In the Matter of: S&M Testing Laboratory, Gurabo, PR; Order Imposing Civil Monetary Penalties, 28286-28287 [E9-13992]

Download as PDF 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 On September 22, 2008, the Licensee’s name was changed to S&M Testing Laboratory and the license was revoked on September 22, 2008, for non-payment of fees.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
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.