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Data on how many companies have been fined by TPR in 2018

FOI reference - FOI-4132

Date - 14 October 2019

Request

I would like to request The Pensions Regulator's (TPR) data on how many companies have been fined by TPR for failing to meet the required standards of compliance regarding their workplace pension auto-enrolment scheme, including the following:

1. The total number of companies that have been fined by TPR for non-compliance from 1 January year-to-date, as well as for the full year 2018.

2. The total number of companies that have been given a warning by TPR to correct their compliance without receiving a fine from 1 January year-to-date, as well as for the full year 2018.

3. The total number of companies that have been fined following a warning from TPR from 1 January year-to-date, as well as for the full year 2018.

Response

I can confirm that we hold the information you have requested.

Information we are able to supply

1 and 3. 40,301 for 2018 and 20,298 for 2019 (up to 30 September 2019).

Please note: our answers to questions 1 and 3 are the same, as a warning is always issued before a fine.

Our answers to questions 1 and 3 also reflect:

a. penalties which relate to non-compliance with section 72 requests for information;

b. non-compliance with all automatic enrolment (AE) duties, ie - including paying contributions on time;

c. where an employer has received more than one penalty (of the same or different types) in each year, they have only been counted once in that year.

2. 41,057 for 2018, and 33,529 for 2019 (up to 30 September 2019).

Please note: in our answers to question 2 a 'warning' has been interpreted as a compliance notice or unpaid contribution notice and includes non-compliance with all AE duties, ie - including paying contributions on time.

Employers who received a warning in 2018 but the related penalty was not issued until 2019 have been excluded from our answers to question 2. Employers who received more than one warning (of the same or different types) in each year, are only being counted once in that year.