In the Matter of Armando N. Clavero, 29458-29461 [2014-11909]

Download as PDF mstockstill on DSK4VPTVN1PROD with NOTICES 29458 Federal Register / Vol. 79, No. 99 / Thursday, May 22, 2014 / Notices Dates/Time: June 19, 2014, 1:00 p.m.– 5:30 p.m. June 20, 2014, 9:00 a.m.–3:30 p.m. Place: National Science Foundation (NSF), 4201 Wilson Boulevard, Arlington, VA 22230. To help facilitate your entry into the building, contact the individual listed below. Your request to attend this meeting must be received by email (gfarves@nsf.gov) on or prior to June 17, 2014. Type of Meeting: Open. Contact Person: Dr. Bernice Anderson, Senior Advisor and CEOSE Executive Secretary, Office of International and Integrative Activities, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230; Telephone Numbers: (703) 292–5151/ 703–292–8040 banderso@nsf.gov. Minutes: Meeting minutes and other information may be obtained from the CEOSE Executive Secretary at the above address or the Web site at http://www. nsf.gov/od/iia/activities/ceose/index.jsp. Purpose of Meeting: To study data, programs, policies, and other information pertinent to the National Science Foundation and to provide advice and recommendations concerning broadening participation in science and engineering. Agenda: Opening Statement by the CEOSE Chair. Presentations and Discussions: • Discussion of Key Points from the Meetings with NSF Leadership • Update of Broadening Participation Activities by the CEOSE Executive Liaison • Reports of CEOSE Liaisons to NSF Directorate/Office Advisory Committees • Guest Presenter and NSF Leadership Panel on Broadening Participation in America’s STEM Workforce • Discussion by Federal Agency Liaisons About Interagency Broadening Participation Activities • Panel Discussion: Science of Broadening Participation • Panel Discussion: Increasing Hispanic Participation in STEM • Discussion with NSF Director and Deputy Director • Discussion of CEOSE Unfinished Business and New Business Dated: May 19, 2014. Suzanne Plimpton, Acting Committee Management Officer. [FR Doc. 2014–11840 Filed 5–21–14; 8:45 am] BILLING CODE 7555–01–P VerDate Mar<15>2010 19:36 May 21, 2014 Jkt 232001 NUCLEAR REGULATORY COMMISSION [IA–13–012; NRC–2014–0111] In the Matter of Armando N. Clavero Attachment—Order Prohibiting Involvement in NRC Licensed Activities Nuclear Regulatory Commission. ACTION: Order; issuance. AGENCY: The U.S. Nuclear Regulatory Commission (NRC) is issuing an order prohibiting Mr. Clavero from involvement in NRC-licensed activities for a period of 3 years. The order also requires Mr. Clavero to notify the NRC of any current involvement in NRClicensed activities and for a period of 1 year after the 3-year period of prohibition has expired, that he provide a written notice for his acceptance of his first employment offer involving NRClicensed activities. DATES: Effective Date: See attachment. ADDRESSES: Please refer to Docket ID NRC–2014–0111 when contacting the NRC about the availability of information regarding this document. You may access publicly-available information related to this action by the following methods: • Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC–2014–0111. Address questions about NRC dockets to Carol Gallagher; telephone: 301–287–3422; email: Carol.Gallagher@nrc.gov. • NRC’s Agencywide Documents Access and Management System (ADAMS): You may access publicly available documents online in the NRC Library at http://www.nrc.gov/readingrm/adams.html. To begin the search, select ‘‘ADAMS Public Documents’’ and then select ‘‘Begin Web-based ADAMS Search.’’ For problems with ADAMS, please contact the NRC’s Public Document Room (PDR) reference staff at 1–800–397–4209, 301–415–4737, or by email to pdr.resource@nrc.gov. The ADAMS accession number for each document referenced in this document (if that document is available in ADAMS) is provided the first time that a document is referenced. • NRC’s PDR: You may examine and purchase copies of public documents at the NRC’s PDR, Room O1–F21, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. FOR FURTHER INFORMATION CONTACT: Thomas Marenchin, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001; telephone: 301–415–2979, email: Thomas.Marenchin@nrc.gov. SUPPLEMENTARY INFORMATION: The text of the Order is attached. SUMMARY: PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 Dated at Rockville, Maryland, this 13th day of May 2014. For the Nuclear Regulatory Commission. Roy P. Zimmerman, Director, Office of Enforcement. Order Prohibiting Involvement In NRCLicensed Activities I Armando N. Clavero (Armando Clavero or Mr. Clavero) is employed as the Chief Technical Officer of University Nuclear and Diagnostics, LLC, (UND) located in Davie, Florida. University Nuclear and Diagnostics, LLC, holds an Agreement State license issued by the State of Florida and was contracted to Bradley D. Bastow (Bastow), who holds U.S. Nuclear Regulatory Commission (NRC) materials license No. 21–32316–01 issued by the NRC pursuant to 10 CFR Part 30 on April 20, 2001, and renewed on December 7, 2011. The Florida license authorizes use of diagnostic nuclear materials in accordance with the conditions specified therein. Armando Clavero is listed on the Florida license in Condition 16.A as President. The NRC license to Bastow authorizes the use of certain diagnostic nuclear materials in accordance with the conditions specified therein. II On February 28, and April 3, 2012, the NRC conducted a special inspection at the Bastow facility in South Haven, Michigan, with continued in-office review through May 24, 2012. The details of the inspection were documented in NRC Inspection Report No. 03035710/2012001(DNMS) issued to Bastow on December 19, 2012. This document is available in the NRC’s Agencywide Documents Access and Management System (ADAMS) at accession number ML12356A238. ADAMS is accessible from the NRC Web site at http://www.nrc.gov/reading-rm/ adams.html. During the inspection, several unresolved items were identified that required further NRC review. The NRC Office of Investigations (OI) began an investigation on April 2, 2012 into several of the issues. OI completed its investigation on January 31, 2013. On April 18, 2013, the NRC issued letters to Bastow, UND, and Armando Clavero, providing them with the preliminary results of the investigation and requesting further input from them through a predecisional enforcement conference, alternative dispute resolution, or written response. These letters are available in ADAMS at E:\FR\FM\22MYN1.SGM 22MYN1 mstockstill on DSK4VPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 99 / Thursday, May 22, 2014 / Notices accession numbers ML13108A154, ML13108A148, and ML13109A537. On June 20, 2013, Mr. Clavero and a representative from UND met with the NRC in predecisional enforcement conferences, together and then in a separate individual conference. At both conferences a Spanish interpreter was available to Mr. Clavero if he had difficulty in understanding the NRC’s questions or in expressing an adequate response. Following the conferences, on July 15, 2013, Armando Clavero provided the NRC with additional information, received via electronic and regular mail. This document is available in ADAMS at accession number ML13109A537. On August 9, 2013, the NRC provided both Mr. Clavero and UND with letters outlining the information discussed at the conferences and informing both parties that the NRC was continuing to evaluate the information. These letters can be found in ADAMS at accession numbers ML13226A459 for the letter to UND and ML13226A479 for the letter to Mr. Clavero. On July 1, 2013, the NRC and Bastow met in an alternative dispute resolution (ADR) mediation session. The parties reached a preliminary settlement agreement which was later finalized in a Confirmatory Order dated September 3, 2013. A copy of the Confirmatory Order to Bastow is available in ADAMS at accession number ML13241A320. The NRC also performed additional investigation into the matter of a second meter as discussed at the June 20, 2013, predecisional enforcement conference, including conducting additional interviews with current and former UND employees. This supplemental investigation was completed on February 4, 2014. A synopsis of the NRC’s review into the issue of whether a second meter existed, and other issues left unresolved at the conference, was provided to UND with a Notice of Violation and is available in ADAMS at accession number ML13241A320. Based on the results of the inspection and investigation, the NRC determined that, by his deliberate actions, Armando Clavero caused Bastow to be in violation of NRC requirements by: (1) Deliberately not calibrating a survey meter yet providing falsified survey instrument calibration records dated August 13, 2010, and November 10, 2011, and providing inaccurate information about performing the survey meter calibration both during the NRC investigation and during the predecisional enforcement conference; (2) deliberately not performing a sealed source survey in October or November 2011 and providing falsified records of a sealed VerDate Mar<15>2010 19:36 May 21, 2014 Jkt 232001 source survey on October 24, 2011, when there was no survey meter onsite; and (3) deliberately not performing an annual review on October 24, 2011, and providing a falsified record of an annual review dated November 24, 2011, containing erroneous information, including that surveys were performed when a survey meter was not onsite. Armando Clavero also did not ensure that Bastow’s office had a working survey meter during the nearly eight week period from October 5, to November 28, 2011, when a UND NMT had sent the Bastow survey meter to UND for calibration and there was no other survey meter in Bastow’s office. Armando Clavero did not ensure that records provided to Bastow’s office were complete and accurate in all material respects in that he provided records that were dated one date but were based off surveys performed on a different date. Additionally, Armando Clavero, among others, caused UND to be in violation of 10 CFR 30.10. III Based on the above, Armando Clavero, an employee of UND and contractor to NRC licensee Bastow has engaged in deliberate misconduct, in violation of 10 CFR 30.10, that has caused the NRC licensee to be in violation of 10 CFR 30.9, 35.24, 35.61, and 35.67, and its license conditions. Bastow was required to follow those requirements by the license issued to it pursuant to 10 CFR Part 30 on April 20, 2001, and renewed on December 7, 2011. The NRC must be able to rely on the licensee and its contractors to act with integrity and comply with NRC requirements. Armando Clavero’s actions in causing Bastow to violate 10 CFR 30.9, 35.24, 35.61, and 35.67, and its license conditions raised serious doubt as to whether he can be relied upon to comply with NRC requirements. Consequently, I lack the requisite reasonable assurance that licensed activities can be conducted in compliance with the Commission’s requirements and that the health and safety of the public will be protected if Armando Clavero were permitted at this time to be involved in NRC-licensed activities. Therefore, the public health, safety and interest require that Armando Clavero be prohibited from any involvement in NRC-licensed activities for a period of 3 years effective 30 days from the date of issuance of this Order. Additionally, Armando Clavero is required to notify the NRC of his first employment in NRC-licensed activities for a period of 1 year following the prohibition period. PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 29459 IV Accordingly, pursuant to sections 81, 161b, and 161i of the Atomic Energy Act of 1954, as amended, and the Commission’s regulations in 10 CFR 2.202 and 10 CFR 30.10, IT IS hereby ordered that: 1. Armando N. Clavero is prohibited for 3 years from engaging in, supervising, directing, or in any other way conducting NRC-licensed activities, including participating in or overseeing contracted activities for NRC licensees. NRC-licensed activities are those activities that are conducted pursuant to a specific or general license issued by the NRC, including, but not limited to, those activities of Agreement State licensees conducted in the NRC’s jurisdiction pursuant to the authority granted by 10 CFR 150.20. This also includes ownership of NRC-licensed material located within NRC jurisdiction. 2. If Armando N. Clavero is currently involved with any licensee in NRClicensed activities, then he must cease those activities, and inform the NRC of the name, address and telephone number of the employer, and provide a copy of this order to the employer. 3. For a period of 1 year after the 3 year period of prohibition has expired, Armando N. Clavero shall, within 20 days of acceptance of his first employment offer involving NRClicensed activities or his becoming involved in NRC-licensed activities, as defined in Paragraph IV.1 above, provide notice to the Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001, of the name, address, and telephone number of the employer or the entity where he is, or will be, involved in the NRC-licensed activities. In the notification, Armando N. Clavero shall include a statement of his commitment to compliance with regulatory requirements, including providing complete and accurate information, and the basis why the Commission should have confidence that he will now comply with applicable NRC requirements. The above provisions are effective 30 days from the date of issuance of this Order. The Director, Office of Enforcement, or designee, may, in writing, relax or rescind any of the above conditions upon demonstration by Armando N. Clavero of good cause. V In accordance with 10 CFR 2.202, Armando Clavero must submit a written answer to this Order under oath or E:\FR\FM\22MYN1.SGM 22MYN1 mstockstill on DSK4VPTVN1PROD with NOTICES 29460 Federal Register / Vol. 79, No. 99 / Thursday, May 22, 2014 / Notices affirmation within 30 days of issuance of this order. Armando Clavero’s failure to respond to this Order could result in additional enforcement action in accordance with the Commission’s Enforcement Policy. Any other person adversely affected by this Order may submit a written answer to this Order within 30 days of issuance. In addition, Armando Clavero may demand, and any other person adversely affected by this Order may request, a hearing on this Order within 30 days of 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 made in writing to the Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 001, and include a statement of good cause for the extension. All documents filed in NRC adjudicatory proceedings, including a demand or request for hearing, a petition for leave to intervene, any motion or other document filed in the proceeding prior to the submission of a request for hearing or petition to intervene, and documents filed by interested governmental entities participating under 10 CFR 2.315(c), must be filed in accordance with the NRC’s E-Filing rule (72 FR 49139; August 28, 2007), as amended by 77 FR 46562; August 3, 2012 (codified in pertinent part at 10 CFR Part 2, Subpart C). The E-Filing process requires participants to submit and serve all adjudicatory documents over the internet, or in some cases to mail copies on electronic storage media. Participants may not submit paper copies of their filings unless they seek an exemption in accordance with the procedures described below. To comply with the procedural requirements of E-Filing, at least 10 days prior to the filing deadline, the participant should contact the Office of the Secretary by email at hearing.docket@nrc.gov, or by telephone at 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 proceeding in which it is participating; and (2) advise the Secretary that the participant will be submitting a request or petition for hearing (even in instances in which the participant, or its counsel or representative, already holds an NRCissued digital ID certificate). Based upon this information, the Secretary will establish an electronic docket for the hearing in this proceeding if the VerDate Mar<15>2010 19:36 May 21, 2014 Jkt 232001 Secretary has not already established an electronic docket. Information about applying for a digital ID certificate is available on NRC’s public Web site at http:// www.nrc.gov/site-help/e-submittals/ apply-certificates.html. System requirements for accessing the ESubmittal server are detailed in NRC’s ‘‘Guidance for Electronic Submission,’’ which is available on the agency’s public Web site at http://www.nrc.gov/ site-help/e-submittals.html. Participants may attempt to use other software not listed on the Web site, but should note that the NRC’s E-Filing system does not support unlisted software, and the NRC Meta System Help Desk will not be able to offer assistance in using unlisted software. If a participant is electronically submitting a document to the NRC in accordance with the E Filing rule, the participant must file the document using the NRC’s online, Web-based submission form. In order to serve documents through Electronic Information Exchange (EIE), users will be required to install a Web browser plug-in from the NRC Web site. Further information on the Web-based submission form, including the installation of the Web browser plug-in, is available on the NRC’s public Web site at http://www.nrc.gov/site-help/esubmittals.html. Once a participant has obtained a digital ID certificate and a docket has been created, the participant can then submit a request for hearing or petition for leave to intervene through the EIE. Submissions should be in Portable Document Format (PDF) in accordance with NRC guidance available on the NRC’s public Web site at http:// www.nrc.gov/site-help/esubmittals.html. A filing is considered complete at the time the documents are submitted through the NRC’s E-Filing system. To be timely, an electronic filing must be submitted to the E-Filing system no later than 11:59 p.m. Eastern Time (ET) on the due date. Upon receipt of a transmission, the E-Filing system time-stamps the document and sends the submitter an email notice confirming receipt of the document. The E-Filing system also distributes an email notice that provides access to the document to the NRC’s 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 documents on those participants separately. Therefore, any others who wish to participate in the proceeding (or their counsel or representative) must apply for and PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 receive a digital ID certificate before a hearing request/petition to intervene is filed so that they can obtain access to the document via the E-Filing system. A person filing electronically using the NRC’s adjudicatory E-Filing system may seek assistance by contacting the NRC Meta System Help Desk through the ‘‘Contact Us’’ link located on the NRC’s Web site at http://www.nrc.gov/ site-help/e-submittals.html, by email at MSHD.Resource@nrc.gov, or by a tollfree call at (866) 672–7640. The NRC Meta System Help Desk is available between 8 a.m. and 8 p.m., ET, Monday through Friday, excluding government holidays. Participants who believe that they have a good cause for not submitting documents electronically must file an exemption request, 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. A presiding officer, having granted an exemption request from using E-Filing, may require a participant or party to use E-Filing if the presiding officer subsequently determines that the reason for granting the exemption from use of E-Filing no longer exists. Documents submitted in adjudicatory proceedings will appear in the NRC’s electronic hearing docket, which is available to the public at http:// ehd1.nrc.gov/ehd/, unless excluded pursuant to an order of the Commission or the 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, unless an NRC regulation or other law requires submission of such information. With respect to copyrighted works, participants are requested not to include copyrighted E:\FR\FM\22MYN1.SGM 22MYN1 Federal Register / Vol. 79, No. 99 / Thursday, May 22, 2014 / Notices materials in their submission, except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute a Fair Use application. If a person other than Armando Clavero 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) and (f). If a hearing is demanded by Mr. Clavero or requested by a person whose interest is adversely affected, the Commission will issue an Order designating the time and place of any hearings, as appropriate. 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 effective and final 30 days from the date this Order is issued 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. Dated at Rockville, Maryland, this 13th day of May 2014. For the Nuclear Regulatory Commission. Roy P. Zimmerman, Director, Office of Enforcement. [FR Doc. 2014–11909 Filed 5–21–14; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72180; File No. SR– NYSEArca–2014–57] mstockstill on DSK4VPTVN1PROD with NOTICES Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the following Under NYSE Arca Equities Rule 8.600: PIMCO Foreign Bond ExchangeTraded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond ExchangeTraded Fund (Unhedged), PIMCO Global Advantage Bond ExchangeTraded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund May 16, 2014. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 VerDate Mar<15>2010 19:36 May 21, 2014 Jkt 232001 notice is hereby given that, on May 1, 2014, NYSE Arca, Inc. (the ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of the Substance of the Proposed Rule Change The Exchange proposes to list and trade shares of the following under NYSE Arca Equities Rule 8.600 (‘‘Managed Fund Shares’’): PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged), PIMCO Global Advantage Bond Exchange-Traded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund. The text of the proposed rule change is available on the Exchange’s Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to list and trade shares (‘‘Shares’’) of the following under NYSE Arca Equities Rule 8.600,4 4 The Commission has previously approved the listing and trading on the Exchange of other actively managed funds under Rule 8.600. See, e.g., Securities Exchange Act Release Nos. 60981 (November 10, 2009), 74 FR 59594 (November 18, 2009) (SR–NYSEArca–2009–79) (order approving Exchange listing and trading of five fixed income funds of the PIMCO ETF Trust); 66321 (February 3, 2012), 77 FR 6850 (February 9, 2012) (SR– NYSEArca–2011–95) (order approving listing and trading of PIMCO Total Return Exchange Traded Fund); 66670 (March 28, 2012), 77 FR 20087 (April 3, 2012) (SR–NYSEArca–2012–09) (order approving PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 29461 which governs the listing and trading of Managed Fund Shares.5 PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged) (‘‘Hedged Foreign Bond Fund’’), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged) (‘‘Unhedged Foreign Bond Fund’’), PIMCO Global Advantage Bond Exchange-Traded Fund (‘‘Global Advantage Bond Fund’’), and PIMCO International Advantage Bond Exchange-Traded Fund (‘‘International Advantage Bond Fund’’), each also referred to as a ‘‘Fund,’’ and collectively referred to as the ‘‘Funds.’’ The Shares will be offered by PIMCO ETF Trust (the ‘‘Trust’’), a statutory trust organized under the laws of the State of Delaware and registered with the Commission as an open-end management investment company.6 The investment manager to the Funds will be Pacific Investment Management Company LLC (‘‘PIMCO’’ or the ‘‘Adviser’’). PIMCO Investments LLC will serve as the distributor for the Funds (‘‘Distributor’’). State Street Bank & Trust Co. will serve as the custodian and transfer agent for the Funds (‘‘Custodian’’ or ‘‘Transfer Agent’’). Commentary .06 to Rule 8.600 provides that, if the investment adviser to the investment company issuing Managed Fund Shares is affiliated with a broker-dealer, such investment adviser shall erect a ‘‘fire wall’’ between the investment adviser and the brokerdealer with respect to access to information concerning the composition and/or changes to such investment listing and trading of PIMCO Global Advantage Inflation-Linked Bond Strategy Fund). 5 A Managed Fund Share is a security that represents an interest in an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as an open-end investment company or similar entity that invests in a portfolio of securities selected by its investment adviser consistent with its investment objectives and policies. In contrast, an open-end investment company that issues Investment Company Units, listed and traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that correspond generally to the price and yield performance of a specific foreign or domestic stock index, fixed income securities index or combination thereof. 6 The Trust is registered under the 1940 Act. On January 27, 2014, the Trust filed an amendment to its registration statement on Form N–1A under the Securities Act of 1933 (15 U.S.C. 77a) (‘‘1933 Act’’) and the 1940 Act relating to the Funds (File Nos. 333–155395 and 811–22250) (the ‘‘Registration Statement’’). The description of the operation of the Trust and the Funds herein is based, in part, on the Registration Statement. In addition, the Commission has issued an order granting certain exemptive relief to the Trust under the 1940 Act. See Investment Company Act Release No. 28993 (November 10, 2009) (File No. 812–13571) (‘‘Exemptive Order’’). E:\FR\FM\22MYN1.SGM 22MYN1

Agencies

[Federal Register Volume 79, Number 99 (Thursday, May 22, 2014)]
[Notices]
[Pages 29458-29461]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-11909]


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NUCLEAR REGULATORY COMMISSION

[IA-13-012; NRC-2014-0111]


In the Matter of Armando N. Clavero

AGENCY: Nuclear Regulatory Commission.

ACTION: Order; issuance.

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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is issuing an 
order prohibiting Mr. Clavero from involvement in NRC-licensed 
activities for a period of 3 years. The order also requires Mr. Clavero 
to notify the NRC of any current involvement in NRC-licensed activities 
and for a period of 1 year after the 3-year period of prohibition has 
expired, that he provide a written notice for his acceptance of his 
first employment offer involving NRC-licensed activities.

DATES: Effective Date: See attachment.

ADDRESSES: Please refer to Docket ID NRC-2014-0111 when contacting the 
NRC about the availability of information regarding this document. You 
may access publicly-available information related to this action by the 
following methods:
     Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2014-0111. Address 
questions about NRC dockets to Carol Gallagher; telephone: 301-287-
3422; email: Carol.Gallagher@nrc.gov.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may access publicly available documents online in the NRC 
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the 
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS, please contact the NRC's 
Public Document Room (PDR) reference staff at 1-800-397-4209, 301-415-
4737, or by email to pdr.resource@nrc.gov. The ADAMS accession number 
for each document referenced in this document (if that document is 
available in ADAMS) is provided the first time that a document is 
referenced.
     NRC's PDR: You may examine and purchase copies of public 
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 
Rockville Pike, Rockville, Maryland 20852.

FOR FURTHER INFORMATION CONTACT: Thomas Marenchin, Office of 
Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001; telephone: 301-415-2979, email: Thomas.Marenchin@nrc.gov.

SUPPLEMENTARY INFORMATION: The text of the Order is attached.

    Dated at Rockville, Maryland, this 13th day of May 2014.

    For the Nuclear Regulatory Commission.
Roy P. Zimmerman,
 Director, Office of Enforcement.

Attachment--Order Prohibiting Involvement in NRC Licensed Activities

Order Prohibiting Involvement In NRC-Licensed Activities

I

    Armando N. Clavero (Armando Clavero or Mr. Clavero) is employed as 
the Chief Technical Officer of University Nuclear and Diagnostics, LLC, 
(UND) located in Davie, Florida. University Nuclear and Diagnostics, 
LLC, holds an Agreement State license issued by the State of Florida 
and was contracted to Bradley D. Bastow (Bastow), who holds U.S. 
Nuclear Regulatory Commission (NRC) materials license No. 21-32316-01 
issued by the NRC pursuant to 10 CFR Part 30 on April 20, 2001, and 
renewed on December 7, 2011. The Florida license authorizes use of 
diagnostic nuclear materials in accordance with the conditions 
specified therein. Armando Clavero is listed on the Florida license in 
Condition 16.A as President. The NRC license to Bastow authorizes the 
use of certain diagnostic nuclear materials in accordance with the 
conditions specified therein.

II

    On February 28, and April 3, 2012, the NRC conducted a special 
inspection at the Bastow facility in South Haven, Michigan, with 
continued in-office review through May 24, 2012. The details of the 
inspection were documented in NRC Inspection Report No. 03035710/
2012001(DNMS) issued to Bastow on December 19, 2012. This document is 
available in the NRC's Agencywide Documents Access and Management 
System (ADAMS) at accession number ML12356A238. ADAMS is accessible 
from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html. 
During the inspection, several unresolved items were identified that 
required further NRC review. The NRC Office of Investigations (OI) 
began an investigation on April 2, 2012 into several of the issues. OI 
completed its investigation on January 31, 2013. On April 18, 2013, the 
NRC issued letters to Bastow, UND, and Armando Clavero, providing them 
with the preliminary results of the investigation and requesting 
further input from them through a predecisional enforcement conference, 
alternative dispute resolution, or written response. These letters are 
available in ADAMS at

[[Page 29459]]

accession numbers ML13108A154, ML13108A148, and ML13109A537. On June 
20, 2013, Mr. Clavero and a representative from UND met with the NRC in 
predecisional enforcement conferences, together and then in a separate 
individual conference. At both conferences a Spanish interpreter was 
available to Mr. Clavero if he had difficulty in understanding the 
NRC's questions or in expressing an adequate response.
    Following the conferences, on July 15, 2013, Armando Clavero 
provided the NRC with additional information, received via electronic 
and regular mail. This document is available in ADAMS at accession 
number ML13109A537. On August 9, 2013, the NRC provided both Mr. 
Clavero and UND with letters outlining the information discussed at the 
conferences and informing both parties that the NRC was continuing to 
evaluate the information. These letters can be found in ADAMS at 
accession numbers ML13226A459 for the letter to UND and ML13226A479 for 
the letter to Mr. Clavero.
    On July 1, 2013, the NRC and Bastow met in an alternative dispute 
resolution (ADR) mediation session. The parties reached a preliminary 
settlement agreement which was later finalized in a Confirmatory Order 
dated September 3, 2013. A copy of the Confirmatory Order to Bastow is 
available in ADAMS at accession number ML13241A320.
    The NRC also performed additional investigation into the matter of 
a second meter as discussed at the June 20, 2013, predecisional 
enforcement conference, including conducting additional interviews with 
current and former UND employees. This supplemental investigation was 
completed on February 4, 2014. A synopsis of the NRC's review into the 
issue of whether a second meter existed, and other issues left 
unresolved at the conference, was provided to UND with a Notice of 
Violation and is available in ADAMS at accession number ML13241A320.
    Based on the results of the inspection and investigation, the NRC 
determined that, by his deliberate actions, Armando Clavero caused 
Bastow to be in violation of NRC requirements by: (1) Deliberately not 
calibrating a survey meter yet providing falsified survey instrument 
calibration records dated August 13, 2010, and November 10, 2011, and 
providing inaccurate information about performing the survey meter 
calibration both during the NRC investigation and during the 
predecisional enforcement conference; (2) deliberately not performing a 
sealed source survey in October or November 2011 and providing 
falsified records of a sealed source survey on October 24, 2011, when 
there was no survey meter onsite; and (3) deliberately not performing 
an annual review on October 24, 2011, and providing a falsified record 
of an annual review dated November 24, 2011, containing erroneous 
information, including that surveys were performed when a survey meter 
was not onsite. Armando Clavero also did not ensure that Bastow's 
office had a working survey meter during the nearly eight week period 
from October 5, to November 28, 2011, when a UND NMT had sent the 
Bastow survey meter to UND for calibration and there was no other 
survey meter in Bastow's office. Armando Clavero did not ensure that 
records provided to Bastow's office were complete and accurate in all 
material respects in that he provided records that were dated one date 
but were based off surveys performed on a different date. Additionally, 
Armando Clavero, among others, caused UND to be in violation of 10 CFR 
30.10.

III

    Based on the above, Armando Clavero, an employee of UND and 
contractor to NRC licensee Bastow has engaged in deliberate misconduct, 
in violation of 10 CFR 30.10, that has caused the NRC licensee to be in 
violation of 10 CFR 30.9, 35.24, 35.61, and 35.67, and its license 
conditions. Bastow was required to follow those requirements by the 
license issued to it pursuant to 10 CFR Part 30 on April 20, 2001, and 
renewed on December 7, 2011. The NRC must be able to rely on the 
licensee and its contractors to act with integrity and comply with NRC 
requirements. Armando Clavero's actions in causing Bastow to violate 10 
CFR 30.9, 35.24, 35.61, and 35.67, and its license conditions raised 
serious doubt as to whether he can be relied upon to comply with NRC 
requirements.
    Consequently, I lack the requisite reasonable assurance that 
licensed activities can be conducted in compliance with the 
Commission's requirements and that the health and safety of the public 
will be protected if Armando Clavero were permitted at this time to be 
involved in NRC-licensed activities. Therefore, the public health, 
safety and interest require that Armando Clavero be prohibited from any 
involvement in NRC-licensed activities for a period of 3 years 
effective 30 days from the date of issuance of this Order. 
Additionally, Armando Clavero is required to notify the NRC of his 
first employment in NRC-licensed activities for a period of 1 year 
following the prohibition period.

IV

    Accordingly, pursuant to sections 81, 161b, and 161i of the Atomic 
Energy Act of 1954, as amended, and the Commission's regulations in 10 
CFR 2.202 and 10 CFR 30.10, IT IS hereby ordered that:
    1. Armando N. Clavero is prohibited for 3 years from engaging in, 
supervising, directing, or in any other way conducting NRC-licensed 
activities, including participating in or overseeing contracted 
activities for NRC licensees. NRC-licensed activities are those 
activities that are conducted pursuant to a specific or general license 
issued by the NRC, including, but not limited to, those activities of 
Agreement State licensees conducted in the NRC's jurisdiction pursuant 
to the authority granted by 10 CFR 150.20. This also includes ownership 
of NRC-licensed material located within NRC jurisdiction.
    2. If Armando N. Clavero is currently involved with any licensee in 
NRC-licensed activities, then he must cease those activities, and 
inform the NRC of the name, address and telephone number of the 
employer, and provide a copy of this order to the employer.
    3. For a period of 1 year after the 3 year period of prohibition 
has expired, Armando N. Clavero shall, within 20 days of acceptance of 
his first employment offer involving NRC-licensed activities or his 
becoming involved in NRC-licensed activities, as defined in Paragraph 
IV.1 above, provide notice to the Director, Office of Enforcement, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, of the name, 
address, and telephone number of the employer or the entity where he 
is, or will be, involved in the NRC-licensed activities. In the 
notification, Armando N. Clavero shall include a statement of his 
commitment to compliance with regulatory requirements, including 
providing complete and accurate information, and the basis why the 
Commission should have confidence that he will now comply with 
applicable NRC requirements.
    The above provisions are effective 30 days from the date of 
issuance of this Order.
    The Director, Office of Enforcement, or designee, may, in writing, 
relax or rescind any of the above conditions upon demonstration by 
Armando N. Clavero of good cause.

V

    In accordance with 10 CFR 2.202, Armando Clavero must submit a 
written answer to this Order under oath or

[[Page 29460]]

affirmation within 30 days of issuance of this order. Armando Clavero's 
failure to respond to this Order could result in additional enforcement 
action in accordance with the Commission's Enforcement Policy. Any 
other person adversely affected by this Order may submit a written 
answer to this Order within 30 days of issuance. In addition, Armando 
Clavero may demand, and any other person adversely affected by this 
Order may request, a hearing on this Order within 30 days of 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 made in writing to the Director, Office of Enforcement, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-001, and include a 
statement of good cause for the extension.
    All documents filed in NRC adjudicatory proceedings, including a 
demand or request for hearing, a petition for leave to intervene, any 
motion or other document filed in the proceeding prior to the 
submission of a request for hearing or petition to intervene, and 
documents filed by interested governmental entities participating under 
10 CFR 2.315(c), must be filed in accordance with the NRC's E-Filing 
rule (72 FR 49139; August 28, 2007), as amended by 77 FR 46562; August 
3, 2012 (codified in pertinent part at 10 CFR Part 2, Subpart C). The 
E-Filing process requires participants to submit and serve all 
adjudicatory documents over the internet, or in some cases to mail 
copies on electronic storage media. Participants may not submit paper 
copies of their filings unless they seek an exemption in accordance 
with the procedures described below.
    To comply with the procedural requirements of E-Filing, at least 10 
days prior to the filing deadline, the participant should contact the 
Office of the Secretary by email at hearing.docket@nrc.gov, or by 
telephone at 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 
proceeding in which it is participating; and (2) advise the Secretary 
that the participant will be submitting a request or petition for 
hearing (even in instances in which the participant, or its counsel or 
representative, already holds an NRC-issued digital ID certificate). 
Based upon this information, the Secretary will establish an electronic 
docket for the hearing in this proceeding if the Secretary has not 
already established an electronic docket.
    Information about applying for a digital ID certificate is 
available on NRC's public Web site at http://www.nrc.gov/site-help/e-submittals/apply-certificates.html. System requirements for accessing 
the E-Submittal server are detailed in NRC's ``Guidance for Electronic 
Submission,'' which is available on the agency's public Web site at 
http://www.nrc.gov/site-help/e-submittals.html. Participants may 
attempt to use other software not listed on the Web site, but should 
note that the NRC's E-Filing system does not support unlisted software, 
and the NRC Meta System Help Desk will not be able to offer assistance 
in using unlisted software.
    If a participant is electronically submitting a document to the NRC 
in accordance with the E Filing rule, the participant must file the 
document using the NRC's online, Web-based submission form. In order to 
serve documents through Electronic Information Exchange (EIE), users 
will be required to install a Web browser plug-in from the NRC Web 
site. Further information on the Web-based submission form, including 
the installation of the Web browser plug-in, is available on the NRC's 
public Web site at http://www.nrc.gov/site-help/e-submittals.html.
    Once a participant has obtained a digital ID certificate and a 
docket has been created, the participant can then submit a request for 
hearing or petition for leave to intervene through the EIE. Submissions 
should be in Portable Document Format (PDF) in accordance with NRC 
guidance available on the NRC's public Web site at http://www.nrc.gov/site-help/e-submittals.html. A filing is considered complete at the 
time the documents are submitted through the NRC's E-Filing system. To 
be timely, an electronic filing must be submitted to the E-Filing 
system no later than 11:59 p.m. Eastern Time (ET) on the due date. Upon 
receipt of a transmission, the E-Filing system time-stamps the document 
and sends the submitter an email notice confirming receipt of the 
document. The E-Filing system also distributes an email notice that 
provides access to the document to the NRC's 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 documents 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/petition to intervene is filed so that they 
can obtain access to the document via the E-Filing system.
    A person filing electronically using the NRC's adjudicatory E-
Filing system may seek assistance by contacting the NRC Meta System 
Help Desk through the ``Contact Us'' link located on the NRC's Web site 
at http://www.nrc.gov/site-help/e-submittals.html, by email at 
MSHD.Resource@nrc.gov, or by a toll-free call at (866) 672-7640. The 
NRC Meta System Help Desk is available between 8 a.m. and 8 p.m., ET, 
Monday through Friday, excluding government holidays.
    Participants who believe that they have a good cause for not 
submitting documents electronically must file an exemption request, 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. A presiding officer, 
having granted an exemption request from using E-Filing, may require a 
participant or party to use E-Filing if the presiding officer 
subsequently determines that the reason for granting the exemption from 
use of E-Filing no longer exists.
    Documents submitted in adjudicatory proceedings will appear in the 
NRC's electronic hearing docket, which is available to the public at 
http://ehd1.nrc.gov/ehd/, unless excluded pursuant to an order of the 
Commission or the 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, unless an NRC 
regulation or other law requires submission of such information. With 
respect to copyrighted works, participants are requested not to include 
copyrighted

[[Page 29461]]

materials in their submission, except for limited excerpts that serve 
the purpose of the adjudicatory filings and would constitute a Fair Use 
application.
    If a person other than Armando Clavero 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) and (f).
    If a hearing is demanded by Mr. Clavero or requested by a person 
whose interest is adversely affected, the Commission will issue an 
Order designating the time and place of any hearings, as appropriate. 
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 effective and final 30 days from the date this Order is 
issued 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.

    Dated at Rockville, Maryland, this 13th day of May 2014.

For the Nuclear Regulatory Commission.
Roy P. Zimmerman,
Director, Office of Enforcement.
[FR Doc. 2014-11909 Filed 5-21-14; 8:45 am]
BILLING CODE 7590-01-P