In the Matter of: S&M Testing Laboratory, Gurabo, PR; Order Imposing Civil Monetary Penalties, 28286-28287 [E9-13992]
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28286
Federal Register / Vol. 74, No. 113 / Monday, June 15, 2009 / Notices
gauges were not under the control and
constant surveillance of the Licensee, as
required by 10 CFR 30.34(i).
NUCLEAR REGULATORY
COMMISSION
[Docket No. 03032029; License No. 52–
25133–01; EA–08–332;NRC–2009–0240]
In the Matter of: S&M Testing
Laboratory, Gurabo, PR; Order
Imposing Civil Monetary Penalties
I
S&M Testing Laboratory (S&M
Testing) (Licensee), formerly Turabo
Corporation is the holder of Materials
License No. 52–25133–01 issued on
March 25, 1991, by the Nuclear
Regulatory Commission (NRC or
Commission). On September 17, 2001,
the Licensee name was changed to
Turabo Testing, Inc. and during
December 2001, filed for bankruptcy
under Chapter 11. On September 22,
2008, the Licensee’s name was changed
to S&M Testing Laboratory and the
license was revoked on September 22,
2008, for non-payment of fees. The
license authorizes the Licensee to use
byproduct material in accordance with
the conditions specified therein.
pwalker on PROD1PC71 with NOTICES
II
An inspection of the Licensee’s
activities was conducted from May 1,
2007, through September 23, 2008. In
addition, the NRC Office of
Investigations (OI) initiated an
investigation on March 7, 2008, to: (1)
Locate the President of S&M Testing; (2)
determine the location of the licensed
material that S&M Testing was
authorized to possess; (3) determine if
S&M Testing deliberately failed to
confine possession of licensed material
to locations authorized on its NRC
license, as required by 10 CFR 30.34(c);
and, (4) determine if S&M Testing
deliberately failed to provide an
opportunity to inspect the material,
activities, and facilities to verify
security of the licensed material in S&M
Testing’s possession, as required by 10
CFR 30.52(a).
Based on the results of the inspection
and the investigation, the NRC
concluded that violations of NRC
requirements had occurred, involving:
(1) The deliberate failure to confine
possession of byproduct material to
locations authorized by NRC License
52–25133–01; (2) the deliberate failure
to provide the NRC an opportunity to
inspect byproduct material and the
premises where the byproduct material
was stored, as required by 10 CFR
30.52(a); and, (3) the failure to utilize a
minimum of two independent physical
controls that form tangible barriers to
secure portable gauges from
unauthorized removal whenever the
VerDate Nov<24>2008
16:47 Jun 12, 2009
Jkt 217001
III
A written Notice of Violation and
Proposed Imposition of Civil Penalties
(Notice), stating the violations and the
amount of civil penalties proposed for
the violations, was served upon the
Licensee by a letter dated March 23,
2009. Although a response to the Notice
was required within 30 days of the date
of the letter transmitting the Notice (i.e.,
by April 22, 2009), as of the date of this
Order, the Licensee has failed to
respond to the letter and the proposed
civil penalties. Therefore, NRC staff has
determined, that the proposed penalties
for the violations designated in the
Notice should be imposed, in the
amount of $16,250.
IV
In view of the foregoing and pursuant
to Section 234 of the Atomic Energy Act
of 1954, as amended (Act), 42 U.S.C.
2282, and 10 CFR 2.205, it is hereby
ordered that:
The Licensee pay civil penalties in the
amount of $16,250 within 30 days of the date
of this Order, in accordance with NUREG/
BR–0254. In addition, at the time payment is
made, the Licensee shall submit a statement
indicating when and by what method
payment was made, to the Director, Office of
Enforcement, U.S. Nuclear Regulatory
Commission, One White Flint North, 11555
Rockville Pike, Rockville, MD 20852–2738.
V
In accordance with 10 CFR 2.202, the
Licensee must, and any other person
adversely affected by this Order may,
submit an answer to this Order within
20 days of its issuance. In addition, the
Licensee and any other person adversely
affected by this Order may request a
hearing on this Order within 20 days of
its issuance. Where good cause is
shown, consideration will be given to
extending the time to answer or request
a hearing. A request for extension of
time must be directed to the Director,
Office of Enforcement, U.S. Nuclear
Regulatory Commission, and include a
statement of good cause for the
extension.
A request for a hearing must be filed
in accordance with the NRC E-Filing
rule, which the NRC promulgated in
August, 2007, 72 FR 49,139 (Aug. 28,
2007). The E-Filing process requires
participants to submit and serve
documents over the internet or, in some
cases, to mail copies on electronic
optical storage media. Participants may
not submit paper copies of their filings
unless they seek a waiver in accordance
with the procedures described below.
PO 00000
Frm 00074
Fmt 4703
Sfmt 4703
To comply with the procedural
requirements associated with E-Filing,
at least five (5) days prior to the filing
deadline the requestor must contact the
Office of the Secretary by e-mail at
HEARINGDOCKET@NRC.GOV, or by
calling (301) 415–1677, to request (1) a
digital ID certificate, which allows the
participant (or its counsel or
representative) to digitally sign
documents and access the E-Submittal
server for any NRC proceeding in which
it is participating; and/or (2) creation of
an electronic docket for the proceeding
(even in instances when the requestor
(or its counsel or representative) already
holds an NRC-issued digital ID
certificate). Each requestor will need to
download the Workplace Forms
ViewerTM to access the Electronic
Information Exchange (EIE), a
component of the E-Filing system. The
Workplace Forms ViewerTM is free and
is available at https://www.nrc.gov/sitehelp/e-submittals/install-viewer.html.
Information about applying for a digital
ID certificate also is available on NRC’s
public Web site at https://www.nrc.gov/
site-help/e-submittals/applycertificates.html.
Once a requestor has obtained a
digital ID certificate, had a docket
created, and downloaded the EIE
viewer, it can then submit a request for
a hearing through EIE. Submissions
should be in Portable Document Format
(PDF) in accordance with NRC guidance
available on the NRC public Web site at
https://www.nrc.gov/site-help/esubmittals.html. A filing is considered
complete at the time the filer submits its
document through EIE. To be timely,
electronic filings must be submitted to
the EIE system no later than 11:59 p.m.
Eastern Time on the due date. Upon
receipt of a transmission, the E-Filing
system time-stamps the document and
sends the submitter an e-mail notice
confirming receipt of the document. The
EIE system also distributes an e-mail
notice that provides access to the
document to the NRC Office of the
General Counsel and any others who
have advised the Office of the Secretary
that they wish to participate in the
proceeding, so that the filer need not
serve the document on those
participants separately. Therefore, any
others who wish to participate in the
proceeding (or their counsel or
representative) must apply for and
receive a digital ID certificate before a
hearing request is filed so that they may
obtain access to the document via the EFiling system.
A person filing electronically may
seek assistance through the ‘‘Contact
Us’’ link located on the NRC Web site
at https://www.nrc.gov/site-help/e-
E:\FR\FM\15JNN1.SGM
15JNN1
pwalker on PROD1PC71 with NOTICES
Federal Register / Vol. 74, No. 113 / Monday, June 15, 2009 / Notices
submittals.html or by calling the NRC
technical help line, which is available
between 8 a.m. and 8 p.m., Eastern
Time, Monday through Friday,
excluding government holidays. The
help line number is (866) 672–7640.
Participants who believe that they
have good cause for not submitting
documents electronically must file a
motion, in accordance with 10 CFR
2.302(g), with their initial paper filing
requesting authorization to continue to
submit documents in paper format.
Such filings must be submitted by (1)
first class mail addressed to the Office
of the Secretary of the Commission, U.S.
Nuclear Regulatory Commission,
Washington, DC 20555–0001, Attention:
Rulemaking and Adjudications Staff; or
(2) courier, express mail, or expedited
delivery service to the Office of the
Secretary, Sixteenth Floor, One White
Flint North, 11555 Rockville Pike,
Rockville, Maryland 20852, Attention:
Rulemaking and Adjudications Staff.
Participants filing a document in this
manner are responsible for serving the
document on all other participants.
Filing is considered complete by firstclass mail as of the time of deposit in
the mail, or by courier, express mail, or
expedited delivery service upon
depositing the document with the
provider of the service.
Documents submitted in adjudicatory
proceedings will appear in NRC’s
electronic hearing docket which is
available to the public at https://
ehd.nrc.gov/EHD_Proceeding/home.asp,
unless excluded pursuant to an order of
the Commission, an Atomic Safety and
Licensing Board, or a Presiding Officer.
Participants are requested not to include
personal privacy information, such as
social security numbers, home
addresses, or home phone numbers in
their filings. With respect to copyrighted
works, except for limited excerpts that
serve the purpose of the adjudicatory
filings and would constitute a Fair Use
application, Participants are requested
not to include copyrighted materials in
their works.
If a person other than the Licensee
requests a hearing, that person shall set
forth with particularity the manner in
which his interest is adversely affected
by this Order and shall address the
criteria set forth in 10 CFR 2.309(d).
If a hearing is requested by a Licensee
or a person whose interest is adversely
affected, the Commission will issue an
Order designating the time and place of
any hearings. If a hearing is held, the
issue to be considered at such hearing
shall be whether this Order should be
sustained. In the absence of any request
for hearing, or written approval of an
extension of time in which to request a
VerDate Nov<24>2008
16:47 Jun 12, 2009
Jkt 217001
hearing, the provisions specified in
Section IV above shall be final 20 days
from the date of this Order without
further order or proceedings. If an
extension of time for requesting a
hearing has been approved, the
provisions specified in Section IV shall
be final when the extension expires if a
hearing request has not been received. If
payment has not been made by that
time, the matter may be referred to the
Attorney General, for collection.
In the event the Licensee requests a
hearing as provided above, the issues to
be considered at such hearing shall be:
(a) Whether the Licensee was in
violation of the Commission’s
requirements as set forth in the Notice
referenced in Section II above, and
(b) Whether, on the basis of such
violations, this Order should be
sustained.
Dated this 8th day of June 2009.
For the Nuclear Regulatory Commission.
Cynthia A. Carpenter,
Director, Office of Enforcement.
[FR Doc. E9–13992 Filed 6–12–09; 8:45 am]
BILLING CODE 7590–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 38a–1; SEC File No. 270–522; OMB
Control No. 3235–0586.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission (the
‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 38a–1 (17 CFR 270.38a–1) under
the Investment Company Act of 1940
(15 U.S.C. 80a) (‘‘Investment Company
Act’’) is intended to protect investors by
fostering better fund compliance with
securities laws. The rule requires every
registered investment company and
business development company
(‘‘fund’’) to: (i) Adopt and implement
written policies and procedures
reasonably designed to prevent
violations of the federal securities laws
by the fund, including procedures for
PO 00000
Frm 00075
Fmt 4703
Sfmt 4703
28287
oversight of compliance by each
investment adviser, principal
underwriter, administrator, and transfer
agent of the fund; (ii) obtain the fund
board of director’s approval of those
policies and procedures; (iii) annually
review the adequacy of those policies
and procedures and the policies and
procedures of each investment adviser,
principal underwriter, administrator,
and transfer agent of the fund, and the
effectiveness of their implementation;
(iv) designate a chief compliance officer
to administer the fund’s policies and
procedures and prepare an annual
report to the board that addresses
certain specified items relating to the
policies and procedures; and (v)
maintain for five years the compliance
policies and procedures and the chief
compliance officer’s annual report to the
board.
The rule contains certain information
collection requirements that are
designed to ensure that funds establish
and maintain comprehensive, written
internal compliance programs. The
information collections also assist the
Commission’s examination staff in
assessing the adequacy of funds’
compliance programs.
While Rule 38a–1 requires each fund
to maintain written policies and
procedures, most funds are located
within a fund complex. The experience
of the Commission’s examination and
oversight staff suggests that each fund in
a complex is able to draw extensively
from the fund complex’s ‘‘master’’
compliance program to assemble
appropriate compliance policies and
procedures. Many fund complexes
already have written policies and
procedures documenting their
compliance programs. Further, a fund
needing to develop or revise policies
and procedures on one or more topics
in order to achieve a comprehensive
compliance program can draw on a
number or outlines and model programs
available from a variety of industry
representatives, commentators, and
organizations.
There are approximately 4638 funds
subject to Rule 38a–1. Among these
funds, 105 were newly registered in the
past year. These 105 funds, therefore,
were required to adopt and document
the policies and procedures that make
up their compliance programs.
Commission staff estimates that the
average annual hour burden for a fund
to adopt and document these policies
and procedures is 80 hours. Thus, we
estimate that the aggregate annual
burden hours associated with the
adoption and documentation
requirement is 8,400 hours.
E:\FR\FM\15JNN1.SGM
15JNN1
Agencies
[Federal Register Volume 74, Number 113 (Monday, June 15, 2009)]
[Notices]
[Pages 28286-28287]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-13992]
[[Page 28286]]
-----------------------------------------------------------------------
NUCLEAR REGULATORY COMMISSION
[Docket No. 03032029; License No. 52-25133-01; EA-08-332;NRC-2009-0240]
In the Matter of: S&M Testing Laboratory, Gurabo, PR; Order
Imposing Civil Monetary Penalties
I
S&M Testing Laboratory (S&M Testing) (Licensee), formerly Turabo
Corporation is the holder of Materials License No. 52-25133-01 issued
on March 25, 1991, by the Nuclear Regulatory Commission (NRC or
Commission). On September 17, 2001, the Licensee name was changed to
Turabo Testing, Inc. and during December 2001, filed for bankruptcy
under Chapter 11. On September 22, 2008, the Licensee's name was
changed to S&M Testing Laboratory and the license was revoked on
September 22, 2008, for non-payment of fees. The license authorizes the
Licensee to use byproduct material in accordance with the conditions
specified therein.
II
An inspection of the Licensee's activities was conducted from May
1, 2007, through September 23, 2008. In addition, the NRC Office of
Investigations (OI) initiated an investigation on March 7, 2008, to:
(1) Locate the President of S&M Testing; (2) determine the location of
the licensed material that S&M Testing was authorized to possess; (3)
determine if S&M Testing deliberately failed to confine possession of
licensed material to locations authorized on its NRC license, as
required by 10 CFR 30.34(c); and, (4) determine if S&M Testing
deliberately failed to provide an opportunity to inspect the material,
activities, and facilities to verify security of the licensed material
in S&M Testing's possession, as required by 10 CFR 30.52(a).
Based on the results of the inspection and the investigation, the
NRC concluded that violations of NRC requirements had occurred,
involving: (1) The deliberate failure to confine possession of
byproduct material to locations authorized by NRC License 52-25133-01;
(2) the deliberate failure to provide the NRC an opportunity to inspect
byproduct material and the premises where the byproduct material was
stored, as required by 10 CFR 30.52(a); and, (3) the failure to utilize
a minimum of two independent physical controls that form tangible
barriers to secure portable gauges from unauthorized removal whenever
the gauges were not under the control and constant surveillance of the
Licensee, as required by 10 CFR 30.34(i).
III
A written Notice of Violation and Proposed Imposition of Civil
Penalties (Notice), stating the violations and the amount of civil
penalties proposed for the violations, was served upon the Licensee by
a letter dated March 23, 2009. Although a response to the Notice was
required within 30 days of the date of the letter transmitting the
Notice (i.e., by April 22, 2009), as of the date of this Order, the
Licensee has failed to respond to the letter and the proposed civil
penalties. Therefore, NRC staff has determined, that the proposed
penalties for the violations designated in the Notice should be
imposed, in the amount of $16,250.
IV
In view of the foregoing and pursuant to Section 234 of the Atomic
Energy Act of 1954, as amended (Act), 42 U.S.C. 2282, and 10 CFR 2.205,
it is hereby ordered that:
The Licensee pay civil penalties in the amount of $16,250 within
30 days of the date of this Order, in accordance with NUREG/BR-0254.
In addition, at the time payment is made, the Licensee shall submit
a statement indicating when and by what method payment was made, to
the Director, Office of Enforcement, U.S. Nuclear Regulatory
Commission, One White Flint North, 11555 Rockville Pike, Rockville,
MD 20852-2738.
V
In accordance with 10 CFR 2.202, the Licensee must, and any other
person adversely affected by this Order may, submit an answer to this
Order within 20 days of its issuance. In addition, the Licensee and any
other person adversely affected by this Order may request a hearing on
this Order within 20 days of its issuance. Where good cause is shown,
consideration will be given to extending the time to answer or request
a hearing. A request for extension of time must be directed to the
Director, Office of Enforcement, U.S. Nuclear Regulatory Commission,
and include a statement of good cause for the extension.
A request for a hearing must be filed in accordance with the NRC E-
Filing rule, which the NRC promulgated in August, 2007, 72 FR 49,139
(Aug. 28, 2007). The E-Filing process requires participants to submit
and serve documents over the internet or, in some cases, to mail copies
on electronic optical storage media. Participants may not submit paper
copies of their filings unless they seek a waiver in accordance with
the procedures described below. To comply with the procedural
requirements associated with E-Filing, at least five (5) days prior to
the filing deadline the requestor must contact the Office of the
Secretary by e-mail at HEARINGDOCKET@NRC.GOV, or by calling (301) 415-
1677, to request (1) a digital ID certificate, which allows the
participant (or its counsel or representative) to digitally sign
documents and access the E-Submittal server for any NRC proceeding in
which it is participating; and/or (2) creation of an electronic docket
for the proceeding (even in instances when the requestor (or its
counsel or representative) already holds an NRC-issued digital ID
certificate). Each requestor will need to download the Workplace Forms
ViewerTM to access the Electronic Information Exchange
(EIE), a component of the E-Filing system. The Workplace Forms
ViewerTM is free and is available at https://www.nrc.gov/site-help/e-submittals/install-viewer.html. Information about applying
for a digital ID certificate also is available on NRC's public Web site
at https://www.nrc.gov/site-help/e-submittals/apply-certificates.html.
Once a requestor has obtained a digital ID certificate, had a
docket created, and downloaded the EIE viewer, it can then submit a
request for a hearing through EIE. Submissions should be in Portable
Document Format (PDF) in accordance with NRC guidance available on the
NRC public Web site at https://www.nrc.gov/site-help/e-submittals.html.
A filing is considered complete at the time the filer submits its
document through EIE. To be timely, electronic filings must be
submitted to the EIE system no later than 11:59 p.m. Eastern Time on
the due date. Upon receipt of a transmission, the E-Filing system time-
stamps the document and sends the submitter an e-mail notice confirming
receipt of the document. The EIE system also distributes an e-mail
notice that provides access to the document to the NRC Office of the
General Counsel and any others who have advised the Office of the
Secretary that they wish to participate in the proceeding, so that the
filer need not serve the document on those participants separately.
Therefore, any others who wish to participate in the proceeding (or
their counsel or representative) must apply for and receive a digital
ID certificate before a hearing request is filed so that they may
obtain access to the document via the E-Filing system.
A person filing electronically may seek assistance through the
``Contact Us'' link located on the NRC Web site at https://www.nrc.gov/
site-help/e-
[[Page 28287]]
submittals.html or by calling the NRC technical help line, which is
available between 8 a.m. and 8 p.m., Eastern Time, Monday through
Friday, excluding government holidays. The help line number is (866)
672-7640.
Participants who believe that they have good cause for not
submitting documents electronically must file a motion, in accordance
with 10 CFR 2.302(g), with their initial paper filing requesting
authorization to continue to submit documents in paper format. Such
filings must be submitted by (1) first class mail addressed to the
Office of the Secretary of the Commission, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, Attention: Rulemaking and
Adjudications Staff; or (2) courier, express mail, or expedited
delivery service to the Office of the Secretary, Sixteenth Floor, One
White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852,
Attention: Rulemaking and Adjudications Staff. Participants filing a
document in this manner are responsible for serving the document on all
other participants. Filing is considered complete by first-class mail
as of the time of deposit in the mail, or by courier, express mail, or
expedited delivery service upon depositing the document with the
provider of the service.
Documents submitted in adjudicatory proceedings will appear in
NRC's electronic hearing docket which is available to the public at
https://ehd.nrc.gov/EHD_Proceeding/home.asp, unless excluded pursuant
to an order of the Commission, an Atomic Safety and Licensing Board, or
a Presiding Officer. Participants are requested not to include personal
privacy information, such as social security numbers, home addresses,
or home phone numbers in their filings. With respect to copyrighted
works, except for limited excerpts that serve the purpose of the
adjudicatory filings and would constitute a Fair Use application,
Participants are requested not to include copyrighted materials in
their works.
If a person other than the Licensee requests a hearing, that person
shall set forth with particularity the manner in which his interest is
adversely affected by this Order and shall address the criteria set
forth in 10 CFR 2.309(d).
If a hearing is requested by a Licensee or a person whose interest
is adversely affected, the Commission will issue an Order designating
the time and place of any hearings. If a hearing is held, the issue to
be considered at such hearing shall be whether this Order should be
sustained. In the absence of any request for hearing, or written
approval of an extension of time in which to request a hearing, the
provisions specified in Section IV above shall be final 20 days from
the date of this Order without further order or proceedings. If an
extension of time for requesting a hearing has been approved, the
provisions specified in Section IV shall be final when the extension
expires if a hearing request has not been received. If payment has not
been made by that time, the matter may be referred to the Attorney
General, for collection.
In the event the Licensee requests a hearing as provided above, the
issues to be considered at such hearing shall be:
(a) Whether the Licensee was in violation of the Commission's
requirements as set forth in the Notice referenced in Section II above,
and
(b) Whether, on the basis of such violations, this Order should be
sustained.
Dated this 8th day of June 2009.
For the Nuclear Regulatory Commission.
Cynthia A. Carpenter,
Director, Office of Enforcement.
[FR Doc. E9-13992 Filed 6-12-09; 8:45 am]
BILLING CODE 7590-01-P