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The Employers' Duties (Registration and Compliance) Regulations 2010
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- UK Statutory Instruments
- 2010 No. 5
- PART 3
- Penalties
- Regulation 14
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Penalty notices: Prohibited recruitment conductE+W+S
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14.—(1) This regulation applies where the Regulator issues a penalty notice to an employer if the Regulator is of the opinion that the employer—
(a)has contravened section 50 of the Act; or
(b)has failed to comply with a compliance notice under section 51 of the Act.
(2) The penalty is to be determined in accordance with Table 2 and the following paragraphs.
Table 2
| Number of persons | Penalty (£) |
|---|---|
1-4 5-49 50-249 250 or more | 1000 1500 2500 5000 |
(3) In the first column of Table 2, the expression “Number of persons” is to be construed in accordance with paragraphs (4) [F1, (4A)] and (5).
[F2(4) It is the relevant number except that—
(a) where paragraph (4A) applies the number of persons is the number of persons in the employer’s PAYE scheme or schemes that are employed by the employer;
(b)where paragraph (4A) does not apply and, in the Regulator’s opinion the relevant number is not known, paragraph (6) applies.
(4A) This paragraph applies where—
(a) the Regulator is of the opinion that an employer’s PAYE scheme includes (or where the Regulator is of the opinion that the employer has more than one PAYE scheme, the schemes include) persons who are not employed by the employer; and
(b) the number of persons in the employer’s PAYE scheme (or where the Regulator is of the opinion that the employer has more than one PAYE scheme, the schemes) who are employed by the employer is known to the Regulator.]
(5) In this regulation, the Regulator must use the latest information—
(a)reasonably available to it up to and including the day on which it issues a penalty notice; and
(b)[F3including information] disclosed to it under section 88 of the Pensions Act 2004.
(6) Where this paragraph applies, the penalty must be treated as being £1000.
[F4(7) In this regulation, “relevant number” means the number of persons within an employer’s PAYE scheme or, where the Regulator is of the opinion that the employer has more than one PAYE scheme, the total number of persons within those schemes.]
Textual Amendments
F1Words in reg. 14(3) inserted (1.7.2012) by The Automatic Enrolment (Miscellaneous Amendments) Regulations 2012 (S.I. 2012/215), regs. 1(2)(c), 16(2)
F2Reg. 14(4)(4A) substituted for reg. 14(4) (1.7.2012) by The Automatic Enrolment (Miscellaneous Amendments) Regulations 2012 (S.I. 2012/215), regs. 1(2)(c), 16(3)
F3Words in reg. 14(5)(b) inserted (1.7.2012) by The Automatic Enrolment (Miscellaneous Amendments) Regulations 2012 (S.I. 2012/215), regs. 1(2)(c), 16(4)
F4Reg. 14(7) inserted (1.7.2012) by The Automatic Enrolment (Miscellaneous Amendments) Regulations 2012 (S.I. 2012/215), regs. 1(2)(c), 16(5)
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