The regulatory body establishes and implements an enforcement policy within the legal framework for responding to a licensee’s non-compliance with regulatory requirements or with conditions specified in the licence. In the event that risks are identified, including risks unforeseen in the autho­rization process, the regulatory body requires corrective actions to be taken by the licensee.

The implementation of the enforcement actions considers the appropri­ate levels within the organizational structure; the inspector also has the authority to carry out enforcement actions during inspections if there is an imminent likelihood of safety-significant events or when there is evidence of deterioration in the level of safety.

The range of enforcement actions starts with issuing of verbal or written notification (warnings or directives or orders); the next level is the modifica­tion, suspension, or revocation of a licence until the imposition of fines commensurate with the seriousness of the non-compliance. The range of actions that might be applied needs to be clearly understood by the regula­tor and the operator. However, for minor safety concerns, issues of non­compliance may be solved with a discussion between the regulator and the operator, establishing a period of time to solve the concerns and indicating the regulatory criteria involved. Clear administrative procedures and guide­lines governing the use and implementation of enforcement actions are necessary.