28286 Federal Register / Vol. 74, No. 113 / Monday, June 15, 2009 / Notices 

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license was revoked on September 22, 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 http://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 http://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 

http://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 http://www.nrc.gov/site-help/eVerDate Nov<24>2008 16:47 Jun 12, 2009 Jkt 217001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\15JNN1.SGM 15JNN1

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Federal Register / Vol. 74, No. 113 / Monday, June 15, 2009 / Notices 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 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 http:// 

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 

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 

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. 


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