We will often use non-statutory means, at least in the first instance, to influence an awarding organisation‟s behaviour. We will typically use non-statutory approaches where:

• the nature and effect of the issue does not justify formal intervention,
• we have not identified any non-compliance with the conditions of recognition, but taking such action at this stage will effectively reduce the risk of non-compliance arising in the future
• it appears, on the basis of the evidence available to us, that there has been, or is likely to be, non-compliance, but it is not significant and its impact on learners and others is low, or
• the awarding organisation has brought an issue to our attention and is already taking corrective or investigative actions itself which we deem to be sufficient.

For example we may:

• ask an awarding organisation to propose for our agreement the action it will take to address an issue, and monitor its progress in doing so,
• accept an undertaking from an awarding organisation, and take statutory regulatory action in cases where it is not met (in accordance with the condition of recognition that provides for binding undertakings to be given),
• publish any evidence we have found that conditions of recognition are not being complied with (whether involving an individual awarding organisation or across a number of awarding organisations), and where appropriate make clear our dissatisfaction with the behaviour of the awarding organisation or awarding organisations, or
• give an awarding organisation a period of time to address any failure to comply with one or more of the conditions to which its recognition is subject, and to demonstrate to us that it has done so within the timeframe.

Further, we may:

• publish any evidence we have found in order to indicate that new conditions are necessary to address specified market behaviour (whether involving an individual awarding organisation or across a number of awarding organisations), or
• ask an awarding organisation to co-operate with a regulatory review of documents or processes, or to participate in a market research exercise
• undertake a formal regulatory inquiry into a particular incident or series of incidents which raise concerns about the operation of the system or the behaviour of one or more awarding organisations.

From time to time we might find evidence of matters that other competent authorities have the most appropriate or effective powers to address. In such cases we will refer the matters to those authorities.

Examples might include: fraud, which we would generally refer to the appropriate investigating authority; unlawful discrimination, which we would generally refer to the Equality and Human Rights Commission; or anti-competitive practice, for which we would generally pass cases to the Office of Fair Trading.