Compliance Analysis Overview

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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; telephone requests are not accepted.
2. Individual name change requests must include legal proof such as marriage certificate, divorce decree, or court order.
3. Business name change requests must include all information required by board regulations for changing a business name per SCC 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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

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

Internet A global web of interconnected networks and computers.

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

B. GENERAL

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

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

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

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

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

C. CHANGES TO THE DEPARTMENT WEBSITE

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

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

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

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

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

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

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

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

Internet A global web of interconnected networks and computers.

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

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

B. GENERAL

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

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

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

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

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

C. CHANGES TO THE DEPARTMENT WEBSITE

1. Units shall periodically review website info.
2. Liaisons shall email new or revised info to the Web Coordinator. Substantive changes require review by the Communications Director before submission.
3. The Web Coordinator will upload files, modify links if needed, and notify liaisons 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. Information may stay on the website as long as current.
2. Any unique information on the Department’s website (not in other formats) shall be printed by the website liaison and forwarded to the Information Management Section for retention in a state archives file. Duplicative website information does not require separate record retention.

Same as previous, no change needed.

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

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

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

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

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

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

Guidance Document Real Estate Appraiser Board In accordance with § 2.2-4002.1 of the Code of Virginia, this guidance document conforms to the definition of a guidance document in § 2.2-4101.

Real Estate Appraiser Board Guidance Document: Hybrid Appraisals

I.

Purpose As a means of providing information or guidance of general applicability to the public, the Real Estate Appraiser Board (Board) is issuing this guidance document in order to assist its licensees in understanding hybrid appraisals.

To ensure the Board’s licensees (individual real estate appraisers and appraisal management companies) comply with its laws and regulations, the Board directs its licensees to review the following information.

II. Background

The following are relevant excerpts from the Board’s Appraisal Management Company laws and regulations: § 54.1-2020. Definitions.

A. As used in this chapter, unless the context clearly requires otherwise:

"Appraisal services" means acting as an appraiser to provide an appraisal or appraisal review.

"Appraiser" means a person licensed or certified under § 54.1-2017 and as otherwise provided in Chapter 20.1 (§ 54.1-2009 et seq.).

"Board" means the Virginia Real Estate Appraiser Board.

"Uniform Standards of Professional Appraisal Practice" means the Uniform Standards of Professional Appraisal Practice adopted by the Appraisal Standards Board of the Appraisal Foundation.

B. The definitions contained in § 54.1-2009 shall be applicable except to the extent inconsistent with the definitions contained in this chapter.

Page 1 of 6 Guidance Document Real Estate Appraiser Board § 54.1-2022. Appraisal management companies.

A. An appraisal management company shall not enter into any contracts or agreements with an independent appraiser for the performance of real estate appraisal services unless the independent appraiser is licensed to provide that service under § 54.1-2017 and as otherwise provided in Chapter 20.1 (§ 54.1-2009 et seq.).

C. No employee, director, officer, or agent of an appraisal management company shall influence or attempt to influence the development, reporting, result, or review of a real estate appraisal through coercion, extortion, collusion, compensation, inducement, intimidation, bribery, or in any other manner, including:

1. Any other act or practice that impairs or attempts to impair a real estate appraiser's independence, objectivity, or impartiality.

18 VAC 130-30-120. Grounds for Disciplinary Action.

The board has the power to fine any regulant, to place any regulant on probation, and to suspend or revoke any license issued under the provisions of Chapter 20.2 (§ 54.1-2020 et seq.) of Title 54.1 of the Code of Virginia and the regulations of the board, in accordance with § 54.1-201 A 7 and § 54.1-202 of the Code of Virginia and the provisions of the Administrative Process Act (§ 2.2-4000 et seq. of the Code of Virginia) when any regulant has been found to have violated or cooperated with others in violating any provision of Chapter 20.2 of Title 54.1 of the Code of Virginia, any relevant provision of the Uniform Standards of Professional Appraisal Practice as developed by the Appraisal Standards Board of the Appraisal Foundation, or any regulation of the board.

18 VAC 130-30-160. Prohibited Acts.

The following acts are prohibited and any violation may result in disciplinary action by the board:

1. Violating, inducing another to violate, or cooperating with others in violating any of the provisions of any of the regulations of the board or Chapter 20.2 (§ 54.1-2020 et seq.) of Title 54.1 of the Code of Virginia, or engaging in any acts enumerated in § 54.1-111 of the Code of Virginia.

1. Engaging in any acts enumerated in subsections A through D of § 54.1-2022 of the Code of Virginia.

10. Failing to act as an appraisal management company in a manner that safeguards the interests of the public.

The following are relevant excerpts from the Board’s Real Estate Appraiser laws and regulations: § 54.1-2009. Definitions.

As used in this chapter, unless the context clearly indicates otherwise: Page 2 of 6 Guidance Document Real Estate Appraiser Board "Appraisal" means an analysis, opinion, or conclusion relating to the nature, quality, value, or utility of specified interests in, or aspects of, identified real estate or identified real property. An appraisal may be classified by subject matter into either a valuation or analysis. A "valuation" is an estimate of the value of real estate or real property. An "analysis" is a study of real estate or real property other than estimating value. The term "appraiser" or "appraisal" may be used only by a person licensed or certified by the Board.

18VAC130-20-10. Definitions.

The following words and terms when used in this chapter, unless a different meaning is provided or is plainly required by the context, shall have the following meanings: "Appraiser" means an individual who is expected to perform valuation services competently and in a manner that is independent, impartial, and objective.

18VAC130-20-160. Grounds for Disciplinary Action.

The board has the power to fine any licensee, registrant or certificate holder, to place any licensee, registrant or certificate holder on probation, and to suspend or revoke any license, registration or certification issued under the provisions of Chapter 20.1 (§ 54.1-2009 et seq.) of Title 54.1 of the Code of Virginia and the regulations of the board, in accordance with subdivision A 7 of § 54.1-201, 54.1-202, and the provisions of the Administrative Process Act, Chapter 40 (§ 2.2-4000 et seq.) of Title 2.2 of the Code of Virginia, when any licensee, registrant or certificate holder has been found to have violated or cooperated with others in violating any provision of Chapter 20.1 of Title 54.1 of the Code of Virginia, any relevant provision of the Uniform Standards of Professional Appraisal Practice as developed by the Appraisal Standards Board of the Appraisal Foundation, or any regulation of the board. An appraiser trainee shall be subject to disciplinary action for his actions even if acting under the supervision of a supervising appraiser.

18VAC130-20-180. Standards of Professional Practice.

C. Use of signature and electronic transmission of report.

1. The signing of an appraisal report or the transmittal of a report electronically shall indicate that the licensee has exercised complete direction and control over the appraisal. Therefore, no licensee shall sign or electronically transmit an appraisal which has been prepared by an unlicensed person unless such work was performed under the direction and supervision of the licensee in accordance with § 54.1-2011 C of the Code of Virginia.

D. Development of appraisal. In developing a real property appraisal, all licensees shall comply with the provisions of the Uniform Standards of Professional Appraisal Practice (USPAP) as defined in this chapter or in the prior edition in effect at the time of the reports' preparation. If the required definition of value uses the word "market," licensees must use the definition of market value set forth in USPAP "DEFINITIONS."

E. Appraisal report requirements. In reporting a real property appraisal, a licensee shall meet the requirements of the Uniform Standards of Professional Appraisal Page 3 of 6 Guidance Document Real Estate Appraiser Board Practice as defined in this chapter or in the prior edition in effect at the time of the reports' preparation.

K. Scope of work. A licensee shall abide by the Scope of Work Rule as stated in the Uniform Standards of Professional Appraisal Practice as defined in this chapter or in the prior edition in effect at the time of the reports' preparation.

Applicable provisions of USPAP: Scope of Work Rule Standards Rule 1-2(e) Standards Rule 2-2(a)(vii) Standards Rule 2-3 Advisory Opinion 2

III. Board Guidance

Summary - Appraisers The Board’s regulations require that appraisals be developed, reported, and reviewed in accordance with the Uniform Standards of Professional Appraisal Practice.1 Additionally, real estate appraiser licensees must determine and perform the scope of work necessary to produce credible assignment results, which includes the extent to which tangible property is inspected.2 The appraiser must be prepared to demonstrate that the scope of work is sufficient to produce credible assignment results. Furthermore, an appraiser may use any combination of a property inspection and documents to identify the relevant characteristics of the subject property.3 However, the information used by an appraiser to identify the property characteristics must be from sources the appraiser reasonably believes are reliable.4 Advisory Opinion 2 (AO-2), issued by the Appraisal Standards Board, further clarifies the relationship between a property inspection and USPAP compliance. According to AO-2, a property inspection is not required by USPAP. The primary reason for a property inspection is to gather information about the characteristics of the property that are relevant to its value. The extent of the inspection process is part of the scope of work, and the appraiser must ensure that the degree of inspection is adequate to develop a 1 18 VAC 130-20-180.D and E require real estate appraisers to develop and report appraisals in accordance with USPAP requirements. Section 54.1-2021.1.B.2.i requires appraisal management companies to have a system in place to review the work of appraisers and ensure that appraisal services are being conducted in accordance with USPAP. 2 See 18 VAC 130-20-180.K. See also USPAP SCOPE OF WORK RULE at 338–354. 3 USPAP Standards Rule 1-2(e) at 483–485. Further, USPAP Standards Rule 2-3 requires each written appraisal report to contain a signed certification in which the appraiser discloses whether the appraiser performed an inspection of the property. 4 Id. At 481–482.

Page 4 of 6 Guidance Document Real Estate Appraiser Board credible appraisal. When adequate information about relevant characteristics is not available through an inspection or reliable resources, an appraiser must withdraw from the assignment unless the appraiser can (1) modify the assignment conditions to expand the scope of work to include gathering the necessary information or (2) use an extraordinary assumption about such information, if credible assignment results can still be developed.

The Board’s regulations require that an appraiser comply with USPAP, and both the USPAP standards and the illustrations of the applicability of the appraisal standards published by the ASB indicate that an appraiser may perform an appraisal in which the appraiser did not personally inspect the property if the appraiser can do so while complying with USPAP. If the appraiser cannot comply with USPAP, the appraiser must withdraw from the assignment. Moreover, in relying upon third-party inspection data, the appraiser must exercise the same discretion in assessing the reliability of data as all other information used to produce assignment results. When an appraiser signs the appraisal report or transmits it electronically, this act indicates the licensee has exercised complete direction and control over the appraisal. If during the course of the assignment, the appraiser determines he cannot produce a credible appraisal which complies with USPAP, including not doing a property inspection, he should seek to amend the scope of work or withdraw from the assignment.

Summary - AMCs Section 54.1-2021-1.B.2.i of the Code of Virginia requires that appraisal management companies (AMCs) have a system in place to review the work of all appraisers that may perform appraisal services for the AMC to ensure that the appraisal services are being conducted in accordance with USPAP.5 Additionally, Board regulations prohibit AMCs from violating, inducing another to violate, or cooperating with others in violating applicable laws.6 Such prohibition includes but is not limited to any act or practice that impairs or attempts to impair a real estate appraiser’s independence, objectivity, or impartiality.7 There is no law or Board regulation that expressly prohibits an AMC from providing property inspection data to an appraiser for use in an appraisal. However, the AMC must have a system in place for ensuring that the appraisal services are being conducted in accordance with USPAP. Moreover, an AMC may not induce or cooperate with an 5 See the discussion above. 6 18 VAC 130-30-160.1 7 See § 54.1-2022.C.8 and 18 VAC 130-30-160.9 Page 5 of 6 Guidance Document Real Estate Appraiser Board appraiser in violating USPAP and must ensure that neither its actions nor its practices impairs or attempts to impair an appraiser’s independence, objectivity, or impartiality.

Page 6 of 6

Guidance Document Real Estate Appraiser Board In accordance with § 2.2-4002.1 of the Code of Virginia, this guidance document conforms to the definition of a guidance document in § 2.2-4101.

Real Estate Appraiser Board Guidance Document: Hybrid Appraisals

I.

Purpose The Real Estate Appraiser Board (Board) issues this guidance to assist licensees in understanding hybrid appraisals.

To ensure licensees (appraisers and management companies) comply, the Board directs review of the following information.

II. Background

Excerpts from the Board’s Appraisal Management Company laws: § 54.1-2020. Definitions.

A. As used in this chapter, unless the context clearly requires otherwise:

"Appraisal services" means acting as an appraiser to provide an appraisal or appraisal review.

"Appraiser" means a person licensed or certified under § 54.1-2017 and Chapter 20.1 (§ 54.1-2009 et seq.).

"Board" means the Virginia Real Estate Appraiser Board.

"Uniform Standards of Professional Appraisal Practice" means the standards adopted by the Appraisal Standards Board of the Appraisal Foundation.

B. Definitions in § 54.1-2009 apply unless inconsistent with this chapter.

Page 1 of 6 Guidance Document Real Estate Appraiser Board § 54.1-2022. Appraisal management companies.

A. An appraisal management company shall not contract with an independent appraiser unless licensed under § 54.1-2017 and Chapter 20.1 (§ 54.1-2009 et seq.).

C. No employee, director, officer, or agent shall influence or attempt to influence a real estate appraisal through coercion, extortion, collusion, compensation, inducement, intimidation, bribery, or other means:

1. Any act or practice impairing or attempting to impair an appraiser's independence, objectivity, or impartiality.

18 VAC 130-30-120. Grounds for Disciplinary Action.

The board may fine, probation, suspend, or revoke licenses under Chapter 20.2 (§ 54.1-202) when violations of Chapter 20.2, USPAP, or regulations are found, per § 54.1-201 A 7, § 54.1-202, and the Administrative Process Act (§ 2.2-4000).

18 VAC 130-30-160. Prohibited Acts.

The following acts are prohibited and may result in disciplinary action:

1. Violating, inducing, or cooperating in violations of board regulations, Chapter 20.2, or Virginia Code §§ 54.1-2020 et seq. or § 54.1-111.

1. Engaging in acts listed in subsections A-D of Virginia Code § 54.1-2022.

10. Failing to act as an appraisal management company to safeguard the public.

Excerpts from the Board’s laws: § 54.1-2009. Definitions.

In this chapter, "Appraisal" means an analysis, opinion, or conclusion on real estate interests or value. "Valuation" estimates value; "analysis" studies real estate without estimating. "Appraiser" or "appraisal" are used only by licensed or certified persons.

18VAC130-20-10. Definitions.

In this chapter, "Appraiser" means an individual performing valuation services competently, independently, impartially, and objectively.

18VAC130-20-160. Grounds for Disciplinary Action.

The board may fine, probation, suspend, or revoke licenses under Chapter 20.1 (§ 54.1-2009) for violations of Chapter 20.1, USPAP, or regulations, per § 54.1-201, 54.1-202, and the Administrative Process Act (§ 2.2-4000). Trainees are also subject to discipline even under supervision.

18VAC130-20-180. Standards of Professional Practice.

C. Use of signature and electronic transmission of report.

1. Signing or transmitting an appraisal electronically indicates licensee control. Licensees must not sign or transmit work by unlicensed persons unless supervised per Virginia Code § 54.1-2011(C).

D. In developing an appraisal, licensees must comply with USPAP or prior editions. If "market" is used, licensees must use USPAP's "DEFINITIONS" for market value.

E. Appraisal report requirements. In reporting a real property appraisal, a licensee shall meet the requirements of the Uniform Standards of Professional Appraisal Page 3 of 6 Guidance Document Real Estate Appraiser Board Practice as defined in this chapter or in the prior edition in effect at the time of the reports' preparation.

K. Licensees shall follow the Scope of Work Rule in USPAP or prior editions.

Applicable USPAP provisions: Scope of Work Rule, Standards Rules 1-2(e), 2-2(a)(vii), 2-3, and Advisory Opinion 2.

III. Board Guidance

Summary - Appraisers The Board’s regulations require that appraisals be developed, reported, and reviewed in accordance with the Uniform Standards of Professional Appraisal Practice.1 Additionally, real estate appraiser licensees must determine and perform the scope of work necessary to produce credible assignment results, which includes the extent to which tangible property is inspected.2 The appraiser must be prepared to demonstrate that the scope of work is sufficient to produce credible assignment results. Furthermore, an appraiser may use any combination of a property inspection and documents to identify the relevant characteristics of the subject property.3 However, the information used by an appraiser to identify the property characteristics must be from sources the appraiser reasonably believes are reliable.4 Advisory Opinion 2 (AO-2), issued by the Appraisal Standards Board, further clarifies the relationship between a property inspection and USPAP compliance. According to AO-2, a property inspection is not required by USPAP. The primary reason for a property inspection is to gather information about the characteristics of the property that are relevant to its value. The extent of the inspection process is part of the scope of work, and the appraiser must ensure that the degree of inspection is adequate to develop a 1 18 VAC 130-20-180.D and E require real estate appraisers to develop and report appraisals in accordance with USPAP requirements. Section 54.1-2021.1.B.2.i requires appraisal management companies to have a system in place to review the work of appraisers and ensure that appraisal services are being conducted in accordance with USPAP. 2 See 18 VAC 130-20-180.K. See also USPAP SCOPE OF WORK RULE at 338–354. 3 USPAP Standards Rule 1-2(e) at 483–485. Further, USPAP Standards Rule 2-3 requires each written appraisal report to contain a signed certification in which the appraiser discloses whether the appraiser performed an inspection of the property. 4 Id. At 481–482.

When relevant info isn't available via inspection or reliable sources, an appraiser must withdraw unless they modify scope or use credible extraordinary assumptions.

The Board’s regulations require that an appraiser comply with USPAP, and both the USPAP standards and the illustrations of the applicability of the appraisal standards published by the ASB indicate that an appraiser may perform an appraisal in which the appraiser did not personally inspect the property if the appraiser can do so while complying with USPAP. If the appraiser cannot comply with USPAP, the appraiser must withdraw from the assignment. Moreover, in relying upon third-party inspection data, the appraiser must exercise the same discretion in assessing the reliability of data as all other information used to produce assignment results. When an appraiser signs the appraisal report or transmits it electronically, this act indicates the licensee has exercised complete direction and control over the appraisal. If during the course of the assignment, the appraiser determines he cannot produce a credible appraisal which complies with USPAP, including not doing a property inspection, he should seek to amend the scope of work or withdraw from the assignment.

Summary - AMCs Section 54.1-2021-1.B.2.i of the Code of Virginia requires that appraisal management companies (AMCs) have a system in place to review the work of all appraisers that may perform appraisal services for the AMC to ensure that the appraisal services are being conducted in accordance with USPAP.5 Additionally, Board regulations prohibit AMCs from violating, inducing another to violate, or cooperating with others in violating applicable laws.6 Such prohibition includes but is not limited to any act or practice that impairs or attempts to impair a real estate appraiser’s independence, objectivity, or impartiality.7 There is no law or Board regulation that expressly prohibits an AMC from providing property inspection data to an appraiser for use in an appraisal. However, the AMC must have a system in place for ensuring that the appraisal services are being conducted in accordance with USPAP. Moreover, an AMC may not induce or cooperate with an 5 See the discussion above. 6 18 VAC 130-30-160.1 7 See § 54.1-2022.C.8 and 18 VAC 130-30-160.9 Page 5 of 6 Guidance Document Real Estate Appraiser Board appraiser in violating USPAP and must ensure that neither its actions nor its practices impairs or attempts to impair an appraiser’s independence, objectivity, or impartiality.

Page 6 of 6

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 VA). Includes initial, reinstatement, upgrade, and license maintenance 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 bond info (amount, issuer) is public upon request.
2. Certifications of Regulant Status direct requests to: Licensing Section; prepared per DPOR Procedure #903.
3. Complaint files direct requests to: Compliance and Investigations; inquiries on complaint counts and nature. Open complaints may be publicly acknowledged if probable cause exists; case files are exempt until closure. Disclosed on website after probable cause. Policy aligns with the Administrative Process Act.

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

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

1. Contracts and procurement records direct requests to: Procurement Section; may be released per § 2.2-4342 VA.
2. Electronic mail requests go to: Custodian of Record; all emails and attachments are public unless exempted by § 54.1-108, §§ 2.2-3705.1–2.2-3706, or policies. Email content determines exemptions.
3. Examination info requests go to: Education/Examinations or Info Management; questions, papers, answer sheets, keys are exempt per § 54.1-108.1 and § 2.2-3705.1.4, unless security is unaffected. Scores may be released per policy.
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; not public. Legal documents: legal advice and memoranda for litigation or investigations are privileged. License maintenance records: requests go to: Info Management; public with exemptions. License transcripts: requests go to: Info Management; summarize license activity, used for court, 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; per Policy 6.05, FOIA, and AG guidance. Employee info (except next section) requires employee consent. Disclosure: HR notifies employee of third-party request for position, classification, employment dates, salary >$10,000. Property registration files: available electronically. Recovery fund claim files: available upon request. Regulant lists: available electronically via CD, DVD, or email.

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

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

E. OTHER NON-DISCLOSABLE INFORMATION

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

REAL ESTATE APPRAISER BOARD APPROVED EXPERIENCE (As of November 18, 2003) Property Type Value Range Hours Approved 1 Single family, residential with exterior inspection 1 $ 0 -$ 100,000 4 1 Single family, residential with exterior inspection 2 $ 100,001 -$ 250,000 4 1 Single family, residential with exterior inspection 3 $ 250,001 -$ 1,000,000 6 1 Single family, residential with exterior inspection 4 $ 1,000,001 -$ 5,000,000 8 1 Single family, residential with exterior inspection 5 over

$ 5,000,000 8 2 Single family, residential with full inspection 1 $ 0 -$ 100,000 8 2 Single family, residential with full inspection 2 $ 100,001 -$ 250,000 8 2 Single family, residential with full inspection 3 $ 250,001 -$ 1,000,000 8 2 Single family, residential with full inspection 4 $ 1,000,001 -$ 5,000,000 10 2 Single family, residential with full inspection 5 over

$ 5,000,000 10 3 Multi-family, 2 to 3 units 1 $ 0 -$ 100,000 20 3 Multi-family, 2 to 3 units 2 $ 100,001 -$ 250,000 20 3 Multi-family, 2 to 3 units 3 $ 250,001 -$ 1,000,000 30 3 Multi-family, 2 to 3 units 4 $ 1,000,001 -$ 5,000,000 40 3 Multi-family, 2 to 3 units 5 over

$ 5,000,000 40 4 Vacant lots, 1 to 4 1 $ 0 -$ 100,000 8 4 Vacant lots, 1 to 4 2 $ 100,001 -$ 250,000 8 4 Vacant lots, 1 to 4 3 $ 250,001 -$ 1,000,000 10 4 Vacant lots, 1 to 4 4 $ 1,000,001 -$ 5,000,000 10 4 Vacant lots, 1 to 4 5 over

$ 5,000,000 10 5 Farms (non-income producing) 1 $ 0 -$ 100,000 30 5 Farms (non-income producing) 2 $ 100,001 -$ 250,000 30 5 Farms (non-income producing) 3 $ 250,001 -$ 1,000,000 30 5 Farms (non-income producing) 4 $ 1,000,001 -$ 5,000,000 50 5 Farms (non-income producing) 5 over

$ 5,000,000 50 6 Multi-family, more than 5 units 1 $ 0 -$ 100,000 34 6 Multi-family, more than 5 units 2 $ 100,001 -$ 250,000 34 6 Multi-family, more than 5 units 3 $ 250,001 -$ 1,000,000 50 6 Multi-family, more than 5 units 4 $ 1,000,001 -$ 5,000,000 60 6 Multi-family, more than 5 units 5 over

$ 5,000,000 70 7 Commercial 1 $ 0 -$ 100,000 40 7 Commercial 2 $ 100,001 -$ 250,000 40 7 Commercial 3 $ 250,001 -$ 1,000,000 60 7 Commercial 4 $ 1,000,001 -$ 5,000,000 80 7 Commercial 5 over

$ 5,000,000 80 8 Industrial 1 $ 0 -$ 100,000 40 8 Industrial 2 $ 100,001 -$ 250,000 40 8 Industrial 3 $ 250,001 -$ 1,000,000 60 8 Industrial 4 $ 1,000,001 -$ 5,000,000 80 8 Industrial 5 over

$ 5,000,000 80 9 Hotel, motel 1 $ 0 -$ 100,000 40 9 Hotel, motel 2 $ 100,001 -$ 250,000 40 9 Hotel, motel 3 $ 250,001 -$ 1,000,000 60 9 Hotel, motel 4 $ 1,000,001 -$ 5,000,000 80 9 Hotel, motel 5 over

$ 5,000,000 80 10 Office 1 $ 0 -$ 100,000 40 10 Office 2 $ 100,001 -$ 250,000 40 10 Office 3 $ 250,001 -$ 1,000,000 60 10 Office 4 $ 1,000,001 -$ 5,000,000 80 10 Office 5 over

$ 5,000,000 80 11 Subdivision projects 1 $ 0 -$ 100,000 40 11 Subdivision projects 2 $ 100,001 -$ 250,000 40 11 Subdivision projects 3 $ 250,001 -$ 1,000,000 60 11 Subdivision projects 4 $ 1,000,001 -$ 5,000,000 80 11 Subdivision projects 5 over

$ 5,000,000 80 12 Land 1 $ 0 -$ 100,000 24 12 Land 2 $ 100,001 -$ 250,000 32 12 Land 3 $ 250,001 -$ 1,000,000 40 12 Land 4 $ 1,000,001 -$ 5,000,000 60 12 Land 5 over

$ 5,000,000 60 13 Other 1 $ 0 -$ 100,000 80 13 Other 2 $ 100,001 -$ 250,000 80 13 Other 3 $ 250,001 -$ 1,000,000 80 13 Other 4 $ 1,000,001 -$ 5,000,000 80 13 Other 5 over

$ 5,000,000 80

REAL ESTATE APPRAISER BOARD APPROVED EXPERIENCE (As of November 18, 2003) Property Type Value Range Hours Approved 1 Single family, residential with exterior inspection 1 $ 0 -$ 100,000 4 2 $ 100,001 -$ 250,000 4 3 $ 250,001 -$ 1,000,000 6 4 $ 1,000,001 -$ 5,000,000 8 5 over

$ 5,000,000 8 2 Single family, residential with full inspection 1 $ 0 -$ 100,000 8 2 $ 100,001 -$ 250,000 8 3 $ 250,001 -$ 1,000,000 8 4 $ 1,000,001 -$ 5,000,000 10 5 over

$ 5,000,000 10 3 Multi-family, 2-3 units 1 $ 0 -$ 100,000 20 2 $ 100,001 -$ 250,000 20 3 $ 250,001 -$ 1,000,000 30 4 $ 1,000,001 -$ 5,000,000 40 5 over

$ 5,000,000 40 4 Vacant lots, 1-4 1 $ 0 -$ 100,000 8 2 $ 100,001 -$ 250,000 8 3 $ 250,001 -$ 1,000,000 10 4 $ 1,000,001 -$ 5,000,000 10 5 over

$ 5,000,000 10 5 Farms (non-income) 1 $ 0 -$ 100,000 30 2 $ 100,001 -$ 250,000 30 3 $ 250,001 -$ 1,000,000 30 4 $ 1,000,001 -$ 5,000,000 50 5 over

$ 5,000,000 50 6 Multi-family >5 units 1 $ 0 -$ 100,000 34 2 $ 100,001 -$ 250,000 34 3 $ 250,001 -$ 1,000,000 50 4 $ 1,000,001 -$ 5,000,000 60 5 over

$ 5,000,000 70 7 Commercial 1 $ 0 -$ 100,000 40 2 $ 100,001 -$ 250,000 40 3 $ 250,001 -$ 1,000,000 60 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80 8 Industrial 1 $ 0 -$ 100,000 40 2 $ 100,001 -$ 250,000 40 3 $ 250,001 -$ 1,000,000 60 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80 9 Hotel/motel 1 $ 0 -$ 100,000 40 2 $ 100,001 -$ 250,000 40 3 $ 250,001 -$ 1,000,000 60 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80 10 Office 1 $ 0 -$ 100,000 40 2 $ 100,001 -$ 250,000 40 3 $ 250,001 -$ 1,000,000 60 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80 11 Subdivision projects 1 $ 0 -$ 100,000 40 2 $ 100,001 -$ 250,000 40 3 $ 250,001 -$ 1,000,000 60 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80 12 Land 1 $ 0 -$ 100,000 24 2 $ 100,001 -$ 250,000 32 3 $ 250,001 -$ 1,000,000 40 4 $ 1,000,001 -$ 5,000,000 60 5 over

$ 5,000,000 60 13 Other 1 $ 0 -$ 100,000 80 2 $ 100,001 -$ 250,000 80 3 $ 250,001 -$ 1,000,000 80 4 $ 1,000,001 -$ 5,000,000 80 5 over

$ 5,000,000 80

Real Estate Appraiser Board

Guidance Document re: Signing any Appraisal Report

Adopted February 21, 2006

1. When signing a pre-printed appraisal report, appraiser trainees shall sign their name in the following manner: John Doe, Appraiser Trainee. Their license number must be indicated on the line marked State License #. Section 18 VAC 130-20-10 of the Regulations of the Board, defines appraiser trainee as “an individual who is licensed as an appraiser trainee to appraise those properties which the supervising appraiser is permitted to appraise.”
2. The Board recognizes that there are unlicensed trainees. While an unlicensed individual may sign an appraisal report, § 54.1-2009 of the Code of Virginia, prohibits an unlicensed individual from using the terms “appraiser” or “appraisal”. Unlicensed trainees shall sign their name in the following manner: John Doe, Unlicensed Trainee. Failing to include a license number will further notify users and reviewers of the report, that they are not licensed.
3. All appraisal reports submitted to the Board that were completed after June 1, 2006, shall adhere to the above requirements. Reports submitted in violation of these requirements, shall subject the supervising appraiser to disciplinary action by the Board.

Real Estate Appraiser Board

Guidance Document re: Signing any Appraisal Report

Adopted February 21, 2006

1. When signing a pre-printed appraisal report, appraiser trainees shall sign their name in the following manner: John Doe, Appraiser Trainee. Their license number must be indicated on the line marked State License #. Section 18 VAC 130-20-10 of the Regulations of the Board, defines appraiser trainee as “an individual who is licensed as an appraiser trainee to appraise those properties which the supervising appraiser is permitted to appraise.”
2. The Board recognizes that there are unlicensed trainees. While an unlicensed individual may sign an appraisal report, § 54.1-2009 of the Code of Virginia, prohibits an unlicensed individual from using the terms “appraiser” or “appraisal”. Unlicensed trainees shall sign their name in the following manner: John Doe, Unlicensed Trainee. Failing to include a license number will further notify users and reviewers of the report, that they are not licensed.
3. All appraisal reports submitted after June 1, 2006, must follow these requirements. Violations may result in disciplinary action against the supervising appraiser.

Real Estate Appraiser Board Application Review Matrix Board staff may approve an initial application for licensure or registration when any of the following conditions are met:

1. The applicant has disclosed a felony conviction more than five years old, unless the conviction resulted in incarceration and the release date is less than three years from the date of application and the applicant is not on supervised probation. This does not include convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, drug possession, drug distribution, assaulting a police officer, crimes of moral turpitude, or crimes involving a real estate transaction.
2. The applicant has disclosed a reportable misdemeanor conviction more than three years old, unless there is a prior conviction for the same offense.
3. The applicant has disclosed a prior disciplinary action that is more than five years old, did not involve revocation or suspension, and was not disciplined for substantial cause. All appraiser credentials held by the applicant must be in good standing with no legal impediments on his or her ability to practice.

If additional questions arise during the review of an application subject to this Application Review Matrix, Board staff shall refer the matter to an Informal Fact-Finding conference for further investigation by the Board.

Real Estate Appraiser Board Application Review Matrix Board staff may approve an initial licensure or registration when any of the following conditions are met:

1. The applicant disclosed a felony conviction over five years old, unless incarceration occurred and release is less than three years before application and the applicant is not on supervised probation. Excludes convictions for rape, robbery, murder, abduction, manslaughter, sexual offenses, crimes against minors, felony DUI, drug possession/distribution, assaulting police, crimes of moral turpitude, or real estate crimes.
2. The applicant disclosed a reportable misdemeanor conviction over three years old, unless there is a prior conviction for the same offense.
3. The applicant disclosed a disciplinary action over five years old that did not involve revocation or suspension and was not for substantial cause. All appraiser credentials must be in good standing with no legal impediments to practice.

If questions arise during review of an application under this Application Review Matrix, Board staff shall refer the matter to an Informal Fact-Finding conference for investigation.

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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 of Education and Examinations grants a waiver based on extenuating circumstances.

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

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

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

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

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

B. COMPLAINT FORMAT REQUIREMENTS

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

C. SOURCES OF COMPLAINTS

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

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

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

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

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

B. COMPLAINT FORMAT REQUIREMENTS

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

C. SOURCES OF COMPLAINTS

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

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

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

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

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

® ACCURINT

® PUBLIC RECORDS

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

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

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

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

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

® ACCURINT

® PUBLIC RECORDS

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

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

Virginia Real Estate Appraiser Board Guidance Document Customary and Reasonable Compensation for Fee Appraisers February 23, 2016 The Board is issuing this guidance document to interpret and implement the requirements of §§ 54.1-2021.1.B.2.k and 54.1-2022.1 of the Code of Virginia, and 18 VAC 130-30-160.15 of the Board’s Appraisal Management Company Regulations as a means of providing information or guidance of general applicability to the public: Licensed Appraisal Management Companies (AMCs) must provide customary and reasonable compensation to fee appraisers.

AMCs are presumed to comply with this requirement by compensating fee appraisers in an amount that is reasonably related to recent rates paid for comparable appraisal services performed in the geographic market of the property being appraised. In determining this amount, AMCs must review the following factors and make any adjustments to recent rates paid in the relevant geographic market to ensure the compensation is reasonable: 1) the type of property; 2) the scope of work; 3) the time in which appraisal services are required to be performed; 4) fee appraiser qualifications; 5) fee appraiser experience and professional record; and 6) fee appraiser work quality. AMCs must not engage in any anticompetitive acts in violation of state or federal law that affect the compensation paid to fee appraisers.

AMCs, alternatively, are presumed to comply with this requirement by determining the amount of compensation paid to fee appraisers by relying on information about rates that: 1) is based on objective third-party information, including fee schedules, studies, and surveys prepared by independent third parties, such as government agencies, academic institutions, and private research firms; 2) is based on recent rates paid to a representative sample of providers of appraisal services in the geographic market of the property being appraised or the fee schedules of those providers; and 3) in the case of information based on fee schedules, studies, and surveys, such fee schedules, studies or surveys, or the information derived therefrom, excludes compensation paid to fee appraisers for appraisals ordered by AMCs.

The Board hereby adopts the United States Department of Veterans Affairs’ Roanoke Regional Loan Center Appraisal and Inspection Fees Schedule, as published and updated from time-to-time, as a government agency fee schedule which AMCs may use as a presumption of compliance with the requirement to provide customary and reasonable compensation to Virginia fee appraisers (see attached).

The customary and reasonable fee for a complex assignment appraisal may reflect the increased time, difficulty and scope of work required for such an appraisal and include an amount over and above the customary and reasonable fee for non-complex assignments.

Attachment Roanoke Regional Loan Center Effective August 1, 2014

Timeliness Requirements:

Origination Cases: 10 or fewer business days from the date the appraiser receives the assignment.

Liquidation Cases: 5 or fewer business days unless the property is vacant. If vacant, the appraiser must wait for interior access.

Appraisal and Inspection Fees: Location Type Origination Liquidation District of Columbia, SFR/Condo/MH $450 $500 Maryland, Virginia, West 2-4 Family $600 $650 Virginia SFR/Condo/MH $425 $475 Kentucky 2-4 Family $575 $625

• Re-inspection Fees (Existing and New Construction, all locations) $100

• Complex assignments still require the appraiser to negotiate a mutually acceptable fee with the lender and forward documentation of acceptance to VA for Approval/Concurrence prior to completing the assignment. Fees outside of current accepted market rates/practice are subject to denial.

Virginia Real Estate Appraiser Board Guidance Document Customary and Reasonable Compensation for Fee Appraisers February 23, 2016 The Board issues this guidance to interpret and implement §§ 54.1-2021.1.B.2.k, 54.1-2022.1 of the Code of Virginia, and 18 VAC 130-30-160.15, requiring AMCs to provide customary and reasonable compensation to fee appraisers.

AMCs are presumed to comply with this requirement by compensating fee appraisers in an amount that is reasonably related to recent rates paid for comparable appraisal services performed in the geographic market of the property being appraised. In determining this amount, AMCs must review the following factors and make any adjustments to recent rates paid in the relevant geographic market to ensure the compensation is reasonable: 1) the type of property; 2) the scope of work; 3) the time in which appraisal services are required to be performed; 4) fee appraiser qualifications; 5) fee appraiser experience and professional record; and 6) fee appraiser work quality. AMCs must not engage in any anticompetitive acts in violation of state or federal law that affect the compensation paid to fee appraisers.

Alternatively, AMCs comply by using objective third-party rate data—fee schedules, studies, surveys—excluding compensation for appraisals ordered by AMCs, based on recent rates paid to local providers.

The Board adopts the VA Roanoke Regional Loan Center Fees Schedule as a government fee schedule for AMCs to presume compliance with providing customary and reasonable compensation to Virginia fee appraisers (see attached).

The fee for complex appraisals may include additional compensation for increased time, difficulty, and scope beyond non-complex assignments.

Attachment Roanoke Regional Loan Center Effective August 1, 2014

Timeliness Requirements:

Origination cases: 10 or fewer business days from receipt of assignment.

Liquidation cases: 5 or fewer business days unless vacant; interior access required if vacant.

Appraisal and Inspection Fees: Location Type Origination Liquidation District of Columbia, SFR/Condo/MH $450 $500 Maryland, Virginia, West 2-4 Family $600 $650 Virginia SFR/Condo/MH $425 $475 Kentucky 2-4 Family $575 $625

• Re-inspection fees (existing/new construction, all locations): $100

• Complex assignments require appraiser to negotiate a mutually acceptable fee with the lender and submit documentation to VA for approval before completion. Fees outside current market rates may be denied.

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

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

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

B. RECOVERY FUND CLAIMS

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

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

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

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

D. PARTIAL PAYMENTS

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

E. DEBT SET-OFF MATCHES

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

1. Creation of the Receivable: Approval of any Consent or Final Order assessing penalties or costs creates a receivable due upon the Director’s signature, with most Orders allowing a fixed payment period before becoming past due.
2. License Suspension: Licensing sections monitor disciplinary orders; if penalties or costs are unpaid by due date, the Executive Director suspends the license per Policy #100-05.

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

B. RECOVERY FUND CLAIMS

1. Payment from the Fund: Claims paid per Final Orders, creating an immediate obligation for repayment 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: Finance notifies boards of Recovery Fund payments; licenses are revoked unless against Contractor Fund or during bankruptcy.
2. Interest Calculation: The Department assesses interest on Recovery Fund receivables per Virginia Debt Collection Act §§ 2.2-4805 and 6.2-302, at judgment rate.

C. OTHER RECEIVABLES: The Information Management Section bills and collects license transcripts, FOIA, and public record fees. Unpaid amounts at quarter-end are reported to Finance for collection if unpaid after a reasonable period.

D. PARTIAL PAYMENTS

1. The Department does not accept installment agreements; debtors must pay in full by the due date.
2. Partial payments are receipted and applied but do not constitute installment agreements; license remains suspended until full payment.
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 30 days to contest before funds are seized.
3. The debtor may contest the claim’s validity before the set-off agency by giving written notice within 30 days of the mailing date. This suspends further set-off.

When notified of a contest, the Finance Section schedules a Set-Off Hearing, appoints an impartial Presiding Officer, and notifies the debtor via certified mail within ten days.

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

The Presiding Officer may delay decision pending additional info, notifying the debtor within three days. After final debt validity, Finance finalizes the match in the Debt Set-Off system.

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 authorizes the Executive Director and Board Administrator to sign the Certification of Final Order for account referrals to the Attorney General.

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

The Virginia Real Estate Appraiser Board (Board) addressed the issue of appraisers submitting appraisal assignments electronically at its February 24, 2009, Board meeting and provides its licensees with the following guidance:

Board Regulations and USPAP require appraiser licensees to perform and deliver appraisal assignments in a secure manner to the client, and they must not communicate assignment results (or knowingly permit another person to communicate assignment results) in a misleading or fraudulent manner.

There are actions that a licensee may take to ensure compliance with these regulations when submitting assignments electronically. First, there are a number of secure digital signature software products and other encryption techniques that can be used to ensure compliance with Board Regulations. Second, licensees must keep a true copy of all assignments they submit electronically in accordance with the record keeping requirements of USPAP.

The Virginia Real Estate Appraiser Board (Board) addressed appraisers submitting appraisal assignments electronically at its February 24, 2009, meeting and provides guidance:

Board Regulations and USPAP require licensees to perform and deliver assignments securely to clients and not communicate results (or permit others to) in a misleading or fraudulent manner.

There are actions that a licensee may take to ensure compliance with these regulations when submitting assignments electronically. First, there are a number of secure digital signature software products and other encryption techniques that can be used to ensure compliance with Board Regulations. Second, licensees must keep a true copy of all assignments they submit electronically in accordance with the record keeping requirements of USPAP.

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