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Guide to the Background Investigation Process

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DISCLOSURE REQUIREMENTS

The rules governing background investigation disclosures are Ohio Administrative Code (O.A.C.) 109:6-1-02 through 109:6-1-05; they are based on sections 3734.40 through 3734.47 of the Ohio Revised Code (O.R.C.). This guide does not replace the rules, nor does it relieve an individual or business concern of its responsibilities under these rules.

Applicants for and holders of Ohio solid waste, infectious waste, or hazardous waste permits, and prospective owners of Ohio off-site waste facilities are required by law to file disclosure statements with the Attorney General's Environmental Background Investigation Unit. Following disclosure, the Environmental Background Investigation Unit conducts an independent background investigation on each applicant, permittee, or prospective owner. The Attorney General transmits the findings of the investigation to the Director of the Ohio Environmental Protection Agency in the form of an investigative report. This investigative report contains factual information relating to the applicant, permittee, or prospective owner's competence, reliability, and expertise. The Director uses the investigative report in the permit or application review process.

DISCLOSURE DOCUMENTS

The Environmental Background Investigation Unit's investigative process makes use of nine disclosure documents. The Attorney General makes these forms available to all applicants, permittees, and prospective owners either on-line through the Attorney General's Internet Website or by mail, upon request. The following forms are available in PDF version. The documents can be filled out in Acrobat Reader to print and mail. To fill out the PDF documents, simply place your cursor in the space you wish to fill and use the tab key to move on to the next space. You also may print the document and fill it out with a typewriter or by hand.

  1. Main Disclosure Statement
  2. Main Affidavit - REVISED
  3. Business Concern Disclosure Statement (Private or Government Entity)
  4. Business Concern Affidavit - REVISED
  5. Listed Business Concern Disclosure Statement
  6. Listed Business Concern Affidavit - REVISED
  7. Subsidiary Disclosure Statement
  8. Subsidiary Affidavit - REVISED
  9. Personal History Disclosure Form - REVISED
  10. Personal History Affidavit - REVISED
  11. General Release Authorization - REVISED
  12. BCI&I Release Authorization - REVISED
  13. Fingerprint Card Request Form

Within 180 days after receiving a "call-in letter" (or at least 180 days prior to a proposed change of ownership) an applicant, permittee, or prospective owner is required to complete the forms and file the disclosure statements with the Attorney General.

In addition to submitting the required disclosure statements, an individual or business concern may submit any information which is pertinent to its disclosure. The submission of this additional information does not relieve the individual or business concern of its obligation to file complete disclosure statements.

FINGERPRINTING REQUIREMENTS

Herein is our policy as it applies to the background investigation process and the issue of having new officers, directors and key employees fingerprinted. Certain law enforcement agencies in the State of Ohio no longer roll fingerprints on cards in lieu of the electronic scanning process referred to as WebCheck. WebCheck is an internet-based program to transfer fingerprints from participating agencies such as school districts, education associations, children’s hospitals and public institutions to BCI&I for civilian background checks.

The utilization of WebCheck is not to be confused with the background investigation process for Applicants for and holders of Ohio solid waste, infectious waste, or hazardous waste permits, and prospective owners of Ohio off-site waste facilities. Ohio Administrative Code 109:6-1-02(Q)(1) states, "'Fingerprint card' means a completed fingerprint form prescribed by the attorney general or a completed fingerprint form acceptable to the federal bureau of investigation." Likewise, Ohio Administrative Code 109:6-1-03(C) states, “Fingerprints shall be submitted only on forms prescribed by the attorney general or on any fingerprint form acceptable to the federal bureau of investigation.”

Individuals needing to be fingerprinted should not have their fingerprints scanned by WebCheck. A Civilian (Ohio) and an Applicant (FBI) fingerprint card needs to be submitted to our office for processing. We strongly encourage you to print this information, provide it to every individual needing fingerprinted and instruct them to give it to the law enforcement agency they visit. If an individual is advised by a law enforcement agency that they no longer roll fingerprints, please contact our office immediately to help facilitate communication with that agency or another agency in an effort to obtain their fingerprints.

It is very important that this message be clearly communicated to new officers, directors and key employees needing fingerprinted. If you have any questions, please call (614) 466-3843 or toll free (800) 348-3248.

INITIAL FILING OF DISCLOSURE STATEMENTS - WHO MUST FILE AND WHEN

NEW FACILITY

Every applicant for a permit (other than a permit modification or renewal) is required to file disclosure statements with the Attorney General.

  1. At the same time the applicant files its application with the Director of the Ohio Environmental Protection Agency; or
  2. On or before a date specified in a written notice sent by the Attorney General.

EXISTING FACILITY

  1. CALL-IN
    Every permit holder who has not already filed disclosure statements with the Attorney General (for each of its facilities), is required to do so on or before a date specified in a written notice sent by the Attorney General.
  2. CHANGE OF OWNERSHIP
    If there is to be a change of ownership of an existing facility, the new owner is required to file disclosure statements with the Attorney General at least 180 days prior to the change of ownership.

WHAT MUST BE FILED

Each applicant, permittee, or prospective owner must submit a Main Disclosure Statement and a Business Concern (Private or Government Entity) Disclosure Statement. In addition, where applicable, a Listed Business Concern Disclosure Statement and a Subsidiary Disclosure Statement is required. Each applicant, permittee, or prospective owner must also submit Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements for each of its "key employees," including release authorizations and legible state and federal fingerprint cards.

(A "Key Employee" is any individual who is employed in a supervisory position for the subject facility, or any individual who can make discretionary decisions for the subject facility. (Refer to OAC 109:6-1-01(M))

  1. SOLE PROPRIETORSHIP
    If the applicant, permittee, or prospective owner is a sole proprietorship, the applicant, permittee, or prospective owner must submit, in addition to the items required in the above paragraph, an Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement for the owner or sole proprietor.
  2. PARTNERSHIP
    If the applicant, permittee, or prospective owner is a partnership (general or limited), the partnership must submit, in addition to the items required in the first paragraph, the following:

    a. Where a partner is an individual, the individual must submit an Annual Maintenance/ Quarterly Update and New Call-In/Personal History Disclosure Statement.

    b. Where a partner is a publicly traded/publicly held or a private corporation, the corporation must submit a Business Concern (Private or Government Entity) Disclosure Statement, and a Listed Business Concern Disclosure Statement for itself and for any parent corporations which own, either directly or indirectly, at least 5% (for publicly traded/publicly held corporations) or 25% (for privately held corporations), of its outstanding equity. The corporation must submit an Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements for its officers, directors, key employees, and any individuals holding more than 5%/25% of the equity in or debt liability of any business concern.

  3. CORPORATION

    If the applicant, permittee, or prospective owner is a corporation, the corporation must submit, in addition to the items required in the first paragraph, the following:

    a. On behalf of the applicant, permittee, or prospective owner:

    1. Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement for each officer, director, and key employee of the corporation;

    2. Where the applicant, permittee, or prospective owner is a publicly traded/ publicly held corporation or a private corporation, the corporation must submit an Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements for any individuals holding more than 5%/25% of the equity in or debt liability of any business concern.

    b. On behalf of parent corporations and/or partnerships:

    Where the applicant, permittee, or prospective owner is a publicly traded/publicly held corporation or a private corporation, the corporation must submit a Main Disclosure Statement, Business Concern (Private or Government Entity) Disclosure Statement, and a Listed Business Concern Disclosure Statement for its parent corporations or partnerships which own or control, either directly or indirectly (as through a subsidiary), more than 5%/25% of the equity in or debt liability of any business concern. The corporation must also submit an Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements for the officers, directors, partners, key employees, and any individuals holding more than 5%/25% of the equity in or debt liability of any business concern.

    c. On behalf of subsidiaries, partnerships, and other business concerns in which the applicant holds an interest:

    The applicant, permittee, or prospective owner is required to submit a Listed Business Concern Disclosure Statement for each business concern in which the applicant holds an equity interest, that collects, transfers, transports, treats, stores, or disposes of solid, infectious, or hazardous waste.

    d. In addition, each applicant, permittee, or prospective owner which is an incorporated entity must submit a Listed Business Concern Disclosure Statement and a Subsidiary Disclosure Statement for each business concern in which the applicant, permittee, or prospective owner, holds any type of interest in a business concern which had the following:

    1. a criminal charge filed, or a conviction rendered, against itself or any of its officers, directors, or key employees, for a crime listed in O.R.C. 3734.44(B); or

    2. a civil judicial complaint or judgment of liability, rendered against itself for violation of an environmental protection law resulting in a penalty of fifty thousand dollars ($50,000) or more.

  4. GOVERNMENT ENTITY

    If the applicant, permittee, or prospective owner is a government entity, but the operator is a business concern or an individual who is not an employee of the government entity, the operator must file, in addition to the items required in the first paragraph, a Business Concern (Private or Government Entity) Disclosure Statement in accordance with the appropriate preceding guidelines.

    If the applicant, permittee, or prospective owner is a government entity which operates the facility, the government entity must submit a Main Disclosure Statement, Business Concern (Private or Government Entity) Disclosure Statement, Listed Business Concern Disclosure Statement, and Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements for its key employees.

    If the applicant, permittee, or prospective owner is a government entity which operates the facility, the government entity is requested to submit a list of names of its elected officials (i.e., county commissioners, mayors, etc.) in the cover letter accompanying the disclosures.

FILING OF MAINTENANCE DISCLOSURE STATEMENTS

After the applicant, permittee, or prospective owner has completed its initial submission of disclosure statements to the Attorney General, and the Attorney General has completed an investigation and transmitted the investigative report to the Director of the Ohio Environmental Protection Agency, the applicant or permittee must periodically update its disclosure.

QUARTERLY MAINTENANCE REQUIREMENTS

  1. The applicant or permittee must submit an Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement, including release authorizations and state and federal fingerprint cards, on behalf of any individual, listed in Attachment A, within 90 days after hiring. The Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement should be completed as described in Attachment A.
  2. The applicant or permittee must submit disclosure statements on behalf of the new business concern within 90 days after the acquisition or formation of one of the business concerns listed in Attachment B. The disclosure statements should be completed as outlined in the attachment.
  3. The applicant or permittee must submit information regarding any new criminal conviction (within 90 days after the judgment entry of a conviction) of any individual or business concern who is required to submit a disclosure statement to the Attorney General.

ANNUAL UPDATE REQUIREMENTS

Annually, on or before the date specified in a written notice sent by the Attorney General, the applicant or permittee must submit all disclosure statements required for the initial disclosure (as previously detailed). The Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statements filed for the annual update are to be filed in accordance with Attachment C to this guide.

If the applicant or permittee has previously filed a disclosure statement for an individual or business concern, then the update disclosure filed for that individual or business concern need only reflect changes that have occurred since the date of the last filing. If no changes have occurred since the date of last filing, then the Notarized Affidavit to that effect is to be completed. The Affidavit attests to the validity of any and all information supplied to the Attorney General in association with the most current disclosure filing.

New officers, directors, and key employees must submit legible State and Federal fingerprint cards to permit the Attorney General to check criminal histories with the Ohio Bureau of Criminal Identification and Investigation (BCI&I) and the Federal Bureau of Investigation. Each fingerprint card needs to be submitted only once. Submit all new release and authorization forms if fingerprints cards were previously submitted.

The Attorney General requires new General and BCI&I Release Authorizations because many of the sources from which the Attorney General obtains investigative information require current release authorizations.

SUBMISSION OF FEES WITH DISCLOSURE DOCUMENTS

Ohio Administrative Code 109:6-1-04 requires each applicant, permittee, or prospective owner filing disclosure statements to pay to the Attorney General's Office, a fee based upon the type of facility and the amount of waste handled by the respective facility. The fees are described in the related section are required to be submitted with the disclosure statements. The Deputy Director of the Environmental Background Investigation Unit should be contacted regarding questions about the fees.

ATTACHMENT A

Within 90 days after hiring one of the individuals listed below, the applicant or permittee must submit the following; fingerprint cards (both state and federal), General and BCI&I Release Authorization Forms, a Notarized Affidavit and a Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement completed in full:

  1. New key employees of the applicant or permittee;
  2. New partners of the applicant or permittee;
  3. New officers and/or directors of related corporations;
  4. Any new individual who owns or controls the applicant or permittee;
  5. Any new partner of a business concern which owns or controls the applicant or permittee;
  6. If the applicant or permittee is a government entity, each new key employee whose primary duties concern the operation of the subject facility; or,
  7. If the applicant or permittee is a government entity but the operator of the facility is a business concern:

a. Each new individual who is the operator;
b. Each new key employee of the operator;
c. Each new partner of the operator;
d. Each new officer of the operator; and
e. Each new director of the operator.

ATTACHMENT B

Within 90 days after the addition of one of the following business concerns, the applicant or permittee must submit, on behalf of the business concern, a Business Concern (Private or Government Entity) Disclosure Statement and a Listed Business Concern Disclosure Statement, completed in full.

WHO MUST DISCLOSE:

  1. A business concern which is a new partner of the applicant or permittee;
  2. Each business concern which owns or controls the applicant or permittee; or,
  3. If the applicant or permittee is a government entity but the operator is a business concern, the operator.

ATTACHMENT C

On or before the date specified in a written notice sent by the Attorney General, the applicant or permittee must submit all applicable personal history disclosure information for the current key employees.

NOTE: An Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement (completed in full), including both signed and notarized General and BCI&I Release Authorizations and state and federal fingerprint cards, are required for all individuals who have been hired as new Key Employees since the last disclosure submittal, and have not submitted disclosure information. (Please see Attachment A.)

Listed below are the disclosure options required to be completed by each key employee:

Regardless of which option is chosen, each key employee must submit both signed and notarized General and BCI&I Release Authorization Forms.

  1. Submit an Annual Maintenance/Quarterly Update and New Call-In/ Personal History Disclosure Statement, both state and federal fingerprint cards including General and BCI&I Release Authorization Forms;
  2. Submit only the pages of the Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement which contain changes from the last Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement filed with the Attorney General's Office, including both signed and notarized General and BCI&I Release Authorization Forms;
  3. Submit the Notarized Affidavit listing all of the changes from the last Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement filed with the Attorney General's Office, while including both signed and notarized General and BCI&I Release Authorization Forms;
  4. Submit the Notarized Affidavit stating there have been no changes since the last Annual Maintenance/Quarterly Update and New Call-In/Personal History Disclosure Statement filed with the Attorney General's Office, while including both signed and notarized General and BCI&I Release Authorization Forms.