or stealing, or of any violation while engaged in environmental remediation activity that resulted in the significant harm or the imminent and substantial threat of significant harm to human health or the environment, there being no appeal pending therefrom or the time for appeal having elapsed. Any plea of nolo contendere shall be considered a conviction for the purposes of this chapter. A certified copy of the final order, decree or case decision by a court or regulatory agency with lawful authority to issue such order, decree Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 2 of 2 or case decision shall be admissible as prima facie evidence of such conviction or discipline.

Regulation 18VAC15-20-450 of the Asbestos Licensing Regulations and 18VAC15-30-810 of the Lead-Based Paint Licensing Regulations include the Board’s authority to discipline a licensee or deny a renewal or application for convictions as referenced above.

II.

Issue Applicants for licensure who meet all other requirements but have had any misdemeanor conviction related to lying, cheating, or stealing at any time in the past must go through an informal fact-finding conference pursuant to the Administrative Process Act (Chapter 40 of Title 2.2 of the Code of Virginia) in order to have their applications considered for licensure, thus delaying the approval of their applications.

This would include, but not be limited to, an applicant who had an applicable misdemeanor violation 10, 15, or 20 years ago, and no other convictions since that time.

III.

Policy

The Board authorizes staff to approve an application wherein the applicant meets all other requirements for licensure but has one or more misdemeanor convictions all of which are more than five years old and not related to environmental remediation activities.

Such applicant shall not be subject to the provisions of § 54.1-204 of the Code of Virginia and will be processed administratively by staff.

Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 3 of 2

Board for Asbestos Lead and Home Inspectors Guidance Document: Review of Applications with Misdemeanor Convictions Adopted August 7, 2014 Amended August 16, 2018

I.

Background The Asbestos Licensing Regulations and the Lead-Based Paint Activities Regulations of the Board for Asbestos, Lead, and Home Inspectors (Board) include the provisions applicable to asbestos and lead abatement licensing in Virginia. The Board may discipline a license or deny an application upon review in accordance with § 54.1-204 and the Administrative Process Act (Title 2.2, Chapter 40 of the Code of Virginia) if the applicant or licensee has been convicted of any felony and/or misdemeanor involving certain offenses.

II.

Applicable Regulations

Asbestos Licensing Regulations 18VAC15-20-32. Qualifications for Licensure—Individuals. . . .

G. Conviction or guilt. The applicant shall not have been convicted or found guilty, regardless of adjudication, in any jurisdiction of any felony or of any misdemeanor involving lying, cheating or stealing or any violation while engaged in environmental remediation activity that resulted in the Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 1 of 2 significant harm or the imminent and substantial threat of significant harm to human health or the environment, there being no appeal pending therefrom or the time of appeal having lapsed. Any plea of nolo contendre shall be considered a conviction for the purposes of this section. The record of conviction, finding or case decision shall be considered prima facie evidence of a conviction or finding of guilt. The board, at its discretion, may deny licensure or certification to any applicant in accordance with § 54.1-204 of the Code of Virginia.

Lead-Based Paint Activities Regulations 18VAC15-30-52. Qualifications for Licensure - Individuals.

J. Conviction or guilt. The applicant shall disclose the following information:

A conviction in any jurisdiction of any felony.

A conviction in any jurisdiction of any misdemeanor. . . . 18VAC15-30-810. Grounds for Denial of Application Denial of Renewal, or Discipline A. The board shall have the authority to fine any licensee or accredited lead training provider, training manager or principal instructor, and to deny renewal, to suspend, to revoke or to deny application for any license or approval as an accredited lead training program, accredited lead training provider, training manager or principal instructor provided for under Chapter 5 of Title 54.1 of the Code of Virginia for: . . .

1. Subject to the provisions of § 54.1-204 of the Code of Virginia, having been convicted or found guilty, regardless of adjudication in any jurisdiction of the United States, of any felony or of any misdemeanor involving lying, cheating, or stealing, or of any violation while engaged in environmental remediation activity that resulted in the significant harm or the imminent and substantial threat of significant harm to human health or the environment, there being no appeal pending therefrom or the time for appeal having elapsed. Any plea of nolo contendere shall be considered a conviction for the purposes of this chapter. A certified copy of the final order, decree or case decision by a court or regulatory agency with lawful authority to issue such order, decree Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 2 of 2 or case decision shall be admissible as prima facie evidence of such conviction or discipline.

Regulations 18VAC15-20-450 (Asbestos) and 18VAC15-30-810 (Lead) include the Board’s authority to discipline licensees or deny renewals/applications for convictions as above.

II.

Applicants meeting all requirements but with past misdemeanor convictions related to lying, cheating, or stealing must undergo an informal fact-finding conference per the Administrative Process Act (Chapter 40 of Title 2.2 of the Virginia Code), delaying licensure.

This includes applicants with misdemeanor violations 10, 15, or 20 years ago and no subsequent convictions.

III.

Policy

The Board authorizes staff to approve applications meeting all other requirements but with misdemeanor convictions over five years old and unrelated to environmental remediation.

Such applicants are not subject to § 54.1-204 and will be processed administratively.

Guidance Document: Misdemeanor Convictions Adopted January 16, 2014 Amended August 16, 2018 Page 3 of 2