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Penalty notices

Section 89 of the Pensions Act 2004 gives us the power to publish information on cases where we have exercised or considered exercising our powers.

Our ability to publish information – including details of our enforcement cases – plays an important part in enabling our commitment to transparency, and increases awareness and understanding of our decisions and actions.

The following tables name employers who have received an Escalating Penalty Notice (EPN) for breaches relating to automatic enrolment under the Pensions Act 2008. We will publish the names of those who have paid their EPN and remain non-compliant, as well as those who have failed to pay their EPN and as a result have been made subject to a court order.

We also publish information about failures to complete a scheme return or prepare a compliant chair’s statement. Trustees have a legal obligation to give us information about their pension scheme by completing a scheme return when required, and can be fined under section 10 of the Pensions Act 1995. The Occupational Pension Schemes (Charges and Governance) Regulations 2015 also require us to issue a mandatory penalty where there has been a failure to prepare a chair’s statement. The list includes the name of the scheme, type of breach, and the fine amount, and names any professional trustee related to that scheme.

We will publish this information on a quarterly basis. Penalties are listed when they become payable but may relate to an historical breach.

Employer non-compliant, subject to further action (EPN paid)

1 January to 31 March 2020

Employer name City / town Amount paid 
Al Furqan Community College Solihull £5,000 
DENGIE Livestock Ltd  Burnham-On-Crouch £14,000 

Please note that the values shown as paid are the values for the Escalating Penalty Notice only and may not be the value of the payment made. The payment value will include the Fixed Penalty Notice value if that remained unpaid as well as the associated court fees.

Unpaid EPNs subject to a Court Order

1 January to 31 March 2020

Employer name City / town Amount paid
ABWAB Global Limited London  £5,600
ANGEL HOUSE KIDS CLUB LIMITED  London  £3,000 
Avicenna Sanatio Pharma Ltd  Bradford £8,000 
Benitor Ltd  Edgware £5,000 
Brian Masterson Ltd  Stirling  £5,000 
Chicksand Citizens Forum Limited  London  £5,000 
Coldchoice Foods Ltd Manchester  £6,000 
Crafty Crocodiles Limited  Bramford £2,000 
CRU CONSTRUCTION (SERVICES) LTD  County Durham £3,500 
D R Lockett and Son Limited  Manchester  £1,500 
Harbour Havens Ltd  Isle of Arran £14,000 
Headfast Limited  Princes Risborough  £5,000 
Ismail Security Ltd   London  £14,000 
Easigrow  Darlington £6,400 
John Nichol (Cars) Limited  London  £3,000 
Linthorpe Property Management Limited Middlesbrough  £1,100 
Middle East Food Market Limited  London  £5,000 
Qudos Hospitality limited  Salisbury £5,500 
Resman Limited  Liverpool   £6,800 
T. Class Security Limited  London  £87,900 
The Flower Studio Limited  Marlow £2,500 
Ward Timber Limited  Bishop Auckland £1,000 
X Adventure Activities Ltd  Norwich £5,000 
Xpress Print Limited Waltham Abbey £5,000 

Chair's statement fines – failing to produce

Please note that penalties are listed when they become payable but may relate to an historical breach.

1 January to 31 March 2020

Scheme Professional trustee / pension professional Amount
C C P Maj Products Ltd Pension Scheme K60078 L60078   £500.20 
Balance Street Surgery Secretaries D P S    £500 
The Kendall Bros (Portsmouth) Ltd Pension Plan (P80020-035-Bg)    £500.80 
Sansetsu (U.K.) Limited Pension Plan    £500 
The Ferguson Seacabs Ltd Pension Plan P01046-083-Be    £501 
Saftdwin Ltd Group Money Purchase Plan 707987/31    £500 
The British Academy Superannuation Scheme 708059/90    £501.40 
Mba Group Ltd - U485003    £503.20 
Cytec Industrial Materials (Derby)  Limited Pension Plan    £505.20 
Queen Elizabeth Grammar School Blackburn (1988) Retirement Benefits Scheme Pol No:2102   £500.50 
Wandle Housing Association VIP Scheme - 3180Q    £500.50 
Sidleys Pension Plan 60185    £500.40 
The D J Enterprises (Lighting) Ltd Discretionary Pension Scheme    £500.20 
Hoerbiger UK 1988 Ltd Pension Scheme    £516.40 
West Ferry Printers Retirement Benefits Plan 105JP237/05810    £500.20 
The Waddington Custot Galleries Limited Pension Plan P00801-082-Bd    £500.40 
Thames Reach Project Housing Association Retirement And Death Benefit Scheme 12662    £502.80 
Lambert Gill Ltd Pension Scheme 250959000l    £500.20 
Bristol Diocesan Group Scheme For Clergy    £512.50 
BOB Stevenson Limited Rbs    £500.60 
J Muir & Co (Bookbinders) Ltd 1978 Discretionary Pension Scheme Fep 933033    £500.30 
Fellhouse Limited Retirement Savings Plan    £500.40 
Greenhalgh's Craft Bakery Limited Retirement Benefit Scheme    £508.30 
The Euro-Helmets Ltd Retirement Benefits Scheme 12074    £501.10 
Dean & Chapter of Canterbury 249158000h    £500.80 
Gurney Slade Lime & Stone Co Ltd Money Purchase Retirement Benefit Scheme 82152    £502.30 
Gra-Bern Electrical Engineering Pol No: PM23631    £500.50 
Bradford Diocese Group Endowment Scheme    £503 
Richaire Ltd Employee Benefits Scheme    £500.80 
White Mountain (Construction) Ltd: 118FP781    £500.30 
Portland Food And Wine Retirement Benefits Scheme    £500.30 
The D J Taylor Executive Pension Plan M088994    £500.40 
Kirkgate Engineering Ltd Retirement And Death Benefs Scheme Policy No F20739    £500.40 
Faithdean Plc (1988) Rbs    £502 
Direct Line Group Services Pension Scheme (1993)    £500.30 
Edward Nicholson Limited Vip Plus Plan 2001551B &2001262h    £501.60 
S D Holdings Ltd Staff Retirements Benefit Scheme Policy No 162YP206    £500.60 
Argles Stoneham Burstows Retirement Security Scheme    £500.40 
Clos-O-Mat (Great Britain) Ltd Executive Pension Plan    £502.10 
The Polyrey (UK) Staff Pension Scheme    £501.10 
Bridgehead Container Services Ltd Retirement Benefitsscheme (2) 47998    £500.20 
Charles Harbage Limited 1997 Retirement Benefit Scheme CM0004    £500.20 
Challenger Mobile Communications Staff Pension Scheme    £500.70 
Stream International (NI) Ltd Employee Benefits Plan    £528 
Cynllun Pensiwn Y Lolfa Cyf    £502.20 
Smith & Austin Staff Retirement Benefit Scheme    £501.80 
The Coin Controls Executive Pension Plan    £500.3 
Bushido Capital Pensions Community Interest Company  Assured Trustees £2,000 

Chair's statement fines – not compliant

Please note that penalties are listed when they become payable but may relate to an historical breach.

1 January to 31 March 2020

Scheme name Professional trustee / pension professional Amount
Time Warner Money Purchase Pension Plan   £1,086

Scheme return fine – failing to submit to us on time

1 January to 31 March 2020

Scheme name Number of fines issued Professional trustee / pension professional Amount
SEIP Services Limited SSAS 3   £900