FOI reference - FOI-334
Date - 21 December 2024
Request
You have requested the following information:
I would like to request data for the number of Section 72, Section 72A, Section 73 and Section 78 of the Pensions Act 2004 requests issued since 2018, broken down into annual quarter up until the end of Q4 2024 (or as close to the end of Q4 2024 as possible).
I would also like to request this information broken down into nature/industry of the businesses which the section 72 information request was made to and the reason for the request being made.
Response
I confirm that we hold some of the information you have requested.
The information provided is for notices issued up to the last complete quarter and is split between our Automatic Enrolment compliance activities (Annex A), and our scheme compliance activities (Annex B) – previously referred to as Frontline Regulation activities.
Annex B only shows the number of scheme compliance notices issued. This is because we don’t have statistical data readily available on the reasons for issuing the notices, or industry type, which would fully answer your request.
Whilst we do hold data on the case type, the way we categorise cases has changed periodically, so even with explanation of the labels it’s unlikely we could correlate the information to accurately answer the second part of your request.
The requested information is likely to be held within our case documentation, but we would need to individually review each case to extract the data to create the figures. Doing this would likely take us over the costs threshold for compliance set out in section 12 of the FoIA. Additionally, we are not obligated to create data to answer a request where doing so would take significant effort, therefore I have determined that we do not hold statistical data to answer the second part of your request.
Help and Advice
I note a previous Freedom of Information (FOI) request where we have published the requested information up until the end of 2023. This response is an update to our previous published response and contains an updated set of data. Due to various changes in the way we report and record figures, and ongoing internal organisational restructure, the information previously published is now out of date.
Additionally, there is a previous FOI response from 2019 (now archived) when we provided figures in relation to our powers, which you may find helpful.
You may also wish to review our website where we publish bi-annual roundups of the use of our regulatory powers.
Annex A
Notices Issued
Quarterly summary of Pensions Act 2044 s72, s72(1A) powers used in Automatic Enrolment directorate (AE).
2018
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 15 | 338 | 353 |
| Q1 | 2 | 73 | 75 |
| Q2 | 6 | 121 | 127 |
| Q3 | 6 | 84 | 90 |
| Q4 | 1 | 60 | 61 |
2019
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 34 | 623 | 657 |
| Q1 | 5 | 61 | 66 |
| Q2 | 10 | 72 | 82 |
| Q3 | 7 | 104 | 111 |
| Q4 | 12 | 386 | 398 |
2020
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 14 | 227 | 241 |
| Q1 | 7 | 102 | 109 |
| Q2 | 3 | 15 | 18 |
| Q3 | 3 | 60 | 63 |
| Q4 | 1 | 50 | 51 |
2021
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 5 | 135 | 140 |
| Q1 | 0 | 37 | 37 |
| Q2 | 1 | 34 | 35 |
| Q3 | 2 | 31 | 33 |
| Q4 | 2 | 33 | 35 |
2022
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 6 | 126 | 132 |
| Q1 | 1 | 27 | 28 |
| Q2 | 0 | 39 | 39 |
| Q3 | 3 | 28 | 31 |
| Q4 | 2 | 32 | 34 |
2023
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 9 | 128 | 137 |
| Q1 | 5 | 28 | 33 |
| Q2 | 3 | 36 | 39 |
| Q3 | 1 | 30 | 31 |
| Q4 | 0 | 34 | 34 |
2024
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Total | 43 | 54 | 97 |
| Q1 | 4 | 25 | 29 |
| Q2 | 6 | 25 | 31 |
| Q3 | 33 | 4 | 37 |
2018 to 2024
| Period | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Grand Total | 126 | 1,631 | 1,757 |
Notes
Data is taken from Automatic Enrolment casework data.
The time period covered by the above data is 1st January 2018 to 30th September 2024.
Industry sector
| Industry sector (based on SIC code) | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| A - Agriculture, Forestry and Fishing | 0 | 3 | 3 |
| B - Mining and Quarrying | 0 | 2 | 2 |
| C - Manufacturing | 7 | 90 | 97 |
| D - Electricity, Gas, Steam and Air Conditioning Supply | 0 | 2 | 2 |
| E - Water Supply; Sewerage, Waste Management and Remediation activities | 2 | 7 | 9 |
| F - Construction | 7 | 107 | 114 |
| G - Wholesale and Retail Trade; Repair of Motor Vehicles and Motorcycles | 10 | 129 | 139 |
| H - Transportation and Storage | 7 | 67 | 74 |
| I - Accommodation and Food Service activities | 5 | 181 | 186 |
| J - Information and Communication | 3 | 45 | 48 |
| K - Financial and Insurance activities | 0 | 30 | 30 |
| L - Real Estate activities | 0 | 23 | 23 |
| M - Professional, Scientific and Technical activities | 4 | 93 | 97 |
| N - Administrative and Support Service activities | 9 | 164 | 173 |
| O - Public Administration and Defence; Compulsory Social Security | 0 | 2 | 2 |
| P - Education | 4 | 18 | 22 |
| Q - Human Health and Social Work activities | 8 | 112 | 120 |
| R - Arts, Entertainment and Recreation | 2 | 23 | 25 |
| S - Other service activities | 6 | 76 | 82 |
| Z - No match | 52 | 457 | 509 |
| Grand Total | 126 | 1,631 | 1,757 |
Notes
Data is taken from Automatic Enrolment casework data.
Where the organisation subject to the case is incorporated, a match to Companies House is made on the organisation's Company Number.
Where a match to Companies House is made, and the organisation has registered one SIC code with Companies House, a matched SIC Section is returned.
An SIC code is a condensed list of codes for providing Companies House with a description of a company's nature of business.
The time period covered by the above data is 1st January 2018 to 30th September 2024.
Reason for request being made
| Reason for request being made | Section 72 - PA 2004: Demand information for occupational and personal pension schemes | Section 72(1A) - PA 2004: Demand information (AE) | Grand Total |
|---|---|---|---|
| Automatic Enrolment duties breach | 78 | 1,240 | 1,318 |
| Late payment of contributions | 48 | 391 | 439 |
| Grand total | 126 | 1,631 | 1,757 |
Notes
Data is taken from Automatic Enrolment casework data.
The time period covered by the above data is 1st January 2018 to 30th September 2024.
Annex B
Quarterly summary of Pensions Act 2004 s72, s72a, s73, s78 powers used in scheme compliance
2018
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 162 | 0 | 1 | 4 | 167 |
| Q1 | 44 | 0 | 1 | 4 | 49 |
| Q2 | 29 | 0 | 0 | 0 | 29 |
| Q3 | 40 | 0 | 0 | 0 | 40 |
| Q4 | 49 | 0 | 0 | 0 | 49 |
2019
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 104 | 0 | 0 | 0 | 104 |
| Q1 | 33 | 0 | 0 | 0 | 33 |
| Q2 | 19 | 0 | 0 | 0 | 19 |
| Q3 | 18 | 0 | 0 | 0 | 18 |
| Q4 | 34 | 0 | 0 | 0 | 34 |
2020
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 67 | 0 | 0 | 0 | 67 |
| Q1 | 14 | 0 | 0 | 0 | 14 |
| Q2 | 10 | 0 | 0 | 0 | 10 |
| Q3 | 30 | 0 | 0 | 0 | 30 |
| Q4 | 13 | 0 | 0 | 0 | 13 |
2021
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 95 | 0 | 0 | 0 | 95 |
| Q1 | 24 | 0 | 0 | 0 | 24 |
| Q2 | 35 | 0 | 0 | 0 | 35 |
| Q3 | 23 | 0 | 0 | 0 | 23 |
| Q4 | 13 | 0 | 0 | 0 | 13 |
2022
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 35 | 1 | 0 | 0 | 36 |
| Q1 | 8 | 0 | 0 | 0 | 8 |
| Q2 | 3 | 0 | 0 | 0 | 3 |
| Q3 | 11 | 1 | 0 | 0 | 12 |
| Q4 | 13 | 0 | 0 | 0 | 13 |
2023
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 41 | 0 | 0 | 0 | 41 |
| Q1 | 13 | 0 | 0 | 0 | 13 |
| Q2 | 8 | 0 | 0 | 0 | 8 |
| Q3 | 9 | 0 | 0 | 0 | 9 |
| Q4 | 11 | 0 | 0 | 0 | 11 |
2024
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Total | 64 | 6 | 0 | 0 | 70 |
| Q1 | 1 | 0 | 0 | 0 | 1 |
| Q2 | 15 | 0 | 0 | 0 | 15 |
| Q3 | 12 | 3 | 0 | 0 | 15 |
| Q4 | 36 | 3 | 0 | 0 | 39 |
2018 to 2024
| Period | PA95 s98, PA04 s72 | PA04 s72A | PA95 s99, PA04 s73 | PA95 s100, PA04 s78(2)(a) | Grand total |
|---|---|---|---|---|---|
| Grand total | 568 | 7 | 1 | 4 | 580 |
| Legislative reference | Description |
|---|---|
| PA95 s98, PA04 s72 | Demand information and documents for occupational and personal pension schemes |
| PA04 s72A | Requirement to attend for Interview |
| PA95 s99, PA04 s73 | Inspect premises |
| PA95 s100, PA04 s78(2)(a) | Obtain a warrant from Magistrates Court to search premises and seize documents |
Notes
The time period covered by the above data is 1st January 2018 to 31st December 2024.