Compliance and enforcement strategy for employers subject to automatic enrolment duties
7
1. Introduction
1.11 The regulator’s automatic enrolment compliance and
enforcement team has responsibility for strategy, policy and
operational matters relating to the prevention, detection,
investigation and enforcement of non-compliance with the
employer duties and safeguards under the Pensions Act 2008,
and those employers who subsequently delay or fail to make
contribution payments as required by The Pensions Schemes
Act 1993, the Pensions Act 1995 and The Pensions Act 2004. The
team also contributes to creating a pro-compliance culture. We
attach the highest importance to working within a clearly defined
professional and ethical framework. All our staff are professionally
trained and possess the skills and qualifications necessary to
undertake intelligence and enforcement roles.
1.12 The Department for Work and Pensions (DWP) is responsible for
providing information about automatic enrolment and planning
and saving for retirement to workers (this term also includes
potential workers). This will help them understand their rights and
obligations and also signpost people to additional sources of
information if needed. The DWP has engaged with a wide variety
of organisations including unions, professional bodies, business
representatives and others to raise awareness amongst workers
about their pension entitlements and who to contact if they have
any concerns.
1.13 This strategy document is available to interested parties on our
website.
1.14 We will regularly review and update this strategy as required by
legislation, guidance or other circumstances which may impact
on the principles set out in this document. In addition, as the
regime develops over time we will update it to reflect learning
about compliance behaviours and our risk-based approach, and
to ensure effective operations and the successful delivery of our
strategic aims.
1.15 This document refers throughout to provisions of English law.
Northern Ireland has its own body of corresponding pension
legislation. Both Northern Ireland and Scotland have additional
bodies of relevant law which correspond to certain English law
provisions referred to in this document. References to provisions
of English legislation which do not apply to Northern Ireland or
Scotland should be read as references to the provisions of any
corresponding Northern Ireland and Scottish legislation.