Stipulated Facts For purposes of this Agreement only, the following constitutes a summary of facts by the EPA and SCDHEC upon which this Agreement is based.
A. The DOE owns and operates the SRS. The SRS produces plutonium, tritium, and other special nuclear materials for national defense, for other governmental uses, and for civilian uses. The SRS is the nation's primary source of reactor-produced nuclear defense materials. Construction of the SRS began in 1951. The SRS is located near Aiken, South Carolina, and is approximately twenty-five (25) miles southeast of Augusta, Georgia. The SRS encompasses approximately three hundred (300) square miles.
B. In March 1979, the SRS discontinued operation of seven (7) chemical, metal, and pesticide disposal pits. In 1984, under the approval and supervision of the State of South Carolina, the SRS excavated these pits and removed contaminated material. Additional groundwater monitoring xxxxx were installed.
C. On December 19, 1979, pursuant to the State of South Carolina's regulations, the SRS notified the SCDHEC of SRS's hazardous waste management activities. The SRS submitted a copy of its notification to the EPA.
D. In August 1980, pursuant to Section 3010 of RCRA, 42 U.S.C. § 6910, the SRS notified EPA of SRS's hazardous waste management activities and submitted a copy of the notification to the SCDHEC.
E. On September 29, 1980, the SRS submitted "Part A" of its hazardous waste management permit application to the SCDHEC and EPA. Since that time, the SRS has modified its "Part A" to include new units or modifications to existing units. The SRS submitted "Part B" of its permit application on February 11, 1985.
F. In February 1984, the SRS began groundwater corrective/remedial action by the use of an air stripper at the SRS M-Area.
G. On May 8, 1984, the SRS prepared an assessment of its waste disposal sites and groundwater impacts (Technical Summary Groundwater Quality Protection Program at Savannah River Plant).
H. On May 31, 1984, the DOE notified the EPA of potential CERCLA sites at DOE facilities, including the SRS.
I. On January 7, 1987, the SRS submitted to EPA a document entitled, "Waste Management Units - Savannah River Plant," which contained a listing of solid waste management units (SWMUs) on the SRS. The SWMUs list is revised annually and provided to EPA and SCDHEC.
J. On September 30, 1987, the SCDHEC and EPA issued a RCRA permit for the SRS. The Federal RCRA permit requires the SRS to initiate RFIs for listed SWMUs under the authority of RCRA Sections 3004(u) and (v). The State Hazardous Waste permit contains similar conditions under Section 44-56- 10, et seq., of the Hazardous Waste Management Act. The list of SWMUs was revised on May 30, 1990, to include a total of eighty-one (81) SWMUs.
K. On October 16, 1987, the SRS submitted to EPA draft Hazard Ranking System (HRS) scores and supporting information for sixty-six (66) potential sites on the SRS. On April 28, 1988, the SRS submitted to EPA its Preliminary Assessments for these sites.
L. In December 1987, the SRS published its final environmental impact statement (EIS), entitled, "Waste Management Activities for Groundwater Protection: Savannah River Plant; Aiken, South Carolina." The purpose of the EIS was to identify and select a waste management strategy for the treatment, storage, and disposal of hazardous, radioactive, and mixed wastes.
M. On May 2, 1988, the SRS submitted an RFI Program Plan to EPA and SCDHEC pursuant to its RCRA permit. On September 6, 1989, EPA conditionally approved the RFI Program Plan.
N. On July 14, 1989, EPA proposed the SRS for inclusion on the NPL at 40 CFR Part 300 (54 Federal Register 29820).
O. On November 21, 1989, EPA finalized the SRS on the NPL at 40 CFR Part 300 (54 Federal Register 48184), which became effective on December 21, 1989.
P. The SRS is engaged in the generation, treatment, storage, and disposal of hazardous wastes as defined in RCRA, 42 U.S.C. §§ 6901, et seq., and as defined in the HWMA, S.C. Code Xxx. §§ 44-56-10, et seq. (Supp 1988).
Q. The SRS releases, has released, and threatens to release hazardous substances, pollutants or contaminants into the environment, as defined in CERCLA, 42 U.S.C. §§ 9601, et seq.
R. Hazardous constituents, as defined by RCRA, and hazardous substances as defined by CERCLA, are present in the environment at the SRS.
Leave for Court Appearances (a) The Employer shall grant paid leave to employees, other than employees on leave without pay, who serve as jurors or witnesses in a court action, provided such court action is not occasioned by the employee's private affairs.
(b) In cases where an employee's private affairs have occasioned a court appearance, such leave to attend at court shall be without pay.
(c) An employee in receipt of their regular earnings while serving at court shall remit to the Employer all monies paid to them by the court, except travelling and meal allowances not reimbursed by the Employer.
(d) In the event an accused employee is jailed pending a court appearance, such leave of absence shall be without pay.
(e) For all the above leaves, the employee shall advise their supervisor as soon as they are aware that such leave is required.
Court Appearances If an employee is subpoenaed to appear as a witness in a job-related court case, not during the employee’s regularly assigned shift, the employee shall be credited for actual time worked, or a minimum of two and one-half hours, whichever is greater.
Religious Objections Any employee who is a member of a bonafide religion, body, or sect which has historically held conscientious objections to joining or financially supporting public employee organizations shall not be required to join or financially support the organization. Such employee shall, in lieu of periodic dues or agency shop fees, pay sums equal to said amounts to a non-religious, non-labor charitable fund exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, which has been selected by the employee from a list of such funds designated by the City and the Association in a separate agreement. Such payments shall be made by payroll deduction as a condition of continued exemption from the requirements of financial support to the Association and as a condition of continued employment.
Court Appearance (a) In the event an Employee is required to appear before a court of law as a member of a jury, as a witness in a criminal matter or as a witness in any matter arising out of the Employee’s employment with the Employer, the Employee shall:
(i) suffer no loss of regular earnings for the scheduled Shift(s) so missed;
(ii) be paid an amount equal to the Employee’s average daily earnings at the Basic Rate of Pay to a maximum of the Employee’s regularly scheduled daily hours for each day in attendance in court on a scheduled day of rest, and be granted an alternate day of rest as scheduled by the Employer. Such rescheduling of the day of rest shall not be construed to be a violation of the scheduling provisions of Article 7:
FINRA No Objections FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
JOC Pricing of Itemized List of Means Non-Prepriced Items” based on the information herein. This Addendum is only to correct a misstatement on the original optional attachment entitled “PART 2 JOC Pricing of Itemized List of Means Non-Prepriced Items.” The attachment mistakenly provided for and discussed “Attribute 39.” Specifically, any erroneous reference to “Attribute 39” on the specified attachment should be considered immediately replaced with “the Attribute Question asking for Pricing for Markup of Non- Prepriced Items in RS Means Unit Price Book.” Please disregard any reference to Attribute 39 on this optional form and consider it to be referencing the Attribute Question asking for “Pricing for Markup of Non-Prepriced Items in RS Means Unit Price Book” instead.
AGREED FACTS Registration History 7. Since June 2006, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a dealing representative)1 with WFG Securities Inc. (the “Member”), a Member of the MFDA.
8. At all material times, the Respondent conducted business in the Vaughan, Ontario area.
9. At all material times, the Member’s policies and procedures prohibited Approved Persons from signing a client’s name to a document.
10. Between January 2018 and September 2018, while the Respondent was an Approved Person of the Member, the Respondent signed the initials of clients on 8 trade tickets next to alterations he made to information on the trade tickets, and submitted them to the Member for processing.
11. The alterations made by the Respondent on the trade tickets included alterations to: trade instructions, client signature dates and special instructions.
12. At all material times, the Member’s policies and procedures prohibited Approved Persons from altering information on a signed document without the client initialing the document to show that the changes were approved.
13. In May 2018, while the Respondent was an Approved Person of the Member, he altered 1 account form in respect of 1 client by altering information on a trade ticket without having the client initial the alterations, and used this altered form to process a transaction. 1 In September 2009, the registration category mutual fund salesperson was changed to “dealing representative” when National Instrument 31-103 came into force.
14. The Respondent altered the trading instructions, special instructions and representative commission percentage on the trade ticket without having the client initial these alterations.
15. At all material times, the Member’s policies and procedures prohibited Approved Persons from holding an account form which was signed by a client and was blank or only partially completed.
16. Between January 2015 and October 2018, while the Respondent was an Approved Person of the Member, he obtained, possessed and used to process transactions, 30 pre-signed account forms in respect of 21 clients.
17. The pre-signed account forms consisted of: 25 Trade Tickets, 3 New Account Application Forms and 2 Non Financial Information Update Forms.
Reactive Power and Primary Frequency Response 9.6.1 Power Factor Design Criteria
Religious Objection Any employee who is a member of and adheres to established and traditional tenets or teachings of a bona fide religion, body, or sect which has historically held conscientious objections to joining or financially supporting labor organizations shall not be required to join or financially support the Union as a condition of employment. Such an employee shall, in lieu of dues and fees, pay sums equal to such dues and fees to a non-religious charitable fund. These religious objections and decisions as to which fund will be used must be documented and declared in writing to the Union. Any employee exercising their right of religious objection must provide the Union with a receipt of payment to an appropriate charity on a monthly basis.
