Chapter 3747-3 Background Investigation Requirements for Development, Construction and Operation of Disposal Facility

3747-3-01 Definitions.

As used in Chapter 3747-3 of the Administrative Code:

(A) "Applicant" means any person seeking to be a contractor for development, as defined in section 3747.01 of the Revised Code, and operation of a low-level radioactive waste disposal facility.

(B) "Attorney general" means the attorney general or his authorized representative.

(C) "Business concern" means any corporation, association, firm, partnership, trust, sole proprietorship, or other form of commercial organization.

(D) "Calendar year" means January first through December thirty-first of a given year.

(E) "Debt liability" means bonds, debentures, notes, mortgages and loans of any kind, secured or unsecured, and other similar debt instruments.

(F) "Disclosure statement" means a statement submitted to the attorney general by an applicant which contains that information required in rule 3747-3-02 of the Administrative Code.

(G) "Employed in a supervisory capacity" refers to any individual, including a foreman, having been delegated authority which:

(1) Is delegated in the interest of the employer;

(2) Involves the exercise of that individual's independent judgment;

(3) Is not merely authority to perform a routine or clerical task; and

(4) Is authority to perform or effectively to recommend any one or more of the following actions: hiring, firing, transferring, suspending, laying off, recalling, promoting, discharging, assigning, rewarding, disciplining, directing, or adjusting grievances of, employees whose duties or responsibilities involve, in whole or part, the management of (including but not limited to the evaluation of, identification of, labeling of, and monitoring of the effects of), handling of, disposal of, transportation of, storage of, or treatment of low-level radioactive waste.

(H) "Empowered to make discretionary decisions" refers to any individual, including a foreman, who has been delegated authority which:

(1) Is delegated in the interest of the employer;

(2) Involves the exercise of, that individual's independent judgment;

(3) Is not merely authority to perform a routine or clerical task; and

(4) Is authority which relates to any one or more of the following aspects of low-level radioactive waste operations: the management of (including but not limited to evaluation of, identification of, labeling of, and monitoring of the effects of), handling of, disposal of, transportation of, storage of, or treatment of low-level radioactive waste.

(I) "Facility" means a parcel of land or site, together with the structures, equipment, and improvements on or appurtenant to the land or site, which is or has been used for the disposal of low-level radioactive waste, which is being developed for that purpose, or upon which the construction of improvements or installation of equipment is occurring for that purpose.

(J) "Key employee":

(1) Means any individual:

(a) Employed by the applicant in a supervisory capacity for the subject facility; or

(b) Empowered to make discretionary decisions for the subject facility;

(2) Means, if the applicant has entered into a contract with another person to operate the subject facility:

(a) Those employees of the contractor who are employed in a supervisory capacity for the subject facility; or

(b) Those employees of the contractor who are empowered to make discretionary decisions for the subject facility; and

(3) Does not include:

(a) Any employee exclusively engaged in the physical or mechanical collection, transfer, transportation, treatment, storage or disposal of low-level radioactive waste; or

(b) A public official or public employee, as defined in division (B) of section 102.01 of the Revised Code, who is required to file a disclosure statement under section 102.02 of the Revised Code.

(K) "Listed business concern" means a business concern other than the applicant that is required to be listed in a disclosure statement and referred to in paragraphs (B)(3)(a) to (B)(4)(c) and (Y)(1) to (Y)(2) of rule 3747-3-02 of the Administrative Code.

(L) "Operator" means the person responsible for the direct control or overall operation of a facility.

(M) "Owns or controls" means holds or is able to control the purchase or sale of at least five per cent of the equity of a publicly traded corporation or twenty-five per cent of the equity of any other business concern, either directly or through a holding company or subsidiary.

(M) "Partner" means any person holding a position as, or similar to, a general partner, as defined in division (E) of section 1782.01 of the Revised Code, or a limited partner, as defined in division (F) of section 1782.01 of the Revised Code, or persons who share profits and liability and have management powers of a partnership, as partnership is defined in section 1775.05 of the Revised Code.

(N) "Person" includes any individual or business concern.

(O) "Publicly traded corporation" means a corporation:

(1) Whose shares are listed on a national securities exchange;

(2) Whose shares are regularly quoted in an over-the-counter market by one or more members of a national or affiliated securities association; or

(3) With fifty or more shareholders.

(P) "Relative" means a mother, father, sister, brother, aunt, uncle, spouse, children, adopted children, step children, grandparent, or the parent, brother or sister of the spouse.

(Q) "Sole proprietorship" means a form of business, other than a partnership or corporation, in which one person owns all the assets and is solely liable for all the debts of the business. sole proprietor includes, notwithstanding the former, any individual or entity in which an individual is an applicant.

(R) "Subject facility" means the facility in the state of Ohio for which the applicant seeks to be a contractor for development, as defined in section 3747.01 of the Revised Code, and operation thereof.

Eff 12-22-96
Rule promulgated under: RC Chapter 119.
Rule authorized by: RC 3747.07
Rule amplifies: RC 3747.07, 3747.10

3747-3-02 Disclosure statements.

(A) Who must file. Timing of filing.

(1) Every applicant shall file with the attorney general a disclosure statement in accordance with this rule.

(B) Contents of disclosure statement. A disclosure statement shall contain:

(1) A general narrative, in which the applicant describes the operations of the applicant in terms of the amount of waste received, number of facilities operated, and any other aspect which the applicant believes will accurately represent the operations of the applicant. The applicant may supplement its general narrative with recent photographs, statistics, reports or other materials;

(2) If the applicant is a sole proprietor or other business concern:

(a) The information required by paragraphs (C)(1) to (C)(18) of this rule for the sole proprietor, for each individual who is an officer, director, partner, or key employee of the applicant, for each individual who owns or controls the applicant, and for each individual who is an officer, director, or partner of, or owns or controls, a business concern which owns or controls the applicant;

(b) The information required by paragraphs (D)(1) to (D)(22) of this rule for the applicant, and for each business concern which is a partner of the applicant, and for each business concern which owns or controls the applicant;

(c) The full name, date of birth, business address and social security number of each individual holding any equity in or debt liability of the applicant, where the applicant is not a publicly traded corporation;

(d) The full name, business address and federal tax identification number of each business concern holding any equity in or debt liability of the applicant, where the applicant is not a publicly traded corporation;

(e) The full name, date of birth, business address and social security number of each individual holding more than five per cent of the equity in or debt liability of the applicant, where the applicant is a publicly traded corporation;

(f) The full name, business address and federal tax identification number of each business concern holding more than five per cent of the equity in or debt liability of the applicant, where the applicant is a publicly traded corporation;

(3) For any listed business concern, the full name, date of birth, business address and social security number of each individual who:

(a) Is an officer, director or partner of the listed business concern;

(b) Holds any equity in or debt liability of the listed business concern, where the listed business concern is not a publicly traded corporation; or

(c) Holds more than five per cent of the equity in or debt liability of the listed business concern, where the listed business concern is a publicly traded corporation;

(4) For any listed business concern, the full name, business address and federal tax identification number of each business concern which:

(a) Is a partner of the listed business concern;

(b) Holds any equity in or debt liability of the listed business concern, where the listed business concern is not a publicly traded corporation; or

(c) Holds more than five per cent of the equity in or debt liability of the listed business concern, where the listed business concern is a publicly traded corporation;

(5) The full name, business address and federal tax identification number of any business concern in which the applicant holds an equity interest and which collects, transfers, transports, treats, stores, or disposes of low-level radioactive waste.

(C) For each individual referred to in paragraph (B)(2)(a) of this rule, the applicant shall as part of the disclosure statement:

(1) State or describe the individual's:

(a) Full name;

(b) Date of birth:

(c) Social security number;

(d) Home address;

(e) Business address, and mailing address if different, and business telephone number;

(f) Other names and aliases; and

(g) Driver's license number;

(2) State the name, address, telephone number, and federal employment identification number of any business concern in which the individual owns or controls more than five per cent of the outstanding equity of a publicly traded corporation or more than twenty-five per cent of any other business concern, and state the amount of equity so owned or controlled and percentage of total equity;

(3) For any business concern in which the individual in the last twenty years held any interest, participated in management, or was employed, which engaged in the business of low-level radioactive waste collection, transportation, treatment, storage, transfer or disposal during the period of the individual's ownership or participation, state the name, address, telephone number, and federal employment identification number of the business concern, type of business, and nature and dates of participation, and reason for leaving;

(4) For any criminal prosecution pending against the individual or a business concern which the individual owned or controlled during the time of the alleged crime, state or provide:

(a) The indictment, information, or complaint number;

(b) Date of the indictment, information, or complaint;

(c) A description of the crime or crimes allegedly committed;

(d) Name and location of court in which the individual or business concern is being prosecuted;

(e) Current status of the prosecution; and

(f) Any explanation of the prosecution or alleged violation which the individual or applicant may choose to submit;

(5) For any criminal conviction of the individual or a business concern which the individual owned or controlled during the time of the alleged crime, state or provide:

(a) The indictment, information, or complaint number;

(b) Date of the indictment, information, or complaint;

(c) A description of the crime or crimes of which the individual or business concern was convicted;

(d) Name and location of court in which the individual or business concern was prosecuted;

(e) Current status of the prosecution;

(f) Sentence or fine imposed; and

(g) Any explanation of the prosecution or alleged violation which the individual or applicant may choose to submit;

(6) If the individual has ever been arrested, state the date of arrest, charge, arresting agency and location, regardless of whether the arrest led to a conviction;

(7) Describe the individual's experience and credentials in collection, transportation, transfer, treatment, storage or disposal of low-level radioactive waste,

(8) State the name, relation, date of birth, address, and position held by any relative of the individual, which relative is or has been employed by, or served as the officer, director, partner, or sole employed by, or served as the officer, director, partner or sole proprietor of, a business concern which collects, treats, stores, or disposes of low-level radioactive waste and the name and address of the facility and business concern with which the relative was or is employed or served and the dates of employment or service;

(9) List every place where the individual resided for the past ten years, including vacation or seasonal residences, and second homes;

(10) State for the past ten years or since the age of eighteen, all employers of the individual, beginning with the present employer and the position held by the individual with each employer;

(11) For each business concern in which the individual participates as partner, officer, director, key employee or as paid or unpaid consultant, state the name, address, telephone number, and federal employment identification number of the business concern, and the position held;

(12) State the creditor, type of debt, date the debt was created, initial amount owed, and present balance owed, for any debt greater than twenty-five thousand dollars, excluding credit card account balances and mortgage loans for the individual's personal residence, but including stockholder loans and loans to a company the individual owns or controls, which:

(a) The individual owes to any person or business concern, and identify the creditor; or

(b) Is owed to the person, and identify the debtor;

(13) List any low-level radioactive waste licenses or permits or equivalent documents ever held in the last ten years by the individual or by any business concern owned or controlled by the individual for the operation of a low-level radioactive waste transportation, treatment, storage, transfer or disposal business in Ohio or in the United States or country other than the United States and for each such license, permit, or equivalent document identify the:

(a) Identification number, type and dates held;

(b) Name of the holder of the license, permit, or equivalent document;

(c) Name and address or location of the facility for which the license, permit, or equivalent document was issued;

(d) Name of the agency issuing the license, permit, or equivalent document for the facility and name of division or section within that agency primarily responsible for the review of the application for the license, permit, or equivalent document; and

(e) For each facility located outside Ohio covered by the waste license, permit, or equivalent document described in paragraphs (C)(13)(a) to (C)(13)(d) of this rule, state whether a license, permit, or equivalent document under air or water pollution laws was also obtained for that facility and state the name of the agency issuing each air or water license, permit, or equivalent document and name of division or section within that agency primarily responsible for the review of the application for the air or water license, permit, or equivalent document;

(14) For any administrative enforcement action (including an administrative order or notice of violation):

(a) Which:

(i) Is pending against the individual or a business concern owned or controlled by the individual;

(ii) May result in the imposition of a sanction including but not limited to a fine; a penalty; a payment which is made or work or service which is performed in lieu of a fine or penalty; or a cessation or suspension of operations; and

(iii) Concerns a violation or alleged violation of a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide, for the action described in paragraphs (C)(14) to (C)(14)(a)(iii) of this rule:

(i) The caption, if any, of the action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the action;

(iv) The current status of the action;

(v) The date of issuance or commencement of the administrative action;

(vi) A description of the alleged violation in the action, including the location and date or dates of the alleged violation; and

(vii) Any explanation of the action or alleged violation which the individual or applicant may choose to submit;

(15) For any administrative enforcement action (including an administrative order or notice of violation):

(a) Which:

(i) Is taken against the individual or a business concern owned or controlled by the individual;

(ii) Is resolved or dismissed in a settlement agreement or in a consent order or decree or is adjudicated or is otherwise dismissed;

(iii) Resulted in the imposition of a sanction including but not limited to a fine; a penalty; a payment which is made or work or service which is performed in lieu of a fine or penalty; or a cessation or suspension of operations; and

(iv) Concerns a violation or alleged violation of a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (C)(15) to (C)(15)(a)(iv) of this rule:

(i) The caption, if any, of the action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the action;

(iv) The disposition of the action;

(v) A description of the alleged violation, including the location and date or dates of the alleged violation;

(vi) A description of any sanction imposed; and

(vii) Any explanation of the action or alleged violation which the individual or applicant may choose to submit;

(16) For any revocation, suspension, or denial of a license or permit or equivalent authorization:

(a) Which revocation, suspension, or denial:

(i) Was issued by any governmental entity in the ten years preceding filing of the disclosure statement; and

(ii) Was issued pursuant to a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (C)(16) to (C)(16)(a)(ii) of this rule:

(i) The caption, if any, of the revocation, suspension or denial action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the revocation, suspension, or denial;

(iv) A description of the reason or reasons for the revocation, suspension, or denial;

(v) Date of revocation, suspension or denial; and

(vi) Any explanation of the action or alleged violation which the individual or applicant may choose to submit;

(17) For any civil suit:

(a) Which:

(i) Is pending and in which the individual or a business concern owned or controlled by the individual is a defendant to a claim, counterclaim, or cross claim; and

(ii) May result in liability or imposition of a sanction, in whole or part, against the individual or a business concern owned or controlled by the individual under a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (C)(17) to (C)(17)(a)(ii) of this rule:

(i) The case caption of the suit;

(ii) The docket number of the suit;

(iii) The name and location of the court or tribunal in which the suit is brought;

(iv) Current status of the suit;

(v) Date proceedings were initiated; and

(vi) Any explanation of the action or alleged violation which the individual or applicant may choose to submit; and

(18) For any civil suit:

(a) Which:

(i) Has resulted in a judgment or consent decree or consent order; and

(ii) Resulted in liability or imposition of a sanction, in whole or part, against the individual or a business concern owned or controlled by the individual under:

(a) A local ordinance which relates to environmental protection, unfair competition, fraud, or racketeering, or a state or federal law; or

(b) A common law claim of fraud, misrepresentation breach or interference with contract, or a reckless or intentional tort;

(b) State or provide for the action described in paragraphs (C)(18) to (C)(18)(a)(ii)(b) of this rule:

(i) The case caption of the suit;

(ii) The docket number of the suit;

(iii) The name and location of the court or tribunal in which the suit was brought;

(iv) The disposition of the suit;

(v) The date of judgment; and

(vi) Any explanation of the action or alleged violation which the individual or applicant may choose to submit.

(D) Each applicant which is a business concern and each business concern referred to in paragraph (B)(2)(b) of this rule shall, at a minimum, as part of the disclosure statement:

(1) State or describe the business concern's:

(a) Present name, and former names used within the last twenty years, and when each name was used;

(b) Form of the business organization and date and place of organization;

(c) Street and mailing address of the principal office and any other office;

(d) Past addresses of the principal office for the last twenty years, and the dates when each address was occupied; and

(e) Present and former facilities in Ohio, the United States, and countries other than the United States, and for each, identify the type of facility, when used, the United States environmental protection identification number, and any permits or licenses issued for the facility, which permits or licenses are issued pursuant to any environmental protection statute;

(2) If the applicant is a corporation, state for the corporation the:

(a) Name and address of the statutory agent in Ohio;

(b) Name and address and telephone number of the corporation's accountant, if any;

(c) Date of and state where articles of incorporation are filed, and if incorporated under the laws of a state other than Ohio, date of license to do business in Ohio pursuant to section 1703.03 of the Revised Code;

(d) Name, last known address, and position of present and former officers and directors for the past ten years and describe when each held their position; and

(e) Attach a copy of the articles of incorporation;

(3) If the applicant is a partnership or joint venture, state for the business concern the:

(a) Form of business concern, such as partnership, joint venture or limited partnership;

(b) Name, address and telephone number of its accountant and statutory agent, if any; and

(c) Attach, as applicable, a copy of the certificate of limited partnership, partnership agreement or agreement of joint venture;

(4) If the applicant is a business concern other than a corporation or partnership or joint venture:

(a) Date and form of business organization;

(b) Name and address and telephone number of its accountant and statutory agent, if any; and

(c) Attach a copy of the business agreement by which the organization was formed, if any;

(5) State the name of any business concern which engaged in the business of low-level radioactive waste collection, transportation, treatment, storage, transfer or disposal and in which the applicant owns or controls more than five per cent of the outstanding equity, and state the amount of equity so owned or controlled and percentage of total equity;

(6) State the name of any business concern in which the applicant owns or controls more than five per cent of the outstanding equity of a publicly traded corporation or more than twenty-five per cent of any other business concern, and state the amount of equity so owned or controlled and percentage of total equity;

(7) If the applicant is a subsidiary of a parent corporation, or is the parent of one or more subsidiaries, or is part of a conglomerate, provide a chart showing the names, location, and relationships of:

(a) All business concerns which own or control the applicant;

(b) All subsidiaries, as that terms is defined in paragraphs (E) to (E)(1)(c) of this rule, of the business concerns identified in paragraph (D)(7)(a) of this rule; and

(c) All subsidiaries, as that term is defined in paragraphs (E) to (E)(1)(c) of this rule, of the applicant; and

(d) If the applicant, parent or conglomerate is privately held or is a publicly traded corporation with more than twenty-five per cent of its stock held by relatives, show on the chart all other business concerns owned or controlled by relatives, to the extent that the applicant knows of or can reasonably ascertain ownership or control by relatives.

(8) If the applicant is a publicly traded corporation, in addition to the information required by paragraphs (D)(2) to (D)(2)(e) of this rule, state or supply:

(a) Any stock exchange upon which the stock is traded;

(b) A copy of the most recent form 10-K of the United States securities and exchange commission; and

(c) A copy of the most recent annual report;

(9) If the applicant has filed a petition in bankruptcy or has had a petition in bankruptcy filed against it in the last ten years, describe the current status or disposition of the petition;

(10) If the applicant has had a receiver, trustee, or similar officer appointed by a court within the last ten years, describe the nature and current status or disposition of such appointment, the address and telephone number of the appointee, and the dates between which the appointee served;

(11) List any low-level radioactive waste licenses or permits or equivalent documents ever held by the applicant or by any business concern owned or controlled by the applicant for the operation of a low-level radioactive waste transportation, treatment, storage, transfer or disposal business in Ohio or in the United States or country other than the United States and for each identify the:

(a) Identification number, type, and dates held; and

(b) Name under which the license, permit, or equivalent document was issued and address or location of the facility and issuing agency;

(12) For any administrative enforcement action, including an administrative order or notice of violation:

(a) Which:

(i) Is pending against the business concern;

(ii) May result in the imposition of a sanction including but not limited to a fine; a penalty; a payment which is made or work or service which is performed in lieu of a fine or penalty; or a cessation or suspension of operations; and

(iii) Concerns a violation or alleged violation of a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide, for the action described in paragraphs (D)(12) to (D)(12)(a)(iii) of this rule:

(i) The caption, if any, of the action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the action;

(iv) The current status of the action;

(v) The date of issuance or commencement of the administrative action;

(vi) A description of the alleged violation in the action, including the location and date or dates of the alleged violation; and

(vii) Any explanation of the action or alleged violation which the business concern or applicant may choose to submit;

(13) For any administrative enforcement action, including an administrative order or notice of violation:

(a) Which:

(i) Is taken against the business concern;

(ii) Is resolved or dismissed in a settlement agreement or in a consent order or decree or is adjudicated or is otherwise dismissed;

(iii) Resulted in the imposition of a sanction including but not limited to a fine; a penalty; a payment which is made or work or service which is performed in lieu of a fine or penalty; or a cessation or suspension of operations; and

(iv) Concerns a violation or alleged violation of a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (D)(13) to (D)(13)(a)(iv) of this rule:

(i) The caption, if any of the action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the action;

(iv) The disposition of the action;

(v) A description of the alleged violation, including the location and date or dates of the alleged violation;

(vi) A description of any sanction imposed; and

(vii) Any explanation of the action or alleged violation which the business concern or applicant may choose to submit:

(14) For any revocation, suspension, or denial of a license or permit or equivalent authorization:

(a) Which revocation, suspension, or denial:

(i) Was issued by any governmental entity in the ten years preceding filing of the disclosure statement; and

(ii) Was issued pursuant to a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (D)(14) to (D)(14)(a)(ii) of this rule:

(i) The caption, if any of the revocation, suspension or denial action;

(ii) The docket number or other identification number of the action;

(iii) The agency or tribunal issuing the revocation, suspension or denial;

(iv) A description of the reason or reasons for the revocation, suspension, or denial;

(v) Date of revocation, suspension or denial; and

(vi) Any explanation of the action or alleged violation which the business concern or applicant may choose to submit;

(15) For any civil suit:

(a) Which:

(i) Is pending and in which the business concern is a defendant to a claim, counterclaim, or cross claim; and

(ii) May result in liability or imposition of a sanction, in whole or part, against the business concern under a law, rule, or regulation relating to the collection, transportation, treatment, storage, or disposal of low-level radioactive waste or relating to any environmental statute;

(b) State or provide for the action described in paragraphs (D)(15) to (D)(15)(a)(ii) of this rule:

(i) The case caption of the suit;

(ii) The docket number of the suit;

(iii) The name and location of the court or tribunal in which the suit is brought;

(iv) Current status of the suit;

(v) Date proceedings were initiated; and

(vi) Any explanation of the action or alleged violation which the business concern or applicant may choose to submit;

(16) For any civil suit:

(a) Which:

(i) Has resulted in a judgment or consent decree or consent order; and

(ii) Resulted in liability or imposition of a sanction, in whole or part, against the business concern under:

(a) A local ordinance which relates to environmental protection, unfair competition, fraud, or racketeering, or a state or federal law; or

(b) A common law claim of fraud, misrepresentation breach or interference with contract, or a reckless or intentional tort;

(b) State or provide for the action described in paragraphs (D)(16) to (D)(16)(a)(ii)(b) of this rule:

(i) The case caption of the suit;

(ii) The docket number of the suit;

(iii) The name and location of the court or tribunal in which the suit was brought;

(iv) The disposition of the suit;

(v) The date of judgment; and

(vi) Any explanation of the action or alleged violation which the business concern or applicant may choose to submit;

(17) For any criminal prosecution pending against the business concern, state or provide:

(a) The indictment, information, or complaint number;

(b) Date of the indictment, information or complaint;

(c) A description of the crime or crimes allegedly committed:

(d) Name and location of court in which the business concern is being prosecuted;

(e) Current status of the prosecution;

(f) Any explanation of the prosecution or alleged violation which the business concern or applicant may choose to submit;

(18) For any criminal conviction against the business concern, state or provide:

(a) The indictment, information or complaint number;

(b) Date of the indictment, information, or complaint;

(c) A description of the crime or crimes of which the business concern was convicted;

(d) Name and location of court in which the business concern is being prosecuted;

(e) Current status of the prosecution;

(f) Sentence or fine imposed; and

(g) Any explanation of the prosecution or alleged violation which the business concern or applicant may choose to submit;

(19) For any felony conviction of the business concern for those crimes listed in division (B) of section 3734.44 of the Revised Code, of which the business concern obtained an expungement sealing records of conviction in accordance to division (B) of section 2953.33 of the Revised Code, state or provide:

(a) The indictment, information, or complaint number;

(b) Date of the indictment, information or complaint;

(c) Name and location of court in which the business concern was prosecuted;

(d) Sentence or fine imposed;

(e) Date of expungement sealing records of conviction;

(f) A description of the crime or crimes which the business concern obtained an expungement sealing records of convictions; and

(g) Any explanation of the prosecution or alleged violation which the business concern or applicant may choose to submit;

(20) Provide any written evidence or arguments, pursuant to division (C) of section 3734.44 of the Revised Code, which demonstrates rehabilitation for a conviction of a crime listed in division (B) of section 3734.44 of the Revised Code;

(21) Describe the experience and credentials of the applicant in collection, transfer, transportation, treatment, storage, or disposal of low-level radioactive waste;

(22) Describe any program that the applicant has instituted at the subject facility or other facilities to ensure the compliance with the environmental laws of this state or other state or of the united states. This requirement shall apply only to the applicant.

(E) The enforcement and compliance history of subsidiaries shall be submitted as follows:

(1) For purposes of paragraphs (E) to (E)(2)(b) of this rule "subsidiary" means a business concern which is owned or controlled by:

(a) A business concern referred to in paragraph (B)(2)(b) of this rule;

(b) An individual who owns or controls the applicant; or

(c) The applicant.

(2) For each subsidiary, the applicant shall list the docket number and presiding court for:

(a) Each criminal charge filed against or conviction of the subsidiary or an individual who serves as an officer, director, partner, or the equivalent of a key employee for the facilities of the subsidiary for a crime listed in division (B) of section 3734.44 of the Revised Code; and

(b) Each civil judicial complaint filed against or judgment of liability of the subsidiary for violation of an environmental protection law resulting in a penalty of fifty thousand dollars or more.

(F) List the name, home address, social security number, date of birth, and date of hiring of each employee, other than key employees, employed at the subject facility as of date within thirty days of the filing of the disclosure statement. The information required by this paragraph shall be updated and submitted to the attorney general once every two years, within thirty days of each two-year anniversary of the filing of the disclosure statement.

(G) Any person supplying any information in response to a requirement of these rules may supplement the answer with a written explanation of the answer.

(H) Notwithstanding other requirements set forth in this rule wherever this rule requires information or disclosure statements about a business concern holding debt liability and such business concern is a chartered lending institution, the only information which must be supplied is the name and business address of the chartered lending institution.

(I)

(1) A person may incorporate by reference information previously filed in a disclosure statement by identifying:

(a) The number of the previously filed disclosure statement in which the information was filed;

(b) The name of the particular individual or business concern; and

(c) The facility for which it was filed.

(2) An applicant, who is or will be required to file disclosure statements for more than one facility located in Ohio, may file all disclosure statements for all its facilities when filing its first disclosure statements for any facility. In so filing such disclosure statement, if the applicant would otherwise have to file a disclosure statement for any individual or business concern for each of two or more facilities, only one disclosure statement need be filed, provided the disclosure statement describes the relationship of the individual or business concern to each such facility. Filing disclosure statements in accordance with this paragraph shall not affect the requirement to pay separate disclosure statement fees or maintenance fees for each facility.

(J) The individual about whom information is given pursuant to paragraphs (C) to (C)(18) of this rule shall swear or affirm to the truth and accuracy of the information.

(K) The individual or individuals who prepared or directed that the information be given or supplied on behalf of a business concern for all information required in disclosure statements, other than the information required pursuant to paragraphs (c) to (c)(18) of this rule, shall swear or affirm to the truth and accuracy of the information.

(L) The attorney general shall comply with section 7(b) of the federal Privacy Act of 1974, 5 U.S.C. section 552(a) , regarding disclosure of social security numbers.

(M) Confidentiality.

(1) Whenever a person submitting information in a disclosure statement believes that specific information contained in the statement is confidential and excepted from disclosure by section 149.43 of the Revised Code, the person shall:

(a) Request in writing that specific information contained in the disclosure statement be treated as confidential and excepted from disclosure;

(b) Provide an explanation including citations to specific statutory, regulatory or precedential authority to support the claim of confidentiality; and

(c) Provide sufficient evidence necessary to meet the burden of proof that the information is excepted from disclosure.

(2) The information specified in the request shall be kept confidential until seven days after the date upon which the attorney general determines that the material is not within the exceptions to disclosure contained in section 149.43 of the Revised Code.

(N) If an applicant needs interpretive assistance in completing a disclosure statement, it may submit in writing to the attorney general a regulatory guidance request seeking an informal, nonbinding interpretation of a regulatory requirement imposed by Chapter 3747. of the Revised Code and the rules adopted thereunder.

(1) The submission of a regulatory guidance request shall in no way alter the obligation of an applicant to fully comply with all requirements imposed by Chapter 3747. of the Revised Code and the rules adopted thereunder.

(2) There is no obligation upon the attorney general to respond to a regulatory guidance request other than as the attorney general determines in his or her sole discretion based upon available human resources and the need to employ those resources to perform the mandatory obligations imposed by Chapter 3747. of the Revised Code and the rules adopted thereunder.

(3) The response provided by the attorney general to any regulatory guidance request shall be used by the applicant solely as a guidance to assist in the preparation of a disclosure statement. The response of the attorney general shall not be binding upon anyone, including, but not limited to, the applicant, the attorney general, or the board of directors of the Ohio low-level radioactive waste facility development authority. The response may be accorded such deference as is usually provided to the administrative interpretations of a statutory requirement.

(O) The information required to be submitted in the disclosure statement pursuant to this rule is intended to be the information necessary to begin the background investigation required by division (A)(12) of section 3747.07 and division (A)(2) of section 3747.10 of the Revised Code. In limiting the scope of information required to be included in the disclosure statement, it is expressly contemplated that in individual investigations the attorney general may have reasonable cause to believe that the procedures contained in section 3734.43 of the Revised Code should be employed to review additional information. Nothing contained in these rules shall be construed to restrict or limit the scope of the information the attorney general may seek pursuant to the procedures established in section 3734.43 of the Revised Code.

(P) As required by paragraphs (p) to (z) of this rule, an applicant shall update information contained in a disclosure statement submitted pursuant to paragraphs (A) to (A)(3) of this rule.

(Q) Definitions. For the purposes of paragraphs (P) to (Z) of this rule:

(1) "Fingerprint card" means a completed fingerprint form prescribed by the attorney general or a completed fingerprint form acceptable to the to the federal bureau of investigation.

(2) "In the prior year" means in the prior twelve calendar months, except that, where there has been no disclosure of information in the prior twelve months, in the prior year means since the last disclosure of information under this chapter of the Administrative Code.

(3) "New" means hired or appointed or otherwise added since the last disclosure of information by the applicant.

(4) "Operating corporation" means a corporation which is the applicant.

(5) "Parent corporation" means a corporation which owns or controls the applicant.

(6) "Private corporation" means a corporation which is not a publicly traded corporation.

(7) "Release form" means a signed, notarized form, prescribed by the attorney general, which authorizes the attorney general to conduct a background investigation of the individual signing it or of the business concern on whose behalf it is signed, and which authorizes third parties to release information to the attorney general or a representative of the attorney general.

(8) "Verification affidavit" means an affidavit in which an individual swears or affirms to the truth and accuracy of information required to be given by that individual pursuant to paragraphs (P) to (Z) of this rule.

(R) Within ninety days after the addition of the new individual, an applicant shall submit to the attorney general a release form, and a fingerprint card, a verification affidavit, and, on a form provided by the attorney general, any and all information required by paragraphs (C)(1) to (C)(18) of this rule, for the following new individuals:

(1) New key employees of an applicant;

(2) New partners of the applicant, if and where the law allows the addition of a partner without dissolution of the old partnership;

(3) New officers of a private operating corporation:

(4) New officers of a private parent corporation;

(5) New directors of a private operating corporation;

(6) Any new individual who owns or controls the applicant;

(7) Any new partner of a business concern which owns or controls the applicant;

(S) Within ninety days after the addition of the new individual, an applicant shall submit to the attorney general a release form, and a fingerprint card, a verification affidavit, and, on a form provided by the attorney general, any and all information required by paragraphs (C)(1) to (C)(18) of this rule, for the following individuals who do not meet the definition of "key employee" as defined at paragraph (J) of rule 3747-3-01 of the Administrative Code and are not otherwise required to submit information under paragraph (R) of this rule:

(1) New officers of a private parent corporation.

(T) Within ninety days after the addition of the new business concern, an applicant shall submit to the attorney general a release form, a fingerprint card, a verification affidavit, and on a form provided by the attorney general, any and all information required by paragraphs (D)(1) to (D)(22) of this rule, for the following business concerns:

(1) A business concern which is a new partner of the applicant; and,

(2) Each business concern which owns or controls the applicant.

(U) Annually, on the anniversary date of the submittal to the executive director of the investigative report for a given facility, or annually on another date assigned by the attorney general, an applicant shall submit to the attorney general a release form, a fingerprint card, verification affidavit, and on a form provided by the attorney general, any and all information which is required by paragraphs (C)(1) to (C)(18) of this rule and which has changed or been added in the prior year, for the following individuals:

(1) Existing key employees of an applicant;

(2) Existing sole proprietors;

(3) Existing partners of the applicant;

(4) Any existing individual who owns or controls the applicant; and,

(5) Any existing partner of a business concern which owns or controls the applicant.

(V) Annually, on the anniversary date of the submittal to the executive director of the investigative report for a given facility, or annually on another date assigned by the attorney general, an applicant shall submit to the attorney general a release form, a fingerprint card, verification affidavit, and on a form provided by the attorney general, any and all information which is required by paragraphs (C)(1) to (C)(18) of this rule and which has changed or been added in the prior year, for the following individuals who do not otherwise meet the definition of "key employee" as defined at paragraph (J) of rule 3747-3-01 of the Administrative Code and are not otherwise required to submit information under paragraph (U) of this rule:

(1) Existing officers of a private operating corporation or of a private parent corporation;

(2) Existing directors of a private operating corporation;

(W) Annually, on the anniversary date of the submittal to the executive director of the investigative report for a given facility, or annually on another date assigned by the attorney general, an applicant shall submit to the attorney general a release form, a fingerprint card, a verification affidavit, and on a form provided by the attorney general, any and all information which is required by paragraphs (C) to (C)(1)(g) of this rule and which has changed or been added in the prior year, for the following individuals who do not otherwise meet the definition of "key employee" as defined at paragraph (J) of rule 3747-3-01 of the Administrative Code and are not otherwise required to submit information under paragraphs (U) and (V) of this rule:

(1) Existing directors of a private parent corporation;

(2) Existing officers of a public parent corporation; and

(3) Any other individual required to file a disclosure statement pursuant to paragraph (B)(2)(a) of this rule.

(X) Annually, on the anniversary date of the submittal to the executive director of the investigative report for a given facility, or annually on another date assigned by the attorney general, an applicant shall submit to the attorney general a release form, a verification affidavit, and on a form provided by the attorney general, any and all information which is required by paragraphs (D)(1) to (D)(22) of this rule and which has changed or been added in the prior year, for the following business concerns:

(1) Each existing business concern which is a partner of the applicant; and,

(2) Each existing business concern which owns or controls the applicant;

(Y) Annually, on the anniversary date of the submittal to the executive director of the investigative report for a given facility, or annually on another date assigned by the attorney general, an applicant shall submit to the attorney general, on a form provided by the attorney general, any and all information which is required by paragraphs (B)(2)(c) to (B)(5) of this rule and which information:

(1) Has changed or been added in the prior year, for those existing individuals, business concerns, listed business concerns of the type for which information must be reported pursuant to paragraphs (B)(2)(c) to (B)(5) of this rule; and

(2) Pertains to new individuals, business concerns, lasted business concerns, added at any time in the prior year of the type for which information must be reported pursuant to paragraphs (B)(2)(c) to (B)(5) of this rule.

(Z) Within ninety days from the judgment entry of conviction, the applicant shall submit to the attorney general information regarding any new criminal conviction of any individual or business concern required to report criminal convictions in a disclosure statement submitted pursuant to paragraphs (A) to (A)(3) of this rule.

(AA) An officer, director, sole proprietor, or partner of a business concern, or other individual, any of which meet the definition of "key employee" as defined at paragraph (J) of rule 3747-3-01 of the Administrative Code, shall be considered a key employee for purposes of these rules.

Eff 12-22-96
Rule promulgated under: RC Chapter 119.
Rule authorized by: RC 3747.07
Rule amplifies: RC 3747.07, 3747.10

3747-3-03 Fingerprinting.

(A) The following individuals shall be fingerprinted as provided in paragraphs (B) to (E) of this rule:

(1) Those individuals required to be listed in the disclosure statement pursuant to paragraph (B)(2)(a) of rule 3747-3-02 of the Administrative Code; and

(2) Those individuals required to be listed in the disclosure statement, pursuant to paragraphs (B)(2)(c), (B)(2)(e), or (B)(3) to (B)(3)(c) of rule 3747-3-02 of the Administrative Code, who choose not to submit their social security numbers.

(B) All individuals required to be listed in disclosure statements, other than those referred to in paragraph (A) of this rule, shall be fingerprinted only upon receiving a written request from the attorney general and shall submit their fingerprints within twenty days after receiving a written request from the attorney general.

(C) Fingerprints shall be submitted only on forms prescribed by the attorney general or on any fingerprint form acceptable to the federal bureau of investigation.

(D) Complete fingerprint forms shall be submitted with the disclosure statement filed with the attorney general.

(E) The applicant shall arrange for the taking of fingerprints. Fingerprints must be taken and certified by an employee of an agency of a governmental entity authorized to take fingerprints, such as a local police department or a state or federal law enforcement agency.

Eff 12-22-96
Rule promulgated under: RC Chapter 119.
Rule authorized by: RC 3747.07
Rule amplifies: RC 3747.07, 3747.10