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Number of companies and individuals fined for non-compliance

FOI reference - FOI 2017-10-03
Date - 03/10/2017

Request

  • How many companies and individuals have you issued fines for non-compliance?
  • How many further fines you anticipate in issuing?
  • How much is the total sum you have issued in fines?
  • What is the percentage you have allowed on appeals against fines issued by your department?

Response

In our telephone conversation of 31 October 2017 you clarified that you require the above information to be provided in regards to automatic enrolment (AE) regulatory requirements for pensions.

I can confirm that we hold information falling within scope of your request. However, we are unable to supply some of the requested information under the Freedom of Information Act (FoIA) for the reason set out below.

Information we are able to supply

  • How much is the total sum you have issued in fines?

As at end of September 2017 the total sum issued in fines for AE amounted to £27.6 million.

  • How many further fines you anticipate in issuing?

As a specific period of time was not provided in relation to this question I am providing information for the current financial year, between April 2017 and March 2018. If you require this information for different reporting period please let me know.

Between April 2017 and September 2017 we forecasted to issue 18,387 fines in relation to AE. We actually issued 13,093. For the remaining six months of this financial year to March 2018 we are forecasting to issue 31,178 further fines.

Information we are not able to supply

  • How many companies and individuals have you issued fines for non-compliance?

I can confirm that we hold the information you have requested. However, because this information is already in the public domain, it is exempt from disclosure under Section 21 of the FoIA.

Under our duty to provide helpful information in relation to a request, please find a link to our most recent quarterly compliance bulletin (PDF, 61kb, 14 pages).

The bulletin offers the most recent information we have published about AE-related fines for non-compliance that we have issued to employers. Please note that the numbers set out in the bulletin are at a penalty level; therefore some penalties are for the same employer. We will be publishing similar information on our website in relation to the July to September 2017 reporting period shortly.

  • What is the percentage you have allowed on appeals against fines issued by your department?

For the purposes of providing the information that you have requested, I have interpreted 'appeals' to mean the number of reviews and tribunals requested by employers in relation to the powers we have used for AE purposes.

I can confirm that we hold the information you have requested. However, again, because this information is already in the public domain, it is exempt from disclosure under section 21 of the FoIA, as this information is accessible to you, as it is already in the public domain.

Our quarterly compliance bulletin referenced above also includes the number of reviews and tribunals received to date. We will be publishing similar information on our website in relation to the July to September 2017 reporting period shortly.