Key Facts
- •Dave Electrical Services Ltd (Employer) failed to comply with a compliance notice (CN) to file a redeclaration of compliance by 3rd May 2023.
- •A fixed penalty notice (FPN) of £400 was issued under s. 40 of the Pensions Act 2008.
- •The Employer claimed non-receipt of the CN and other documents, despite receiving the FPN.
- •The Regulator asserted that attempts were made to contact the Employer, including a phone call warning about the approaching deadline.
- •A review of the FPN by the Regulator confirmed the penalty.
Legal Principles
A person issued with an FPN may refer the matter to the Tribunal after applying for a review with the Regulator.
s. 44 of the Pensions Act 2008
The Tribunal's role is to decide on the appropriate action for the Regulator, confirming, varying, or revoking the FPN and remitting the matter.
s. 44 of the Pensions Act 2008
Ignorance of the law is not a defence to a penalty.
Implicit in the judge's reasoning
Presumption of service: if post is properly addressed and sent, it's deemed received unless evidence proves otherwise.
s7 Interpretation Act 1978 and Employers Duties (Registration and Compliance) Regulations 2010 (SI 2010/5), Regulation 15
Outcomes
The reference is dismissed, and the matter is remitted to the Regulator. The FPN is confirmed.
The Employer failed to provide a proper basis for non-compliance with the CN. The presumption of service was not rebutted, and the Regulator's actions were deemed proper.