The Scotch Whisky Regulations 2009

Regulation 9(1)

SCHEDULE 1DISTILLERIES TO WHICH REGULATION 9(1) APPLIES

Regulation 9(3)

SCHEDULE 2CIRCUMSTANCES IN WHICH REGULATION 9(2) DOES NOT APPLY

Regulation 9(2) does not apply where a distillery has changed its name and the new name for the distillery is used as a brand name, or as part of a brand name (or is used in a similar fashion in terms of its position or prominence) for a Scotch Whisky distilled at that distillery before the new name had been adopted.

Regulation 10(2)

SCHEDULE 3CIRCUMSTANCES IN WHICH REGULATION 10(1) DOES NOT APPLY

1.  Regulation 10(1) does not apply where the name of a protected locality or a protected region forms part of a trade mark or company name registered before 1^st September 2009 and the name of the protected locality or protected region is only included on the labelling or packaging of a Scotch Whisky, or a Scotch Whisky-based drink, as part of that trade mark or company name.

2.  Regulation 10(1) does not apply where the name of a protected locality or a protected region is mentioned only as part of the address of the distiller, producer, bottler, brand owner or seller of the drink.

3.  In relation to a Blended Malt Scotch Whisky, a Blended Grain Scotch Whisky or a Blended Scotch Whisky, regulation 10(1) does not apply where—

(a)a protected locality or protected region is only mentioned by a reference to the individual whiskies that have been blended together to make the whisky; and

(b)the individual whiskies that have been blended together to make the whisky were not distilled anywhere else but in the specified localities or regions.

4.  Regulation 10(1) does not apply where a brand owner refers in the labelling, packaging or advertising of one of their brands of Scotch Whisky to another brand of Scotch Whisky owned by them and the reference to the other brand includes a reference to a protected locality or protected region in which that other brand is distilled.

Regulation 34(2)

SCHEDULE 4FACTORS TO BE TAKEN INTO ACCOUNT IN DETERMINING THE AMOUNT OF A PENALTY

PART 1Aggravating factors

1.  Seriousness of the non-compliance.

2.  Financial harm to consumers.

3.  Financial harm to competitors.

4.  Duration of non-compliance.

5.  Evidence of intention behind the non-compliance.

6.  History of non-compliance of the person (“P”) to whom the penalty notice is to be given.

7.  Financial gain made by P as a result of the non-compliance.

8.  Financial resources of P.

9.  Size of P’s business.

10.  Availability of the non-compliant product, including the number of retail shops in which it has been marketed.

11.  Where P is a retailer with a number of retail shops, the number of retail shops operated by them (whether or not there is evidence that the non-compliant product has been, or may have been, marketed in all of those shops).

12.  The conduct of P after the non-compliance is drawn to their attention by an enforcement authority.

13.  Previous action taken by the enforcement authority to help P comply with the Regulations.

PART 2Mitigating factors

1.  Action taken to eliminate or reduce the risk of harm resulting from the non-compliance.

2.  Action taken by P to repair the harm done by the non-compliance.

3.  Any co-operation given to the enforcement authority by P in responding to the non-compliance.

4.  Whether P reported the non-compliance to the enforcement authority.

5.  Financial resources of P.

6.  Size of P’s business.

7.  Availability of the non-compliant product, including the number of retail shops in which it has been marketed.

8.  The conduct of P after the non-compliance is drawn to their attention by an enforcement authority.

9.  Where the non-compliance was committed by an employee of P, the extent to which the employee was acting outside of their authority.