10/30/17
Least Adversarial
l Regulators have a number of enforcement tools and options.
l As a general principle it is generally advisable to select the least adversarial mechanism required to achieve the
desired results – compliance, correction, and deterrence.
Enforcement Mechanisms
l Informal Correction u
The most basic approach for rectifying suspected noncompliance. It is used by the compliance/enforcement staff have observed facts suggesting a non-compliant situation may exist. The Informal Correction method is intended for: • Suspected deficiencies that can usually be corrected within 30 days or less; and • Licensees that are infrequent violators.
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