We will often use non-statutory means, at least in the first instance, to influence an AO’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,
• it appears to us that there has been, or is likely to be, non-compliance, but it is not significant and/or its impact on learners and others is low, or
• the AO has brought an issue to our attention and is already taking corrective or investigative actions itself.

For example, where appropriate, we may, in order to deal with an issue:

• ask an AO to propose for our agreement the action it will take to address the issue, and monitor its progress in doing so,
• accept an undertaking from an AO (given the condition of recognition that where an undertaking is given it is binding),
• publish any evidence we have found that conditions of recognition are not being complied with (whether involving an individual AO or across a number of AOs), and where appropriate make clear our dissatisfaction with the behaviour of the AO or AOs, or
• give an AO 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 consider it expedient to:

• publish any evidence we have found in order to indicate that new conditions are necessary to address specified market behaviour (whether involving an individual AO or across a number of AOs), or
• ask an AO to cooperate with a regulatory review of documents or processes, or to participate in a wider study or investigation of the issues.

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 matters to those authorities.

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