Pre-Access SuitabilityAssessment Plan

Instructions to the Entity:

The Pre-Access Suitability Assessment is designed to assess one’s suitability to work with Tier 1 Select Agents prior to being granted un-escorted access to the regulated material. Any individual who currently has not been granted access to a Tier 1 Select Agent shall undergo a Pre-Access Suitability Screening prior to being granted access to that material. Those seeking initial approval may be existing campus employees (Faculty/ Staff) or in certain situations, newly hired employees may require approval to begin research. In either situation, the review and evaluation of professional qualifications are not sufficient and does not solely constitute suitability to have access to Tier 1 Select Agents. An assessment must be made to certify that the individual possesses attributes that support public safety and security of the Tier 1 BSAT. For additional information regarding Pre-Access Suitability, please contact Environmental Health and Safety. A brief overview of the plan is referenced in the Security Plan for Tier 1 BSAT.

Descriptions of regulated positions

Persons who must comply with these requirements are those enrolled in the following Job Safety Classifications*:

  • Laboratory Worker- Infectious
  • Assigned an Exposure Classification Level of A, Category I or Category II as described in the Biosafety Manual under the section ‘Job Classifications’.

*Both criteria should be satisfied, if you have questions regarding your job safety class and exposure classification category, please consult with EH&S.

Protocols and Procedures

Process of assessing pre-access suitability

Pre-access suitability shall be performed and assessed by an advisement panel which will consist of representatives from campus police, environmental health and safety and campus psychological services. The panel will provide the applicant with a questionnaire which can be taken in the presence of the review panel. The panel will review the questionnaire for statutory indicators and will arrange a follow-up interview with the applicant if additional information is necessary. The panel will issue a decision to either grant or deny the applicant access to Tier 1 BSAT. The applicant shall have the opportunity to defend any decision with a single appeal at which time, a second review of the original application and any new information will occur. The resulting findings shall not warrant grounds for a second appeal process. Once the decision has been made, it will be handed down by the RO who will be present in the panel assessment of the employee. The RO’s decision will be made under the advisement and recommendation of the panel based on any findings.

Some information required for this process includes, but is not limited to:

Home residence history, including any residences outside the U.S.

Work history

Education history

Criminal history

Resume or Curriculum Vitae (including scientific publications)

Professional Licenses or Certifications

Visa status (if applicable)

References and contact information (if applicable)

Visited a “Restricted Country” in the last 2 years. Currently including Cuba, Iran, Iraq, Libya, North Korea, Sudan and Syria.

Additional information which may be reviewed at the discretion of the panel can consist of the following:

Performance evaluations

History of grievance documents or complaint records

Recent life-changing events

Etc.

Information Handling

The information resulting from or a part of the application process shall be handled with complete discretion and shall maintain the highest level of confidentiality. No records pertaining to the Tier1 BSAT enrollment program shall leave Human Resources due to the nature of confidential information contained in the application process as noted above. All panel representatives shall be relieved of all employee documents pertaining to Tier 1 BSAT program enrollment prior to leaving Human Resources, furthermore, all assessments through the panel shall be performed within Human Resources where access is restricted to authorized personnel only. Panel members shall be under a confidentiality statement to protect private/ confidential information as well as proprietary information which may be exposed throughout the review process.

Information which is sent to the panel should be mailed by confidential means to Environmental Health and Safety attn: BSAT Program and indicate “Confidential”on the envelope. A follow-up should be made to EH&S to verify that the information was received within 48 hours of submission.

Derogatory information or statutory indicators may be verified through various avenues depending on the nature of the information. New applicants must submit a FD-961 Form and fingerprint card to the entity to be sent to the FBI- Criminal Justice Information Services Division (CIJS). LiveScan is available at the Cal Poly Police Department for a fee and serves the need for a fingerprint card. A complete history of criminal convictions, DMV violations etc. will be identified but coordination with Law Enforcement allows for special requests to be made in regards to certain areas of concern. Complaints and concerns which are not criminal but cause concern for the individual’s suitability to work with Tier 1 BSAT shall be evaluated and attempts shall be made to validate them. This includes review of grievance history, performance evaluations, complaint records etc.

The applicant will be notified for an interview with the panel should any statutory indicators or derogatory information be identified during the assessment process. Items of concern will be identified to the applicant where they will be given the opportunity to offer any explanation, justification or clarification to that effect. Once the interview is complete, the panel will discuss the new information and reach a guided decision which will be given to the RO. An applicant shall be granted one (1) appeal of a decision which will allow the panel to re-evaluate and consult with an HR representative. If the decision is upheld, no further appeals will be granted.

Process for program enrollment

At the point of initial application to the program, the applicant must submit a FD961 Form to EH&S in addition to a fingerprint card (or) a comparable LiveScan at an approved LiveScan provider. The application form shall be sent to FBI- Criminal Justice Information Services Division (CJIS) for review. If no disqualifying information is identified, the Federal Select Agents program is notified and the RO may find the individual to be favorable pending the outcome of the applicant’s pre-access suitability assessment.

To enroll in the suitability assessment program, it is the responsibility of the RO to enroll the new applicant and provide them with an appointment to administer the questionnaire in the presence of the review panel. The applicant will be enrolled in the program from this point of original notification until approval is denied or if approved, until access is rescinded voluntarily or otherwise.

All applicants if approved by the panel and RO, shall undergo all required training to be granted access to the Tier 1 BSAT. Once the training is completed, the trainee will be given the opportunity to print a certificate which they must sign and submit to their supervisor for approval. The approved certificate must be submitted to EH&S to sign off and hold until all conditions have been satisfied. Please retain a photocopy of your certificate that clearly displays your own and supervisor’s signatures in case the original is misplaced. Training will include such areas including reporting, evaluation, corrective action and code of conduct.

All enrolled applicants/employees may de-enroll from the program on a voluntary basis (opt-out), or a result of disciplinary action which can be on a temporary or permanent status. All non-voluntary withdrawals must be reported to the Federal Select Agents Program.

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