Compliance Analysis Overview

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

Guidance Document: Pumping of Alternative Onsite Sewage Systems

Adopted January 19, 2017 Amended April 20, 2017

I. Background

Board staff has received inquiries regarding the necessity of an alternative onsite sewage system operator to be present when a conventional onsite system operator has been called to pump an alternative onsite sewage system. Currently, a conventional onsite sewage system operator is not permitted to perform any kind of operation and maintenance on alternative onsite sewage systems, to include pumping the tanks.

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

"Alternative onsite sewage system operator" means an individual licensed by the board to operate and maintain conventional and alternative onsite sewage systems.

"Conventional onsite sewage system operator" means an individual licensed by the board to operate and maintain a conventional onsite sewage system.

"Maintenance" or "maintain" means performing adjustments to equipment and controls and in-kind replacement of normal wear and tear parts such as light bulbs, fuses, filters, pumps, motors, or other like components. Maintenance includes pumping the tanks or cleaning the building sewer on a periodic basis. Maintenance shall not include replacement of tanks, drain field piping, distribution boxes, or work requiring a construction permit and a licensed onsite sewage system installer.

"Operate" means any act of an individual that may impact on the finished water quality at a waterworks, the plant effluent at a wastewater works, or the effluent at an onsite sewage system.Guidance Document Pumping of Alternative Onsite Sewage Systems Amended April 20, 2017

In addition, the Board has the following policies and interpretations relative to this issue: December 2, 2009 - Onsite Sewage System Operators (Septic Pumpers) An onsite sewage system operator license is required for pumping out conventional and alternative onsite sewage systems.

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

II.

Issues and Concerns

The conventional onsite sewage system operator has the truck and equipment necessary to pump an onsite sewage system, and an alternative operator may not. In this case, the alternative onsite sewage system operator must have a conventional onsite sewage system operator pump the alternative onsite sewage system. Thus, the alternative operator must be present – because he is responsible for operation and maintenance on the alternative system – along with the conventional operator. The homeowner is then paying for two different licensees to be present, even though the conventional operator is only pumping the tank. Note: Neither of the policies above address this issue, and the above policies are expected to be repealed when the new regulations are effective as the issue of supervision is addressed more clearly.

III.

Policy

The Board adopts the following policy as it pertains to conventional onsite sewage system operators pumping alternative onsite sewage systems: A conventional onsite sewage system operator with the appropriate sewage handling permit issued by VDH may pump an alternative onsite sewage system without the alternative onsite sewage system operator present so long as it is done at the direction of the alternative onsite sewage system operator. The conventional onsite sewage system operator is only permitted to pump the tanks and is not authorized to perform any other functions associated with operation and maintenance of the alternative onsite sewage system, and such conventional operator may only pump the tank of the alternative onsite sewage system at the request of a properly licensed alternative onsite sewage system operator. If it is found that the conventional onsite sewage system operator has performed Guidance Document Pumping of Alternative Onsite Sewage Systems Amended April 20, 2017

any function outside of pumping the alternative onsite sewage system, or has done so independently and not at the direction of an alternative onsite sewage system operator, the conventional onsite sewage system operator may be subject to disciplinary action by the Board.

The Board advises that as a best practice the alternative operator should be present during the pumping of the alternative onsite sewage system, or should inspect the system as soon as possible after pumping to ensure the proper continued operation of the alternative onsite sewage system in accordance with applicable regulations and manufacturer’s instructions.

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

Guidance Document: Pumping of Alternative Onsite Sewage Systems

Adopted January 19, 2017 Amended April 20, 2017

I. Background

Board staff inquires about requiring an alternative onsite sewage system operator's presence when a conventional operator pumps an alternative system. Currently, conventional operators cannot perform maintenance or pumping on alternative systems.

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

"Alternative onsite sewage system operator" means a licensed individual authorized to operate and maintain both conventional and alternative systems.

"Conventional onsite sewage system operator" means a licensed individual to operate and maintain conventional systems.

"Maintenance" or "maintain" involves adjustments, in-kind replacement of wear parts, and periodic tank pumping or sewer cleaning. It excludes tank, drain field, or piping replacements requiring permits or licensed installers.

"Operate" means any action affecting water quality, plant effluent, or onsite sewage system effluent. Guidance Document Pumping of Alternative Onsite Sewage Systems, Amended April 20, 2017.

In addition, the Board has the following policies and interpretations relative to this issue: December 2, 2009 - Onsite Sewage System Operators (Septic Pumpers) An onsite sewage system operator license is required for pumping out conventional and alternative onsite sewage systems.

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

II.

Issues and Concerns

The conventional onsite sewage system operator has the truck and equipment necessary to pump an onsite sewage system, and an alternative operator may not. In this case, the alternative onsite sewage system operator must have a conventional onsite sewage system operator pump the alternative onsite sewage system. Thus, the alternative operator must be present – because he is responsible for operation and maintenance on the alternative system – along with the conventional operator. The homeowner is then paying for two different licensees to be present, even though the conventional operator is only pumping the tank. Note: Neither of the policies above address this issue, and the above policies are expected to be repealed when the new regulations are effective as the issue of supervision is addressed more clearly.

III.

Policy

The Board adopts the following policy as it pertains to conventional onsite sewage system operators pumping alternative onsite sewage systems: A conventional onsite sewage system operator with the appropriate sewage handling permit issued by VDH may pump an alternative onsite sewage system without the alternative onsite sewage system operator present so long as it is done at the direction of the alternative onsite sewage system operator. The conventional onsite sewage system operator is only permitted to pump the tanks and is not authorized to perform any other functions associated with operation and maintenance of the alternative onsite sewage system, and such conventional operator may only pump the tank of the alternative onsite sewage system at the request of a properly licensed alternative onsite sewage system operator. If it is found that the conventional onsite sewage system operator has performed Guidance Document Pumping of Alternative Onsite Sewage Systems Amended April 20, 2017

Performing functions beyond tank pumping or acting independently may result in disciplinary action.

The Board recommends the alternative operator be present during pumping or inspect afterward to ensure proper operation per regulations and manufacturer’s instructions.

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

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

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

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

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

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

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

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

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

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

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

Guidance Document: Effective Date of Utility Management CPE for Class 1 and Class 2 Waterworks and Wastewater Works Operators

Adopted April 20, 2017

I. Background

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

II. Issues/Concerns

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

III. Policy

At its meeting on April 20, 2017, the Board voted to not require Class 1 and 2 waterworks and wastewater works operators to complete CPE pertaining to utilities management until the next license cycle (beginning March 1, 2018 for wastewater works operators and March 1, 2019 for waterworks operators). However, if a Class 1 or 2 waterworks or wastewater works operator does complete a minimum of five hours of CPE during the current license cycle, it will be acceptable toward the licensee meeting the CPE requirements.

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

Guidance Document: Effective Date of Utility Management CPE for Class 1 and Class 2 Waterworks and Wastewater Works Operators

Adopted April 20, 2017

I. Background

The Waterworks and Wastewater Operator Licensing Regulations effective April 1, 2017, require at least five contact hours of the 20 hours of CPE to relate to utility management for Class 1 and 2 operators (see 18VAC160-30-200 and 18VAC160-30-210).

II. Issues/Concerns

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

III. Policy

On April 20, 2017, the Board voted not to require Class 1 and 2 waterworks and wastewater operators to complete utility management CPE until the next license cycle (starting March 1, 2018 for wastewater and March 1, 2019 for water). If they complete at least five hours during the current cycle, it will count toward CPE requirements.

Board for Contractors

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

Adopted August 8, 2017

I. Background

Currently, the Board for Contractors requires the Qualified Individual (QI) of a Contractor’s License with the Sewage Disposal System (SDS) specialty to hold a Conventional or Alternative Installer License issued by the WWWOOSSP Board. On April 1, 2017, the WWWOOSSP Board Regulations were amended, in part, to create a journeyman and master license structure for all onsite sewage system professions, to include installer licenses.

II. Issue

The WWWOOSSP Board’s new regulations require that a master licensee provide direct supervision of any regulated work performed by a journeyman licensee, and that there be an employment or contractual relationship between the master licensee and any journeyman licensees under the master’s direct supervision.1 Thus, a journeyman installer cannot be the individual primarily responsible for the provision of onsite sewage system installation services by a licensed contractor with the SDS specialty.

III. Request for Guidance

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

The Qualified Individual of a Contractor’s License with (or applying for) the SDS specialty must hold a current Master Conventional or Alternative Installer License issued by the WWWOOSSP Board.

1 18VAC160-40-510 of the Onsite Sewage System Professionals Licensing Regulations

Board for Contractors

Guidance Document: Master Installer License Requirement for Qualified Individual of Contractor’s License with SDS Specialty

Adopted August 8, 2017

I. Background

Currently, the Board for Contractors requires the QI of a Contractor’s License with SDS to hold a Conventional or Alternative Installer License issued by the WWWOOSSP Board. On April 1, 2017, the WWWOOSSP Board Regulations were amended to create a journeyman and master license structure for all onsite sewage system professions, including installer licenses.

II. Issue

The WWWOOSSP Board’s new regulations require a master licensee to directly supervise any work by a journeyman licensee, with an employment or contractual relationship.1 Thus, a journeyman installer cannot be primarily responsible for onsite sewage system installation by a licensed SDS contractor.

III. Request for Guidance

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

The Qualified Individual of a Contractor’s License with (or applying for) the SDS specialty must hold a current Master Conventional or Alternative Installer License issued by the WWWOOSSP Board.

1 18VAC160-40-510 of the Onsite Sewage System Professionals Licensing Regulations

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

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

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

GUIDANCE DOCUMENT

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

Adopted: April 29, 2021 Effective Date: June 24, 2021

Board Guidance

Sections 18VAC160-30-200 and 210 and 18VAC160-40-340, 350, and 360 of the Board’s regulations provide the topic areas for earning CPE credit as a licensee of the Board. Each of these regulation sections include the following in the list of acceptable CPE topics: administrative processes and procedures applicable to licensure, and laws and regulations applicable to the profession. As it has been previously suggested that licensees can earn CPE credit for attending Board meetings but there has not been any formal guidance established regarding earning CPE credit in this manner, the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals (Board).

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

1. A licensee of the Board must sign in and out of the Board meeting on forms provided by staff to include providing, at a minimum, the licensee’s name, address, and license number(s). For virtual Board meetings, Board staff will provide instructions in advanceGuidance Document CPE for Board Meeting Attendance Adopted 4/29/2021; Effective 6/24/2021 Page 2 of the Board meeting on how a licensee is to confirm attendance at the meeting and provide their identifying information.
2. A licensee can only earn CPE credit for attending a Board meeting once per license cycle.
3. CPE credit will be awarded pursuant to the provisions in the regulations, including the calculation of a “contact hour” as 50 minutes. However, the maximum credit that can be earned for attending a Board meeting is seven (7) hours of CPE credit.
4. A licensee who attends a Board meeting as a participant in a disciplinary matter being considered at that meeting is not eligible to earn CPE credit for attending that Board meeting.
5. Board staff may request additional information or documentation to ensure compliance with these guidelines. Failure to follow these instructions, including providing all necessary information, or failure for Board staff to confirm the licensee’s attendance at the Board meeting may result in CPE credit not being awarded.

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

Page 2 of 2

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

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

GUIDANCE DOCUMENT

Guidance on WWWOOSSP Licensees Earning CPE Credit for Board Meetings

Adopted: April 29, 2021 Effective Date: June 24, 2021

Board Guidance

Sections 18VAC160-30-200, 210, and 18VAC160-40-340, 350, 360 specify CPE topics, including licensure procedures and laws. Although suggested, formal guidance on earning CPE for attending Board meetings has not been established.

To earn CPE credit for attending a WWWOOSSP Board meeting, the following must be met:

1. Licensees must sign in/out on staff-provided forms, including name, address, and license number(s). For virtual meetings, staff will give instructions in advance on confirming attendance and providing info.
2. A licensee can only earn CPE credit for attending a Board meeting once per license cycle.
3. CPE credit will be awarded pursuant to the provisions in the regulations, including the calculation of a “contact hour” as 50 minutes. However, the maximum credit that can be earned for attending a Board meeting is seven (7) hours of CPE credit.
4. Licensees participating in disciplinary matters at a meeting are ineligible for CPE credit.
5. Board staff may request additional information or documentation to ensure compliance with these guidelines. Failure to follow these instructions, including providing all necessary information, or failure for Board staff to confirm the licensee’s attendance at the Board meeting may result in CPE credit not being awarded.

A licensee may face disciplinary action for falsely claiming CPE credit or misrepresenting attendance at a Board meeting.

Page 2 of 2

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

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

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

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

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

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

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

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

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

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

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

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

GUIDANCE DOCUMENT

Guidance Regarding License Requirements for Operators of an Alternative Sewage System Exceeding 10,000 GPD Adopted: October 28, 2021 Effective Date: December 23, 2021

I.

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

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

II.

Applicable Regulations and Minutes Excerpt

18VAC160-40-170 F of the Board’s regulations states: “No individual shall act as an alternative onsite sewage system operator of an alternative onsite sewage system that exceeds 10,000 gallons per day design flow without possessing a Class 4 or higher wastewater works operator license in addition to an alternative onsite sewage system operator license”.

As reflected in the January 29, 2019, Board meeting minutes, the Board previously considered Page 1 of 2 In accordance with § 2.2-4002.1 of the Code of Virginia, this proposed guidance document conforms to the definition of a guidance document in § 2.2-4101. this issue and agreed by consensus that one individual must hold both an alternative onsite sewage system operator license and a Class 4 or higher wastewater works operator license in order to operate and alternative system that exceeds 10,000 gallons per day, and two individuals would not meet the licensing requirement by partnering with one another.

III. Consideration of Board Policy

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

As of April 2021, there are only 45 licensees that hold both a wastewater works operator license (of any class) and an alternative onsite sewage system operator license. Since the requirement that a single individual holding both licenses be responsible for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day design flow may be overly-burdensome and restrictive for some areas of the state, the Board adopts guidance as follows:

An alternative onsite sewage system that exceeds 10,000 gallons per day design flow is required to have operations and maintenance performed by either (i) an individual who is licensed as both an alternative onsite sewage system operator and a Class 4 or higher wastewater works operator, or (ii) an individual who is licensed as an alternative onsite sewage system operator and an individual who is licensed as a Class 4 or higher wastewater works operator who are working together pursuant to an employment relationship, contract, or other written agreement.

Page 2 of 2

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

Board for Waterworks, Wastewater Operators, and Sewage System Professionals

GUIDANCE DOCUMENT

Guidance Regarding License Requirements for Operators of an Alternative Sewage System Exceeding 10,000 GPD Adopted: October 28, 2021 Effective Date: December 23, 2021

I.

Background: Board staff receives inquiries about license requirements for operators of systems exceeding 10,000 GPD.

Specifically, staff has been asked if one person must hold both licenses or if two can jointly operate systems over 10,000 GPD.

II.

Applicable Regulations and Minutes Excerpt

18VAC160-40-170 F states: “No individual shall operate an alternative onsite sewage system over 10,000 GPD without a Class 4+ wastewater license plus an onsite sewage operator license”.

The Jan 29, 2019, minutes state the Board agreed one person must hold both licenses to operate systems over 10,000 GPD; two individuals do not suffice.

III. Consideration of Board Policy

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

As of April 2021, there are only 45 licensees that hold both a wastewater works operator license (of any class) and an alternative onsite sewage system operator license. Since the requirement that a single individual holding both licenses be responsible for operations on an alternative onsite sewage system that exceeds 10,000 gallons per day design flow may be overly-burdensome and restrictive for some areas of the state, the Board adopts guidance as follows:

Systems over 10,000 GPD must be operated and maintained by: (i) one individual licensed as both an onsite sewage operator and Class 4+ wastewater operator, or (ii) two licensed individuals working together under an employment, contract, or written agreement.

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 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.

Templates shall be developed or provided by the Communications Director in consultation with the vendor.

B. GENERAL

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

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

1. The website may include hyperlinks to sites 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 developed by the IS Division with units are not subject to this policy’s review.
2. Forms per Procedure #1002 are not subject to review; requests to post forms go to the Forms Analyst or Web Coordinator, with a copy to the unit.

C. CHANGES TO THE DEPARTMENT WEBSITE

1. Units shall periodically review website information.
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 transfers files, updates links if needed, and notifies liaisons when info is public.
4. Content must be in HTML, PDF, or graphic formats; forms and applications in PDF only.

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

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

Same as previous, no change needed.

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

Guidance Document: Onsite Sewage System Inspections and Evaluations for Property Transfers

Adopted April 12, 2011

I. Policy

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

The Board’s regulations are silent on inspections and evaluations for property transfers.

Consequently, the Board has no authority to regulate inspections or evaluations for property transfers. The Board regulates onsite sewage system professionals. If work performed during an inspection or evaluation for the transfer of property requires a licensed individual to perform the work, pursuant to the Board’s regulations, then the individual performing the work must be appropriately licensed.

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

Guidance Document: Onsite Sewage System Inspections and Evaluations for Property Transfers

Adopted April 12, 2011

I. Policy

The Board adopts this policy clarifying its authority to regulate inspections or evaluations.

The Board’s regulations are silent on inspections and evaluations for property transfers.

Consequently, the Board cannot regulate inspections or evaluations for property transfers. It regulates onsite sewage system professionals. If work during such inspections requires a licensed individual per regulations, that individual must be licensed.

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

Guidance Document: Onsite Sewage System Installers

Adopted September 27, 2011 Revised October 26, 2017

I. Policy

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

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

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

Guidance Document: Onsite Sewage System Installers

Adopted September 27, 2011 Revised October 26, 2017

I. Policy

The Board adopts policy regarding Onsite Sewage System Installers and non-discharging onsite sewage systems:

A licensed alternative onsite sewage system installer is required for all nondischarging onsite sewage systems permitted by VDH. The installer must be a licensed contractor or work for one with the SDS specialty if required by Chapter 11 of Title 54.1 of the Code of Virginia. If plans include components like a pumping station, the contractor may need the H/H classification from the Virginia Board for Contractors, in addition to SDS.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

54.1-402(A.)(11).

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

SECTION B: Residential Wastewater

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

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

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

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

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

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

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

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

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

Page 3 of 3

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

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

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

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

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

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

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

1. Uses packaged, catalogued, tested equipment that complies with codes;
2. Flow less than 1,000 gallons/day; and
3. If included, pump must avoid multiple downhill runs, have positive elevation change, open discharge, static head ≤50 ft, and force main ≤500 ft.

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

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

54.1-402(A.)(11).

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

SECTION B: Residential Wastewater

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

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

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

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

1. Is the wastewater source primarily from a residence?

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

If any of the above questions are answered "No," a licensed PE must certify the wastewater's residential strength.

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

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

Page 3 of 3

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

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

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

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

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

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 for military reasons.
5. If the board cannot complete review or determine substantial equivalency within 20 days of receipt, it shall issue a temporary license, permit, or certificate, valid for 12 months or until the permanent license is issued. Temporary licenses cannot 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: §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

Guidance Document In accordance with § 2.2-4002.1 of the Code of Virginia, this proposed guidance Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals document conforms to the definition of a guidance document in § 2.2-4101.

Board for Waterworks and Wastewater Works

Operators and Onsite Sewage System Professionals

Guidance Document: License Requirements for Operators of Small Wastewater Treatment Facilities

Adopted April 21, 2022 Effective Date: July 7, 2022

I. Background

Board staff has been informed that new guidance from the Department of Environmental Quality (DEQ) requires operators of small wastewater treatment facilities (less than 1,000 gallons per day) to hold a Class 4 wastewater works operator license in order to meet DEQ’s updated permitting requirements.

II. Issue

This scenario could be problematic for an individual who is seeking licensure because the Board’s regulations require the experience to have been gained at a classified facility, and the relevant facilities in this situation were previously unclassified.

Pursuant to the regulations, the individual could only qualify for a provisional license if all of the experience was gained at an unlicensed facility.

III. Board Guidance

Page 1 of 2Guidance Document Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals In accordance with Guidance Memorandum No. 99-2002, adopted by DEQ on February 3, 1999, the Board provides the following guidance: The Board agrees to accept an applicant’s experience obtained in a previously unclassified wastewater treatment facility that has recently been classified as requiring a licensed operator if:

1. The owner of the facility completes and signs the Virginia Experience Verification form for the applicant;
2. The license application includes verification from the appropriate DEQ Regional Office that the operator license requirement is a new requirement, and;
3. The applicant meets all other requirements for licensure.

This policy does not reduce the amount of experience required and applies only to initial applications for licensure.

This policy applies only when a previously unclassified facility now requires a licensed Class 4 or Class 3 operator.

Page 2 of 2

In accordance with § 2.2-4002.1, this guidance document for Waterworks and Wastewater Operators and Onsite Sewage Professionals conforms to § 2.2-4101.

Board for Waterworks and Wastewater Works

Operators and Onsite Sewage System Professionals

Guidance Document: License Requirements for Small Wastewater Operators

Adopted April 21, 2022 Effective Date: July 7, 2022

I. Background

Board staff learned that DEQ guidance requires operators of small wastewater facilities (<1,000 gpd) to hold a Class 4 license to meet updated permitting requirements.

II. Issue

This may hinder licensure as regulations require experience at classified facilities, but these facilities were previously unclassified.

Regulations allow provisional licensure only if all experience was gained at an unlicensed facility.

III. Board Guidance

Page 1 of 2. In accordance with Guidance Memorandum No. 99-2002 (adopted Feb 3, 1999), the Board accepts experience from unclassified facilities now requiring a licensed operator if:

1. The facility owner completes and signs the Virginia Experience Verification form for the applicant;
2. The application includes verification from the DEQ Regional Office that the operator license is a new requirement, and;
3. The applicant meets all other requirements for licensure.

This policy does not reduce experience requirements and applies only to initial licensure applications.

This policy applies only when a previously unclassified facility now requires a licensed Class 4 or Class 3 operator.

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 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 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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

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

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

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

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

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

C. A late fee receipt disqualifies a candidate 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

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

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

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

III. DEFINITIONS:

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

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

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

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

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

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

A. CUSTODIAN OF RECORD

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

B. RESPONDING TO INFORMATION REQUESTS

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

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

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

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

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

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

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

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

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

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

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

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

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

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

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

E. OTHER NON-DISCLOSABLE INFORMATION

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

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

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

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

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

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

III. DEFINITIONS:

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

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

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

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

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

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

A. CUSTODIAN OF RECORD

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

B. RESPONDING TO INFORMATION REQUESTS

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

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

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

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

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

1. Applications for admission, reinstatement, upgrade, or license maintenance documents with personal info must be requested from: Information Management Section. They are exempt from public disclosure (§ 54.1-108.2).

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. Request bonds from: Licensing Section. Performance bond info, including amount and issuer, is publicly disclosable.
2. Request Certifications of Regulant Status from: Licensing Section, per DPOR Procedure #903.
3. Request complaint info from: Compliance and Investigations Division. Open complaints with probable cause are disclosed after investigation; case files are exempt until closure. Disclosures during disciplinary investigations follow the Administrative Process Act.

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

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

1. Request contracts and procurement records from: Procurement Section, per § 2.2-4342.
2. Request electronic mail records from: Custodian of Record. All emails and attachments are public unless exemptions apply per § 54.1-108 and related statutes. Email content determines exemptions.
3. Request exam info from: Education/Examinations or Information Management Sections. Questions, papers, answer sheets, and keys are exempt unless security is unaffected. Scores may be released per policy.
4. Request financial records from: Finance Section, via the Budget and Financial Services Director.
5. Request Governor’s working papers from: Custodian of Record; they are not public. Legal advice and litigation work products are privileged. License maintenance records are public with exemptions. License transcripts summarize license activity, often for court, and are authenticated per § 54.1-112.

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

1. 2-3711 are not subject to public disclosure. However, no record that is otherwise open to inspection under this chapter shall be deemed exempt by virtue of the fact that it has been reviewed or discussed in a closed meeting. Request personnel records from: Human Resources. Requests follow Policy 6.05, FOIA, and Attorney General guidance. Employee info is confidential unless consented; if disclosed, employees are notified of requester, including position, classification, employment dates, and salary if over $10,000. Request property registration files from: Office of the Common Interest Community. Files are available electronically for public disclosure. Request Recovery Fund claim files from: Custodian of Record. Files are available regardless of case status. Request regulant lists from: Information Management Section. Lists are available electronically via CD, DVD, or email.

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

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

E. OTHER NON-DISCLOSABLE INFORMATION

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

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

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

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

Guidance Document: Onsite Sewage System Professionals Master and Journeyman License Requirements

Adopted April 20, 2017

I. Background

Board staff has received inquiries regarding whether everyone involved in performing regulated activities (i.e., onsite sewage system installation, soil evaluation, and/or operation) needs to have a license issued by the Board.

II. Policy

The Board adopts the following policy as it pertains to licensing of individuals engaged in the provision of regulated activities:

A license is required if an individual is performing a regulated activity. If assisting with tasks related to the regulated activity, a license is not necessarily required. When installing onsite sewage systems, the decision-maker and person executing the installation of approved permits must be licensed as a journeyman or master for the applicable license type. In addition, a licensee (master or journeyman, with the appropriate license type) must be on the job site. For operation and maintenance and onsite soil evaluation and design, the decision-maker must have a license and a licensee must be on-site where the regulated activities are being performed (either master or journeyman, with the appropriate license type). In all cases, master licensees are responsible for providing direct supervision over journeymen licensees working under them and performing regulated activities, in accordance with the Board’s regulations.

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

Guidance Document: Onsite Sewage System Professionals Master and Journeyman License Requirements

Adopted April 20, 2017

I. Background

Board staff has received inquiries whether all involved in regulated activities (installation, soil evaluation, or operation) must have a license issued by the Board.

II. Policy

The Board adopts the following policy on licensing individuals engaged in regulated activities:

A license is required if an individual is performing a regulated activity. If assisting with tasks related to the regulated activity, a license is not necessarily required. When installing onsite sewage systems, the decision-maker and person executing the installation of approved permits must be licensed as a journeyman or master for the applicable license type. In addition, a licensee (master or journeyman, with the appropriate license type) must be on the job site. For operation and maintenance and onsite soil evaluation and design, the decision-maker must have a license and a licensee must be on-site where the regulated activities are being performed (either master or journeyman, with the appropriate license type). In all cases, master licensees are responsible for providing direct supervision over journeymen licensees working under them and performing regulated activities, in accordance with the Board’s regulations.

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

GUIDANCE DOCUMENT: ACCEPTABLE

UTILITY MANAGEMENT CPE TOPICS

PURSUANT TO VAC160-30-200 B AND VAC160-30-210 B Adopted October 26, 2017

I.

Background

Per 18VAC160-30-200 B and 18VAC160-30-210 B of the Board’s regulations, Class 1 and Class 2 waterworks and wastewater works operators are required to take a minimum of five contact hours of CPE pertaining to utility management.

II.

Issue The Board’s regulations provide that one of the required topic areas for Class 1 and 2 operators is utility management, but questions have arisen as to the types of courses that would be considered utility management. Therefore, licensees and Board staff are requesting clarification regarding the topic areas that may be accepted as utility management CPE.

Guidance Document: Utility Management CPE Topics Adopted October 26, 2017

III.

Policy To ensure consistency in the application of the regulations and guidance to staff and licensees as to what topics areas may be acceptable for utility management CPE, the Board advised that the following topic areas would be considered to be acceptable for utility management CPE pursuant to 18VAC160-30-200 B and 18VAC160-30-210 B.

The topic areas include, but are not limited to: -Customer Service for Utilities -Managing Job Performance (Supervision and Management) -Conflict Resolution -Succession Planning -Writing Standard Operating Procedures -Budgeting -OSHA Courses -Contract Negotiation -Rate Analysis -Grant Writing -Laboratory Analysis, to include Chain of Custody -Compliance Reporting, to include Discharge Monitoring and Monthly Operating Reports (DMR and MOR) -Employee Development -Operation Performance Indicators -Ethics Other topic areas not listed may also be acceptable for utility management CPE and will be reviewed on a case by case basis. Board staff may request additional information as needed in order to ensure compliance with this policy when conducting an audit of a waterworks or wastewater works operator’s CPE.

Guidance Document: Utility Management CPE Topics Adopted October 26, 2017

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

GUIDANCE DOCUMENT: ACCEPTABLE

UTILITY MANAGEMENT CPE TOPICS

PURSUANT TO VAC160-30-200 B AND VAC160-30-210 B Adopted October 26, 2017

I.

Background

Per 18VAC160-30-200 B and 18VAC160-30-210 B, Class 1 and 2 water and wastewater operators must complete at least five contact hours of CPE on utility management.

II.

Issue The Board’s regulations provide that one of the required topic areas for Class 1 and 2 operators is utility management, but questions have arisen as to the types of courses that would be considered utility management. Therefore, licensees and Board staff are requesting clarification regarding the topic areas that may be accepted as utility management CPE.

Guidance Document: Utility Management CPE Topics Adopted October 26, 2017

III.

Policy: To ensure consistent application, the Board states the following topics are acceptable for utility management CPE per 18VAC160-30-200 B and 18VAC160-30-210 B.

The topic areas include, but are not limited to: -Customer Service for Utilities -Managing Job Performance (Supervision and Management) -Conflict Resolution -Succession Planning -Writing Standard Operating Procedures -Budgeting -OSHA Courses -Contract Negotiation -Rate Analysis -Grant Writing -Laboratory Analysis, to include Chain of Custody -Compliance Reporting, to include Discharge Monitoring and Monthly Operating Reports (DMR and MOR) -Employee Development -Operation Performance Indicators -Ethics Other topic areas not listed may also be acceptable for utility management CPE and will be reviewed on a case by case basis. Board staff may request additional information as needed in order to ensure compliance with this policy when conducting an audit of a waterworks or wastewater works operator’s CPE.

Guidance Document: Utility Management CPE Topics Adopted October 26, 2017

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

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

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

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

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

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

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

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

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

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

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

Guidance Document: Qualifying for Operator and Installer Licensure Using Certain Degree Programs in Lieu of Board-Approved Training

Adopted April 19, 2018

I. Background

The Board’s Onsite Sewage System Professionals Licensing Regulations include several options to qualify for licensure. Among the entry options, the qualifications for master conventional and alternative onsite sewage system installers, master conventional and alternative onsite sewage system operators, and journeyman alternative onsite sewage system operators include provisions for completion of training approved by the Board. Board staff has received an inquiry whether certain degree programs could be used in lieu of completion of the training approved by the Board.

II. Policy

The Board adopts the following policy as it pertains to licensing of individuals engaged in the provision of regulated activities:

The Onsite Sewage System Professionals Licensing Regulations provide options for entry that include completion of 10 to 20 hours of education approved by the Board covering the basics of operation and installation, as applicable to the license being sought, of onsite sewage systems. Applicants seeking to qualify under 18VAC160-40-130.1 or 18VAC160-40-130.3 (master conventional onsite sewage system installer); 18VAC160-40-160.2 or 18VAC160-40-160.3 (master alternative onsite sewage system installer); 18VAC160-40-190.2 (master conventional onsite sewage system operator); 18VAC160-40-210.1 (journeyman alternative onsite sewage system operator); and 18VAC160-40-220.1 or 18VAC160-40-220.3 (master alternative onsiteGuidance Document Qualifying for Operator and Installer Licensure Using Certain Degree Programs in Lieu of Board-Approved Training Adopted April 19, 2018 sewage system operator) may substitute the “Education Required” pursuant to the respective regulation with an acceptable degree as provided in 18VAC160-40-280.

The applicant must meet all other requirements of the Board, including appropriate documentation of qualifying experience. Board staff may request additional information from the applicant to confirm the education component has been satisfied and all eligibility criteria has been met.

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

Guidance Document: Qualifying for Operator and Installer Licensure Using Certain Degree Programs in Lieu of Board-Approved Training

Adopted April 19, 2018

I. Background

The Board’s Onsite Sewage System Professionals Licensing Regulations include several options to qualify for licensure. Among the entry options, the qualifications for master conventional and alternative onsite sewage system installers, master conventional and alternative onsite sewage system operators, and journeyman alternative onsite sewage system operators include provisions for completion of training approved by the Board. Board staff has received an inquiry whether certain degree programs could be used in lieu of completion of the training approved by the Board.

II. Policy

The Board adopts this policy for licensing individuals engaged in regulated activities:

The Onsite Sewage System Professionals Licensing Regulations provide options for entry that include completion of 10 to 20 hours of education approved by the Board covering the basics of operation and installation, as applicable to the license being sought, of onsite sewage systems. Applicants seeking to qualify under 18VAC160-40-130.1 or 18VAC160-40-130.3 (master conventional onsite sewage system installer); 18VAC160-40-160.2 or 18VAC160-40-160.3 (master alternative onsite sewage system installer); 18VAC160-40-190.2 (master conventional onsite sewage system operator); 18VAC160-40-210.1 (journeyman alternative onsite sewage system operator); and 18VAC160-40-220.1 or 18VAC160-40-220.3 (master alternative onsiteGuidance Document Qualifying for Operator and Installer Licensure Using Certain Degree Programs in Lieu of Board-Approved Training Adopted April 19, 2018 sewage system operator) may substitute the “Education Required” pursuant to the respective regulation with an acceptable degree as provided in 18VAC160-40-280.

The applicant must meet all other requirements of the Board, including appropriate documentation of qualifying experience. Board staff may request additional information from the applicant to confirm the education component has been satisfied and all eligibility criteria has been met.

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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

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

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

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

III. DEFINITIONS: N/A

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

V. GENERAL PROVISIONS:

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

B. MONITORING AND COMPLIANCE

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

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

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, or court 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

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

Board for Contractors

Guidance Document: Contractor License Requirement for Onsite Sewage System Maintenance

Adopted October 29, 2019 Effective December 26, 2019

I. Background

Prior to July 1, 2018, an onsite sewage system installer license from the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals (WWWOOSSP Board), along with a construction permit from the Virginia Department of Health, was required to perform certain repairs1 to an onsite sewage system, including replacement of sewer lines, conveyance lines, distribution boxes, and header lines. While work considered repairs are limited to licensed installers working under a contractor’s license with the SDS specialty, licensed onsite sewage system operators perform maintenance on onsite sewage systems and are not required to work under a contractor’s license.

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

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

Page 1 of 3Guidance Document Board for Contractors "Maintenance" means, unless otherwise provided in local ordinance, (i) performing adjustments to equipment and controls and or (ii) in-kind replacement of normal wear and tear parts that do not require a construction permit for adjustment or replacement of the component such as light bulbs, fuses, filters, pumps, motors, sewer lines, conveyance lines, distribution boxes, header lines, or other like components. "Maintenance" includes pumping the tanks or cleaning the building sewer on a periodic basis.

Maintenance Notwithstanding any local ordinance, “maintenance” shall does not include replacement of tanks, drainfield piping, distribution boxes subsurface drainfields, or work requiring a construction permit and installer. Unless otherwise prohibited by local ordinance, a conventional onsite sewage system installer or an alternative onsite sewage system installer may perform maintenance work limited to in-kind replacement of light bulbs, fuses, filters, pumps, sewer lines, conveyance lines, distribution boxes, and header lines.

The definition of “maintenance” in the WWWOOSSP Board’s Regulations tracks to conform to the definition of “maintenance” in the Health Code.

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

II.

Issue

With the change in definition, an operator is now permitted to perform replacement of sewer lines, conveyance lines, distribution boxes, and header lines, and a construction permit for repair is no longer required. Keeping in mind an onsite sewage system operator whose work experience is solely performing maintenance on onsite sewage systems would not qualify for a contractor’s license, there has been confusion regarding whether the work still requires a contractor’s license. Section 54.1-1100 of the Code of Virginia includes the following definition: “’Contractor means any person, that for a fixed price, commission, fee, or percentage undertakes to bid upon, or accepts, or offers to accept, orders or contracts for performing, managing, or superintending in whole or in part, the construction, removal, repair or improvement [emphasis added] of any building or structure Page 2 of 3 Guidance Document Board for Contractors permanently annexed to real property owned, controlled, or leased by him or another person or any other improvements to such real property. For purposes of this chapter, "improvement" shall include (i) remediation, cleanup, or containment of premises to remove contaminants or (ii) site work necessary to make certain real property usable for human occupancy according to the guidelines established pursuant to § 32.1-11.7.”

III.

Board Guidance As a result of the above changes to the WWWOOSSP Board regulations and Code of Virginia, the Board for Contractors adopts the following guidance: For onsite sewage system work only, the Board will consider the definition of “maintenance” in 18VAC160-40-10 and § 32.1-163 of the Code of Virginia as it pertains to the type of work that would not require a contractor’s license with the SDS specialty.

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

Page 3 of 3

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

Board for Contractors

Guidance Document: Contractor License for Sewage System Maintenance

Adopted October 29, 2019 Effective December 26, 2019

I. Background

Before July 1, 2018, onsite sewage repairs required a license from the WWWOOSSP Board and a VDH permit; operators perform maintenance without a contractor’s license.

In 2018, § 32.1-163 of the Health Code was amended to define “maintenance” as:

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

“Maintenance” means, unless local ordinance states otherwise, adjusting equipment or replacing normal wear parts (e.g., bulbs, filters, pumps, sewer lines) and includes tank pumping or sewer cleaning.

Regardless of local ordinance, “maintenance” excludes replacing tanks, drainfields, or work needing a permit. Installers may perform in-kind replacements of specified components.

The WWWOOSSP Board’s “maintenance” definition aligns with the Health Code.

Effective September 19, 2018, 18VAC160-40-10 was amended to reflect this “maintenance” definition.

II.

Issue

With the change in definition, an operator is now permitted to perform replacement of sewer lines, conveyance lines, distribution boxes, and header lines, and a construction permit for repair is no longer required. Keeping in mind an onsite sewage system operator whose work experience is solely performing maintenance on onsite sewage systems would not qualify for a contractor’s license, there has been confusion regarding whether the work still requires a contractor’s license. Section 54.1-1100 of the Code of Virginia includes the following definition: “’Contractor means any person, that for a fixed price, commission, fee, or percentage undertakes to bid upon, or accepts, or offers to accept, orders or contracts for performing, managing, or superintending in whole or in part, the construction, removal, repair or improvement [emphasis added] of any building or structure Page 2 of 3 Guidance Document Board for Contractors permanently annexed to real property owned, controlled, or leased by him or another person or any other improvements to such real property. For purposes of this chapter, "improvement" shall include (i) remediation, cleanup, or containment of premises to remove contaminants or (ii) site work necessary to make certain real property usable for human occupancy according to the guidelines established pursuant to § 32.1-11.7.”

III.

Due to regulation and code changes, the Board considers “maintenance” in 18VAC160-40-10 and § 32.1-163 as work not requiring a contractor’s license for onsite sewage systems.

Other regulated work (contracting, installation, repair, O&M) must comply with Chapters 11 and 23 of Title 54.1 Virginia Code.

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 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, 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.

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

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

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

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

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

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

B. RECOVERY FUND CLAIMS

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

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

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

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

D. PARTIAL PAYMENTS

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

E. DEBT SET-OFF MATCHES

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

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

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

B. RECOVERY FUND CLAIMS

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

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

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

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

D. PARTIAL PAYMENTS

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

E. DEBT SET-OFF MATCHES

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

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

1. a. The Presiding Officer conducts the Set-Off Hearing to determine if the amount owed remains due; the debt’s basis is not addressed. b. 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.

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

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

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

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

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