In most cases, the regulator will tell employers about their upcoming inspection, but they could also make a surprise visit.
Why the regulator makes these inspections
As the UK’s regulator for workplace pensions, it’s The Pensions Regulator’s role to check that employers are complying with their auto-enrolment duties and any other legal requirements, such as paying contributions on time.
Employers also have the responsibility to carry out their duties and to provide the regulator with the evidence they require during an inspection. Inspections will usually take place during normal business hours. Unless it’s an unannounced inspection, employers will normally be sent a written ‘Notice of Inspection’ containing the information and documents that they’ll need to provide the inspector with.
What employers can do to prepare for an inspection by The Pensions Regulator
We’ve developed a handy guide to support employers in preparing for an inspection from The Pensions Regulator.
Its aim is to give an overview of what the regulator may ask for during the inspection and includes a checklist for employers to work through and record comments on if they wish.
Download our guide to meeting The Pensions Regulator’s inspection requirements:
What might the regulator ask to see?
The regulator may request to see some of the following:
- Copies of opt-out notices
- Copies of opt-in and joining notices
- Evidence of enrolment into a relevant pension scheme
- Evidence of contributions paid
- Any other relevant records about your workforce
By managing your workplace pension scheme with The People’s Pension, you’ll already have most of the information that The Pensions Regulator may ask for.
What happens after an inspection?
Once you’ve had your inspection, The Pensions Regulator will then review the information that you have provided and may make further enquiries.
They’ll aim to be in contact within 4 weeks of the inspection to confirm whether they are satisfied with how the inspection went or whether they need additional information.