United States Nuclear Regulatory Commission - Protecting People and the Environment

Escalated Enforcement Actions Issued to Individuals - S

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Name and
NRC Action Number
NRC Action Type Date Issued Description
Jaime Sánchez
IA-11-036
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.
Craig Schneider
IA-18-035
IANOV
(SL IV)
10/18/2018 On October 18, 2018, the NRC issued a Notice of Violation to Mr. Craig Schneider for a Severity Level IV violation of 10 CFR 55.53(d), which requires that an operator's license is subject to and the licensee shall observe, all applicable rules, regulations, and orders of the Commission. Mr. Schneider's license states, in part, while performing licensed duties, he must observe the operating procedures and other conditions in the facility license authorizing operation of the facility. The facility licensee's procedure regarding NRC license and medical requirements stated that the individual licensee (licensed reactor operator) is responsible for notifying the facility licensee of changes in health status. Between December 20, 2016, and November 27, 2017, Mr. Schneider failed to notify the facility licensee [Quad Cities Nuclear Power Station] of prescribed medical actions by his personal physician and thereby failed to comply with a condition of his operator's license. It should be noted that, during the time duration in question, Mr. Schneider was following the prescribed actions.
Joseph S. Shepherd
IA-13-038

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
IA-08-014
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.
Kristen Smith 
IA-15-052
IANOV
(SL III)
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.
Mark Sperlich
IA-17-111
IAORDER 12/21/2017 On December 21, 2017, the NRC issued a Severity Level III Notice of Violation to Mr. Mark Sperlich for engaging in deliberate misconduct which caused Avera McKennan, the licensee, to be in violation of 10 CFR 71.5(a), 49 CFR 173.410(f), 49 CFR 172.200(a), 49 CFR 172.300(a), and 49 CFR 172.400(a) and Mr. Sperlich to be in violation of 10 CFR 71.8(b)(1), the Deliberate Misconduct Rule. Specifically, Mr. Sperlich deliberated transported licensed material on public highways from the licensee's main hospital to an off-site authorized facility in a container that did not meet the Department of Transportation requirements for a transport package. In addition, the material was transported without required package marking or labeling, and any required shipping papers.
Mr. Thomas Summers
IA-18-040
IAORDER 09/12/2019 On September 12, 2019, the NRC issued an Order prohibiting Mr. Thomas Summers from involvement in NRC-licensed activities. Mr. Summers deliberately caused his former employer, Florida Power and Light (FPL) to be in violation of 10 CFR 50.7 and 50.9 when he willfully discriminated against a contract employee and submitted incomplete and inaccurate information to FPL to influence an NRC proceeding. Specifically, Mr. Summers will be prohibited from any involvement in NRC-licensed activities for a period of five years and, thereafter, he will be required to notify the NRC within 20 days following acceptance of his first employment offer involving NRC-licensed activities.
Page Last Reviewed/Updated Monday, October 21, 2019