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Automatic enrolment penalties

FOI reference - FOI-3336

Date - 12 October 2019

Request

Under the Freedom of Information Act, I would like to know:

  • The number of businesses handed penalties in relation to pension auto-enrolment.
  • The value of all penalties handed out in relation to pension auto-enrolment.

If possible, could you break it down escalating penalty notice and fixed penalty notice.

I would like the data for the most recent five years, broken down by quarter, with the most recent end of quarter possible.

Response

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

Information we are able to supply

The table below shows the number and value of fines, broken down into fixed and escalating penalties, issued in relation to automatic enrolment for the last five years.

  Number of business handed penalties in relation to AE The value of all penalties handed out in relation to AE
Fixed Escalating Fixed Escalating
2014/15 Q1 1 0 £400 £0
Q2 3 0 £1,200 £0
Q3 160 0 £68,400 £0
Q4 213 5 £100,400 £22,500
2015/16 Q1 80 0 £32,400 £0
Q2 98 2 £43,600 £0
Q3 848 24 £418,400 £50,000
Q4 756 96 £362,800 £186,500
2016/17 Q1 853 38 £381,200 £278,850
Q2 3,855 441 £1,549,200 £308,000
Q3 2,894 867 £1,168,800 £4,279,700
Q4 4,663 1,042 £1,873,200 £2,766,550
2017/18 Q1 4,785 1,383 £1,918,000 £3,755,000
Q2 5,467 1,428 £2,192,000 £5,855,350
Q3 7,411 1,438 £2,974,400 £7,848,550
Q4 11,132 2,764 £4,462,000 £12,998,450
2018/19 Q1 12,205 2,496 £4,754,800 £14,469,150
Total: 55,424 12,024 £22,301,200 £52,818,600

When interpreting the data you should be aware that a fine issued in one quarter may not be collected until a subsequent quarter. This is important when interpreting the information relating to escalating penalties, as their value cannot be known until payment is received. As such, these figures may be subject to revision.

It is also important to be aware that this information does not take into account write offs, remissions, refunds or discharged debt.

You may wish to review our Compliance and enforcement bulletins which provide information about our cases and the powers we have use.