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Escalated Enforcement Actions Issued to Individuals - S
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NRC Action Number
|NRC Action Type||Date Issued||Description|
|IANOV & IAORDER||05/17/2012||On May 17, 2012, the NRC issued a Severity Level III Notice of Violation and an Order prohibiting involvement in NRC-licensed activities to Mr. Jaime Sánchez, President, S&R Engineering, S.E. (S&R). This enforcement action is based on Mr. Sánchez’s deliberate violation of 10 CFR 30.10(a)(2): he provided information to the NRC that he knew was inaccurate in some respect material to the NRC. Specifically, on August 3, 2010, Mr. Sánchez stated to the NRC that S&R’s licensed portable nuclear gauge had been transferred to another licensee and that S&R no longer possessed licensed material, when, in fact, S&R still possessed the gauge. In addition, as the President of S&R, he failed to respond to NRC correspondence and communication attempts, and failed to address or correct the misinformation that he provided on August 3, 2010. The Order prohibits Mr. Sánchez from engaging in all NRC-licensed activities for a period of five years, and requires him to notify the NRC, following completion of the five year prohibition, of his first employment involving NRC-licensed activities.|
|Joseph S. Shepherd
Response and Issuance of Erratum to Order (April 8, 2014)
The erratum corrected the description of the work Mr. Shepherd's employer was engaged in, but did not change the conditions in the Order.
|IANOV & IAORDER||12/23/2013||On December 23, 2013, the NRC issued Mr. Joseph S. Shepherd, owner of Foss Therapy Services, an Order conditioning involvement in NRC-licensed activities and Notice of Violation (Notice) associated with a willful failure to adhere to some of the conditions set forth in NRC Order IA-08-014. Specifically, on April 13, 2012, Mr. Shepherd, with careless disregard, failed to notify his customer of NRC Order IA-08-014 and did not make the Order available to them. This current Order, NRC Order IA-13-038, conditions Mr. Shepherd's involvement in NRC-licensed activities for a period of 3 years, and also requires certain documentation for an additional year. Under this Order, before beginning work in NRC jurisdiction, Mr. Shepherd must notify customers of NRC Order IA-08-014 and make it available for their review, must provide future employers with a copy of the Order and must also notify the NRC no less than 5 business days before conducting licensed activities within NRC jurisdiction. The provisions above will remain in effect for 3 years from the effective date of the Order. Mr. Shepherd must also determine whether the customer is under NRC jurisdiction, document his determination and state the basis for his determination. The provision will remain in effect for 3 years from the effective date of the Order. The documentation of this requirement must be maintained for a period of 4 years from the effective date of the Order. The NRC also issued a Severity Level III Notice for Mr. Shepherd's failure to follow certain conditions set forth in NRC Order IA-08-014.|
|Joseph S. Shepherd
|IAORDER||09/08/2008||On September 8, 2008, a Confirmatory Order (Effective Immediately) was issued to Mr. Joseph S. Shepherd, a contractor for Source Production and Equipment Company (SPEC), confirming commitments reached as part of conjoined negotiations with the Department of Justice (DOJ). As a result of the plea negotiations with DOJ, Mr. Shepherd agreed to not contest the Order. The Order was issued based on Mr. Shepherd's failure to comply with certain NRC Certificate of Compliance (CoC) requirements regarding a shipping package and his engagement in deliberate misconduct which caused SPEC to be in violation of 10 CFR 71.3. Specifically, SPEC, an NRC licensee pursuant to 10 CFR Part 110, shipped licensed radioactive material to Mexico on July 15, 2003, December 4, 2003, and May 20, 2004 while (1) the end caps were physically and dimensionally different from those approved in the CoC, and (2) the package was not inspected prior to shipment as required by the CoC. Mr. Shepherd agreed that he authorized modifications to the transportation package without prior NRC approval and that he concealed these package non-conformances from SPEC at the time of the shipments. Mr. Shepherd also agreed that he did not perform inspections of the shipping package as required by the CoC prior to the shipments to Mexico, but provided SPEC documentation which indicated that he performed the required inspections. As a result, SPEC, which relied on Mr. Shepherd's representations that the shipping package complied with all regulatory requirements, shipped NRC licensed material without a license in violation of 10 CFR 71.3. The Order and DOJ agreement will prohibit Mr. Shepherd from participating in 10 CFR Part 71 licensed activities indefinitely. He also will (1) be subject to additional unannounced inspections for five years from the date of the Order, (2) notify and make available copies of the Order to customers, (3) attend additional regulatory safety training, and (4) prepare a presentation for an industry conference describing the circumstances of his violations.|
|05/31/2016||On May 31, 2016, the NRC issued a Notice of Violation to Mrs. Kristen Smith, a former contractor manager employee of Waterford Steam Electric Station (the licensee), for a Severity Level III violation of 10 CFR 50.5, Deliberate Misconduct. Specifically, on January 13, 2014, Mrs. Smith deliberately provided incomplete and inaccurate information to a licensee's access authorization reviewing official regarding the trustworthiness and reliability of an individual applying for reinstatement of unescorted access. The individual's unescorted access was subsequently reinstated, when access would not have been reinstated because prior activities had adversely reflected on the individual's trustworthiness and reliability. Information associated with individual's trustworthiness and reliability is material to the NRC because it is used to reassess an individual's unescorted access as required by regulations in 10 CFR 73.56(f)(3), Behavioral Observation.|
|Richard B. Smith
|IAORDER||05/14/2014||On May 14, 2014, the NRC issued Richard B. Smith, a former senior reactor operator at Grand Gulf Nuclear Station (Grand Gulf), an Order prohibiting involvement in NRC-licensed activities for a period of five years. Specifically, on July 18, 2013, Mr. Smith tested positive for an illegal substance during a random fitness-for-duty (FFD) test, a violation of 10 CFR Part 55.53(d) and (j). Grand Gulf planned to reinstate Mr. Smith and allow him to perform licensed duties contingent on his successful completion of a substance abuse treatment program and the passing of additional medical evaluations. However, after receiving unescorted access by the licensee and prior to allowing him to perform licensed activities, Mr. Smith tested positive on a second FFD test resulting in a second violation of 10 CFR 55.53(d) and (j). On December 11, 2013, the NRC terminated Mr. Smith's license.|
Page Last Reviewed/Updated Friday, February 17, 2017