STATUTORY INSTRUMENTS 
2009 No. 2890 
FOOD 
The Scotch Whisky Regulations 2009 
Made  - - - - 26th October  2009 
Laid before Parliament  30th October  2009 
Coming into force  - - 23rd November 2009 
CONTENTS 
1. Title, commencement and application 
2. Repeal and revocation 
3. Definition of “Scotch Whisky”  and categories of Scotch Whisky 
4. General interpretation 5. Manufacture 
6. Marketing 
7. Movement from Scotland to another country 8. Compulsory sales descriptions 9. Names of distilleries and distillers etc. 
10. Locality and region geographical indications 
11. Use of the words ‘pure’ and ‘malt’ and derivations 
12. Maturation, age and distillation statements 
13. Transitional provisions relati ng to labelling and packaging 
14. Transitional provisions relati ng to advertising and promotion 
15. Designation 16. Enforcement 
17. Appointment of officers 
18. Duty to give assistance and provide information 
19. Powers of entry 
20. Powers of an authorised officer 
21. Procedure on seizure 22. Improvement notices 23. Appeals against improvement notices 
24. Powers relating to appeals 
25. Publication of notices 26. Obstruction 27. Offences 
28. Fines 
29. Offences by bodies corporate etc. 30. Default of third person  231. Defences 
32. Giving of penalty notice for penalty offence 
33. Contents and form of penalty notice 
34. Amount of penalty 35. Restriction on proceedings for penalty offence 36. Payment of penalty 
37. Certificate of payment or non-payment of a penalty 
38. Penalty receipts 39. Withdrawal of penalty notice 
40. Civil remedy 
41. Giving of notices 
 
 SCHEDULE 1 — DISTILLERIES TO WHICH REGULATION 9(1) APPLIES 
 SCHEDULE 2 — CIRCUMSTANCES IN WHICH REGULATION 9(2) DOES 
NOT APPLY 
 SCHEDULE 3 — CIRCUMSTANCES IN WHICH REGULATION 10(1) DOES 
NOT APPLY 
 SCHEDULE 4 — FACTORS TO BE TAKEN INTO ACCOUNT IN 
DETERMINING THE AMOUNT OF A PENALTY 
 PART 1 — Aggravating factors  PART 2 — Mitigating factors 
These Regulations are made in exercise of the powers conferred by section 2(2) of the European 
Communities Act 1972( a). 
The Secretary of State( b) is a Minister designated( c) for the purposes of section 2(2) of the 
European Communities Act 1972 in relation to measures relating to the description of, and other 
requirements relating to, spirit drinks. 
There has been open and transparent public consultation during the preparation of the following 
Regulations as required by Article 9 of Regulation (EC) No 178/2002 of the European Parliament 
and of the Council( d) laying down the general principles and requirements of food law, 
establishing the European Food Safety Authori ty and laying down procedures in matters of food 
safety. 
Accordingly, the Secretary of State makes the following Regulations. 
Title, commencement and application 
1.—(1) These Regulations may be cited as the Scotch Whisky Regulations 2009 and come into 
force on 23rd November 2009. 
                                                                                                                                            
(a) 1972 c. 68.  
(b) The functions of the Minister of Agriculture, Fisheries and Food  were transferred to the Secretary of State by the Ministry 
of Agriculture, Fisheries and Food (Dissolution) Order 2002 (S.I. 2002/794). Under section 57 of the Scotland Act 1998 (c. 46), despite the transfer to Scottish Ministers of Community law related functions in respect of devolved matters, the function of the Secretary of State continues to be exercisable by the Secretary of State as regards Scotland for the purposes specified in section 2(2) of the European Communities Act 1972. 
(c) S.I. 1989/1327, to which there are amendments not relevant to these Regulations. 
(d) OJ No L 31, 1.2.2002, p 1, last amended by Commission Regulation (EC) No 596/2009 (OJ No L 188, 18.7.2009, p 14).  3(2) These Regulations apply to drinks and whisky dist illates (whether in the form of a drink or 
not) manufactured in the United Kingdom. 
Repeal and revocation 
2.—(1) The Scotch Whisky Act 1988( a) is repealed. 
(2) The Scotch Whisky (Northern Ireland) Order 1988( b) is revoked. 
Definition of “Scotch Whisky” and categories of Scotch Whisky 
3.—(1) In these Regulations “Scotch Whisky” means a whisky produced in Scotland— 
(a) that has been distilled at a distillery in Sco tland from water and malted barley (to which 
only whole grains of other cereals may be added) all of which have been— 
(i) processed at that distillery into a mash; 
(ii) converted at that distillery into a fermentable substrate only by endogenous enzyme 
systems; and 
(iii) fermented at that distillery only by the addition of yeast; 
(b) that has been distilled at an alcoholic strength by volume of less than 94.8 per cent so that 
the distillate has an aroma and taste derived from the raw materials used in, and the 
method of, its production; 
(c) that has been matured only in oak casks of a capacity not exceeding 700 litres; 
(d) that has been matured only in Scotland; 
(e) that has been matured for a period of not less than three years; 
(f) that has been matured only in an excise warehouse or a permitted place; 
(g) that retains the colour, aroma and taste derived from the raw materials used in, and the 
method of, its production and maturation; 
(h) to which no substance has been added, or to which no substance has been added except— 
(i) water; 
(ii) plain caramel colouring; or 
(iii) water and plain caram el colouring; and 
(i) that has a minimum alcoholic strength by volume of 40%. 
(2) In these Regulations— 
“Single Malt Scotch Whisky” means a Scotch Whisky that has been distilled in one or more 
batches— 
(a) at a single distillery; 
(b) from water and malted barley without the addition of any other cereals; and 
(c) in pot stills; 
“Single Grain Scotch Whisky” means a Scot ch Whisky that has been distilled at a single 
distillery except— 
(a) Single Malt Scotch Whisky; or 
(b) a Blended Scotch Whisky; 
“Blended Malt Scotch Whisky” means a blend of two or more Single Malt Scotch Whiskies 
that have been distilled at more than one distillery; 
“Blended Grain Scotch Whisky” means a blend of two or more Single Grain Scotch Whiskies 
that have been distilled at more than one distillery; and 
                                                                                                                                            
(a) 1988 c. 22. 
(b) S.I. 1988/1852 (N.I. 19).  4“Blended Scotch Whisky” means a blend of one or more Single Malt Scotch Whiskies with 
one or more Single Grai n Scotch Whiskies. 
General interpretation 
4.—(1) In these Regulations— 
“authorised officer” means any person appointed by an enforcement authority under regulation 
17; 
“blending” has the meaning given in the first sub-paragraph of paragraph (7) of Annex I to 
Regulation (EC) No 110/2008 as it applies in rel ation to a combination of whiskies and 
“blend” and “blended” shall be construed accordingly; 
“enforcement authority” means an aut hority exercising a function conferred on it by regulation 
16; 
“excise warehouse” means a place of security approved under section 92(1) of the Customs 
and Excise Management Act 1979( a) or section 15(1) of the Alcoholic Liquor Duties Act 
1979( b); 
“food authority”— (a) in relation to England, means— 
(i) a county council; 
(ii) a metropolitan district council; 
(iii) a non-metropolitan district council for an area for which there is no county council; 
(iv) a London borough council; 
(v) the Common Council of the City of London (i n their capacity as a local authority); 
and 
(vi) the Council of the Isles of Scilly; 
(b) in relation to Northern Ireland, means a district council; 
(c) in relation to Scotland, means a council c onstituted under section 2 or 3 of the Local 
Government etc. (Scotland) Act 1994( c); and 
(d) in relation to Wales, means a county council or a county borough council; 
“manufacture” includes— (a) keeping for the purpose of maturation; and 
(b) keeping, or using, for the purpose of blending, except  for domestic blending for domestic 
consumption; 
“officer” — 
(a) in relation to a body corporate, means a director, member of the committee of 
management, chief executive, manager, secretary or other similar officer of the body; and 
(b) in relation to an unincorporated body, means any member of its governing body or a chief 
executive, manager or other similar officer of the body; 
“packaging” has the meaning given in paragraph (17) of Annex I to Regulation (EC) No 
110/2008; 
“penalty” means the amount specified in a penalty notice; “penalty notice” means a notice offering the opportunity, by payment, in accordance with 
these Regulations, of a specified amount, to di scharge any liability to be convicted of the 
penalty offence to which the notice relates; 
                                                                                                                                            
(a) 1979 c. 2, to which there are amendments not relevant to these Regulations. 
(b) 1979 c. 4. 
(c) 1994 c. 39.  5“penalty offence” means an offence for which a penalty notice may be given under regulation 
32; 
“permitted place”, in relation to a place where a whisky has been matured in Scotland, means 
any place in Scotland to which a whisky (or whisky distillate) that had previously been matured in an excise warehouse in Scotland is moved for a purpose mentioned in sub-
paragraph (a), (b), (c), (d) or (f) of regulation 16(2) of the Excise Warehousing (Etc.) 
Regulations 1988( a); 
“port health authority” means— (a) in relation to the London port health district  (within the meaning given by section 7(1) of 
the Public Health (Control of Disease) Act 1984( b)), the Common Council of the City of 
London; and 
(b) in relation to any port health district constituted by order under section 2(3) of that Act, 
the port health authority for that district; 
“premises” includes any place, vehicle or trailer, shipping container (whether used for 
transporting cargo or for storage), stall or moveable structure, ship or aircraft; 
“presentation” has the meaning given in paragraph  (15) of Annex I to Regulation (EC) No 
110/2008; 
“protected locality” means a localit y mentioned in regulation 10(5); 
“protected region” means a region me ntioned in regulation 10(6); 
“Regulation (EC) No 110/2008” m eans Regulation (EC) No 110/2008( c) of the European 
Parliament and of the Council on the definition, description, presentation, labelling and the protection of geographical indi cations of spirit drinks and repealing Council Regulation (EEC) 
No 1576/89; 
“relevant court” means— 
(a) in relation to England, Northern Ir eland and Wales, a magistrates’ court; and 
(b) in relation to Scotland, a sheriff court; 
“sell” includes offer or expose for sale or have in possession for sale; 
“whisky” has the meaning given in point 2 of Annex II to Regulation (EC) No 110/2008; 
“whisky-based drink” means a drink, other than  whisky, that contains whisky; and 
“whisky distillate” means a whisky distillate as described in point 2(a)(i) and (ii) of Annex II 
to Regulation (EC) No 110/2008. 
(2) Other expressions used in these Regulations and Regulation (EC) No 110/2008 have their 
meanings in Regulation (EC) No 110/2008. 
(3) In these Regulations “container” (except as used in the expression “shipping container”) has 
the same meaning as in paragraph (16) of Annex I to Regulation (EC) No 110/2008, and includes any cap or other device by which the receptacle has been closed, any tag attached to the 
receptacle, and any sheathing covering its neck, and— 
(a) any reference to a container of Scotch Whisky must be construed as a reference to a 
container into which Scotch Whisky has been put for the purpose of subsequent sale; and 
(b) any reference to the front of a container includes a reference to any label attached to the 
front of a container. 
(4) In these Regulations any reference to the labe lling of Scotch Whisky must be construed as a 
reference to the labelling of a container of Scot ch Whisky for the purposes of subsequent sale 
(whether by attaching a label to the container, direct printing onto the container, moulding on the 
container or any other method by whi ch information is included on a container). 
                                                                                                                                            
(a) S.I. 1988/809. 
(b) 1984 c. 22. 
(c) OJ L 39, 13.2.2008, p 16, as last amended by Regulation (EC) No 1334/2008 of the European Parliament and of the Council 
(OJ No L 354, 31.12.2008, p 34).  6(5) In these Regulations any reference to the packagi ng of Scotch Whisky must be construed as 
a reference to the packaging of a container of Scot ch Whisky for the purposes of subsequent sale. 
Manufacture 
5.—(1) A person must not manufacture a whisky dist illate in Scotland unless it is manufactured 
in the manner described in regulation 3(1)(a) and (b). 
(2) A person must not manufacture any whisky  in Scotland except Scotch Whisky. 
Marketing 
6.—(1) A person must not label, package, sell, ad vertise or promote any drink as Scotch Whisky 
or Scotch if it is not Scotch Whisky. 
(2) A person must not label, package, sell, advertise or promote any drink in any other way that 
creates a likelihood of confusion on the part of the public as to whether the drink is Scotch 
Whisky. 
Movement from Scotland to another country 
7.—(1) A person must not move any of the following categories of Scotch Whisky from 
Scotland to another country in a wooden cask or other wooden holder— 
(a) Single Grain Scotch Whisky; 
(b) Blended Malt Scotch Whisky; 
(c) Blended Grain Scotch Whisky; or 
(d) Blended Scotch Whisky. 
(2) During the period until (and including) 22nd November 2012, a person must not move any 
Single Malt Scotch Whisky from Scotland to another country in a wooden cask or other wooden 
holder. 
(3) On and after 23rd November 2012 a person must not move any Single Malt Scotch Whisky 
from Scotland to another country except in a bottle (made of any inert material) that is labelled for 
retail sale. 
(4) For the purposes of this regulation a person is  regarded as having moved Scotch Whisky 
from Scotland to another country if they— 
(a) physically move the whisky from Scotland to another country; or 
(b) arrange (whether directly or through a third part y) for another person to physically move 
the whisky from Scotland to another country. 
(5) In this regulation “retail sale” means any sale except a sale for use or resale in the course of a 
trade or business. 
Compulsory sales descriptions 
8.—(1) The category into which a Scotch Whisky falls must be stated on— 
(a) the front of a container of Scotch Whisky; and 
(b) any individual packaging used for the transportati on of the container, or used for display 
purposes during the marketing of the whisky, unless, in both cases, the front of the 
container is clearly visibl e through that packaging. 
(2) The categories are— 
(a) Single Malt Scotch Whisky; 
(b) Single Grain Scotch Whisky; 
(c) Blended Malt Scotch Whisky; 
(d) Blended Grain Scotch Whisky; and  7(e) Blended Scotch Whisky. 
(3) The name of the category must be— 
(a) printed in a conspicuous place in such a way as to be easily visible and legible to the 
naked eye and indelible so that it is clear th at it is the sales description of the whisky; 
(b) printed in a way that gives equal prominence to each word making up the name of the 
category; and 
(c) as prominent as any other description of the wh isky on the container or packaging, except 
for— 
(i) any separate use of the description “Scotch Whisky”; 
(ii) any statement relating to the year in wh ich the whisky was distilled, the year in 
which it was bottled, the period for which it was matured or the age of the whisky; and 
(iii) any descriptive word or words forming part of the brand name. 
(4) The name of the category must not be— 
(a) overlaid or interrupted by other written or pictorial matter; or 
(b) used in conjunction with any other words. 
(5) But paragraph (4)(b) does not prevent the name  of a Scottish locality or region from being 
appended to the name of the category of the whisky  to indicate where the Scotch Whisky was 
distilled if — 
(a) it appears immediately before the name of the category; 
(b) the whisky was distilled in the named locality or region; and 
(c) the use of that name does not otherwise contravene regulation 10. 
(6) A person must not label, package or sell any Scot ch Whisky in a way that does not comply 
with paragraph (1), (3) or (4). 
(7) A person must not label, package, sell, advertise or promote any Scotch Whisky as falling 
within a category if it does not fall into that category. 
Names of distilleries and distillers etc. 
9.—(1) The name of a distillery mentioned in Schedule 1 must not be used as a brand name, or 
as part of a brand name of a Scotch Whisky, or be used in a similar fashion in terms of its 
positioning or prominence, unless the whisky ha s been wholly distilled at that distillery. 
(2) Any name adopted for a Scotch Whisky distille ry after these Regulations come into force, 
including the name of a new or re-opened Scotch Whisk y distillery, must not be used by the 
proprietor of that distillery as a brand name, or as part of a brand name, for a Scotch Whisky, or be 
used in a similar fashion in terms of its position or prominence, unless the Scotch Whisky has been wholly distilled at that distillery. 
(3) But paragraph (2) does not apply in th e circumstances specified in Schedule 2. 
(4) Scotch Whisky must not be labelled, packag ed, advertised or promoted in any other way 
that, having regard to the presentation of the product  as a whole, creates a likelihood that the 
public may think that it has been distilled at any distillery or place other than the distillery or place 
at which it was actually distilled. 
(5) Single Malt Scotch Whisky and Si ngle Grain Scotch Whisky must not be labelled, packaged, 
advertised or promoted in any way that, having regard to the presentation of the product as a 
whole, creates a likelihood that the public may thi nk that the whisky was distilled by any person 
other than the person who distilled it, or the owner or operator of the distillery at which it was 
distilled, whether by an indication that that perso n is the distiller, the owner or operator of the 
distillery, or otherwise.  8(6) A person must not label, package, advertise or promote any Scotch Whisky in a way that 
contravenes the requirements of paragraph (1), (2), (4) or (5), or sell any Scotch Whisky that has 
been labelled or packaged in that way. 
Locality and region ge ographical indications 
10.—(1) A whisky or whisky-based drink must not be labelled, packaged, advertised or 
promoted in a way that includes the name of a protected locality or a protected region unless— 
(a) in the case of whisky, the whisky is Scotch Whisky that has been di stilled in that locality 
or region; or 
(b) in the case of a whisky-based drink, the on ly whisky in the drink is Scotch Whisky that 
has been distilled in that locality or region. 
(2) But paragraph (1) does not apply in th e circumstances specified in Schedule 3. 
(3) A whisky or whisky-based drink must not be labelled, packaged, advertised or promoted in a 
way that includes any reference to a name that is similar to the name of a protected locality or 
protected region if, having regard to the presenta tion of the product as a whole, the reference may 
create a likelihood of confusion on the part of the public as to where the whisky or whisky-based drink was distilled. 
(4) A person must not label, package, advertise or prom ote any whisky or whisky-based drink in 
a way that contravenes paragraph (1) or (3), or sell any whisky or whisky-based drink that has been labelled or packaged in that way. 
(5) The protected localities are— 
(a) “Campbeltown”, comprising the South Kintyre ward of the Argyll and Bute Council as 
that ward is constituted in the Argyll and Bute (Electoral Arrangements) Order 2006( a); 
and 
(b) “Islay”, comprising the Isle of Islay in Argyll. 
(6) The protected regions are— 
(a) “Highland”, comprising that part of Scotland  that is north of the line dividing the 
Highland region from the Lowland region; 
(b) “Lowland”, comprising that part of Scotland that is south of the line dividing the 
Highland region from the Lowland region; and 
(c) “Speyside”, comprising— 
(i) the wards of Buckie, Elgin City Nort h, Elgin City South, Fochabers Lhanbryde, 
Forres, Heldon and Laich, Keith and Cullen and Speyside Glenlivet of the Moray Council as those wards are constituted in the Moray (Electoral Arrangements) Order 2006( b); and 
(ii) the Badenoch and Strathspey ward of the Highland Council as that ward is 
constituted in the Highland (Electoral Arrangements) Order 2006( c). 
(7) In this regulation “the line dividing the Highland region from the Lowland region” means the 
line beginning at the North Channel and running along the sout hern foreshore of the Firth of Clyde 
to Greenock, and from there to Cardross Station, then eastwards in a straight line to the summit of 
Earl’s Seat in the Campsie Fells, and then eastward s in a straight line to the Wallace Monument, 
and from there eastwards along the line of the B998 and A91 roads until the A91 meets the M90 
road at Milnathort, and then along the M90 northwards until the Bridge of Earn, and then along 
the River Earn until its confluence with the River Ta y, and then along the southern foreshore of 
that river and the Firth of Tay until it comes to the North Sea. 
                                                                                                                                            
(a) S.S.I. 2006/378. 
(b) S.S.I. 2006/372. 
(c) S.S.I. 2006/481.  9Use of the words ‘pure’ and ‘malt’ and derivations 
11. A person must not label, package, sell, advertis e or promote any Scotch Whisky in a way 
that includes— 
(a) the phrase ‘pure malt’ or any derivation of that phrase; or 
(b) the words ‘pure’ and ‘malt’, or any derivation of those words in a way that, although the 
words are separated from each other (whether by  text or otherwise), the word ‘pure’ (or 
any derivation of it) is used adjectivally in  connection with the word ‘malt’ (or any 
derivation of it). 
Maturation, age and distillation statements 
12.—(1) Without prejudice to the obligation to com ply with the directly applicable requirements 
of Article 12(3) of Regulation (EC) No 110/2008 (w hich requires, among other things, that any 
maturation period or age may only be specified in the description, presentation or labelling of a 
spirit drink where it refers to the youngest alcoholic component in the drink), a person must not 
label, package, sell, advertise or promote any Scotch Whisky in a way that includes a reference to 
its maturation period or age unless the maturation period or age is expressed in years.  
(2) A person must not label, package, sell, advertis e or promote any Scotch Whisky in a way 
that includes a reference relating to when it was distilled unless—  
(a) the reference relates to a single calendar year;  
(b) all of the whisky in the drink was distilled in that year;  
(c) the presentation of the whisky also includes a reference to—  
(i) the year of bottling of the whisky;  
(ii) the maturation period of the whisky; or  
(iii) the age of the whisky; and  
(d) the reference to the year of bottling, the maturation period, or age of the whisky appears 
in the same field of vision as the reference to the year of distillation. 
(3) A person must not label, package, sell, advertis e or promote any Scotch Whisky in a way 
that includes a reference to any number (however expressed) if the reference to that number may create a likelihood of confusion on the part of the public as to whether the number relates to the 
maturation period of the whisky, its age or when it was distilled. 
Transitional provisions relating to labelling and packaging 
13.—(1) A person is not to be taken to have contravened, or to have failed to comply with, 
regulation 8, 9, 10, 11 or 12 by reason of the labelling or packaging of any whisky or whisky-
based drink on or before 22nd November 2011. 
(2) It is for a person seeking to rely on paragraph (1) in relation to any whisky or whisky-based 
drink to prove that the drink was labelled or packaged on or before 22nd November 2011. 
Transitional provisions rel ating to advertising and promotion 
14. A person is not to be taken to have contravened, or to have failed to comply with regulation 
8, 9, 10, 11 or 12 by reason of the advertising or promotion of any whisky or whisky-based drink 
on or before 22nd November 2011. 
Designation 
15. In relation to Scotch Whisky, the Co mmissioners for Her Majesty’s Revenue and Customs 
are designated as a competent authority for the purpose of Article 24(1) of Regulation (EC) No  10110/2008 in relation to the verification functi on imposed on them by regulation 5(1) of the Spirit 
Drinks Regulations 2008( a). 
Enforcement 
16. —(1) Each food authority must enforce the provisions of these Regulations within its area. 
(2) Each port health authority must enforce the provisions of these Regulations within its 
district. 
Appointment of officers 
17. Each food authority and each port health aut hority must appoint officers for the purposes of 
the enforcement of these Regulations. 
Duty to give assistance and provide information 
18. Each enforcement authority must give such assistance and information to any other 
enforcement authority as it may reasonably require for the purpose of its duties under these 
Regulations. 
Powers of entry 
19.—(1) An authorised officer may enter any premises at any reasonable hour for the purpose of 
ensuring that the provisions of these Re gulations are being complied with. 
(2) The authorised officer may take with them  such other persons as they consider necessary. 
(3) An authorised officer must not exercise the powers under paragraph (1) or (2) except on the 
production, if so required, of a duly auth enticated document showi ng their authority. 
(4) Admission to any premises used only as a private dwellinghouse may not be demanded as of 
right unless 24 hours notice of the intended entry has been given to the occupier or the entry is in 
accordance with a warrant granted under this regulation. 
(5) If a justice of the peace, on sworn information in writing, is satisfied of the matters 
mentioned in paragraph (6), they may sign a warrant permitting an authorised officer to enter any 
premises, if needs be by reasonable force. 
(6) The matters are that— 
(a) there are reasonable grounds for believing that Condition A or B is met; and 
(b) Condition C, D or E is met. 
(7) Condition A is that on the premises there are items or products of the type mentioned in 
regulation 20(1)(a)(i) to (x) or documents or records of the type mentioned in regulation 20(1)(e) 
and that their inspection is likely to disclose eviden ce of a contravention of, or failure to comply 
with, these Regulations. 
(8) Condition B is that a contravention of, or fa ilure to comply with, these Regulations has 
occurred, is occurring or is about to occur on those premises. 
(9) Condition C is that admission to the premises has been, or is likely to be, refused, and that 
the occupier has been informed (whether orally or in writing) that a warrant may be applied for. 
(10) Condition D is that admission to the premises has been, or is likely to be, refused, and 
informing the occupier that a warrant under this  regulation may be applied for may defeat the 
object of the entry. 
(11) Condition E is that the premises are unoccupied or that the occupier is temporarily absent 
and it may defeat the object of the entry to await their return. 
(12) A warrant granted under paragraph (5) — 
                                                                                                                                            
(a) S.I. 2008/3206.  11(a) is valid for one month, beginning with the day on which it is granted; and 
(b) must be produced for inspection to the person (if there is one) who appears to the officer 
to be the occupier, or the person in charge, of the premises. 
(13) An authorised officer who enters any premises that are unoccupied or where the occupier is 
temporarily absent must leave the premises as effectively secured against unauthorised entry as when they found them. 
(14) In this regulation, a reference to a justice of the peace— 
(a) in Scotland includes a reference to a sheriff; and 
(b) in Northern Ireland is a reference to a lay magistrate. 
Powers of an authorised officer 
20.—(1) An authorised officer (“O”) enteri ng premises under regulation 19 may— 
(a) inspect the premises, and any still and any other plant, machinery or equipment on those 
premises, and any of the following items found on those premises— 
(i) any whisky partly or fully packaged ready for sale; 
(ii) any whisky-based drink partly or fully packaged ready for sale; 
(iii) any product purporting to be a whisky or whisky-based drink partly or fully 
packaged ready for sale; 
(iv) any product that O has reasonable grounds for be lieving is regulated by regulation 
6(2); 
(v) any liquid that O has reasonable grounds for believing is a distillate regulated by 
these Regulations (including any vessel  in which the liquid is found); 
(vi) any liquid that, although not packaged ready for sale, O has reasonable grounds for 
believing will be used for a product regulat ed by these Regulations (including any 
vessel in which the liquid is found); 
(vii) any raw material or ingredients that O has reasonable grounds for believing may be 
used to produce any distillate or drink regul ated by these Regulations, including 
colourings and flavourings; 
(viii) any mash that O has reasonable grounds for believing may be used to produce any 
distillate regulated by these Regulations; 
(ix) any packaging or label that O has reasonable grounds for believing may be used for a 
product regulated by these Regulations; 
(x) any advertising or promotional materials relating to a drink, or other documentation 
relating to a distillate or to a drink, that O has reasonable grounds for believing may be used for a product regulated by these Regulations; 
(b) search the premises; 
(c) take samples; 
(d) carry out any inquiries, examinations or tests; 
(e) have access to, and inspect and copy, any documents or records (in whatever form they 
are held) relating to matters covered by these Regulations, and remove them to enable them to be copied; 
(f) have access to, and inspect and check the data on, and operation of, any computer, and 
any associated electronic storage device or apparatus (“computer equipment”) that is, or 
has been in use in connection with, the documents or records mentioned in sub-paragraph (e), including data relating to deleted files and activity logs; and for this purpose O may 
require any person having charge of, or otherwise concerned with the operation of, the 
computer equipment to afford to O such assist ance (including the provision of passwords) 
as O may reasonably require, and, during the course of the checks, O may recover data 
held on the computer equipment; and  12(g) where a document or record mentioned in sub-paragraph (e) is kept by means of a 
computer, require the record to be produced in a form in which it may be taken away. 
(2) O may direct (“a regulation 20(2) direction”) a person (“P”) that the following must be left 
undisturbed for as long as is reasonably necessary for the purpose of any examination or investigation— 
(a) any one or more of the items mentioned in paragraph (1)(a)(i) to (x); 
(b) any document or record mentioned in paragraph (1)(e); 
(c) any computer equipment mentioned in paragraph (1)(f); and 
(d) any premises on or in which any of those items are found. 
(3) P must comply with a regulation 20(2) direction given to them by O. 
(4) A person, other than O and P, who knows about  a regulation 20(2) direction must not 
(although the direction was not given to them) di sturb any item or premises in contravention of the 
terms of the direction. 
(5) O may seize and detain any item of the type mentioned in paragraph (1)(a)(i) to (x) or 
document or record mentioned in paragraph (1)(e) that O has reason to believe may be required as evidence in proceedings under these Regulations. 
(6) O may seize as liable to destruction any product of the type mentioned in paragraph (1)(a)(i), 
(ii) or (iii) that O reasonably believes contravenes any provision of these Regulations. 
(7) O may seize any computer equipment for the purpose of copying documents or records of 
the type mentioned in paragraph (1)(e), and for checking the data on, and operation of, any computer equipment that is, or has been, in use in connection with, those documents or records, 
provided it is returned as soon as practicable and, in  any event, within 28 days, beginning with the 
day on which the equipment is seized. 
(8) If O is not able to remove an item, product or computer equipment seized under paragraph 
(5), (6) or (7) immediately, they may— 
(a) mark it in any way that they see fit; and 
(b) give the person (“P”) appearing to them to be in charge of the item, product or computer 
equipment a notice (“a regulation 20(8) notice”)— 
(i) identifying it; 
(ii) requiring the item or computer equipment to be left undisturbed until it is collected 
by O; and 
(iii) prohibiting the removal of the item,  product or computer equipment from the 
premises on which it was found until it is collected by O. 
(9) P must not contravene a regulation 20(8) notice given to them by O. 
(10) A person, other than O and P, who knows ab out a regulation 20(8) notice, must not 
(although the notice was not given to them ) disturb or remove an item, product or computer 
equipment in contravention of the terms of the notice. 
(11) O must not exercise the powers under this  regulation except on the production, if so 
required, of a duly authenticated document showing their authority. 
Procedure on seizure 
21.—(1) An authorised officer (“O”) must follow the procedures set out in this regulation if they 
seize anything under regulation 20(5), (6) or (7). 
(2) 
O must give to the person appearing to O to be in charge of the premises from which the 
seized item, product or computer equipm ent is seized (“the premises”) a notice that must state— 
(a) what O has seized; 
(b) when O seized it; 
(c) the grounds for the seizure of the item, product or equipment; and  13(d) the address to which, and the period during which, a claim may be made for the return of 
the item, product or equipment. 
(3) But where the premises are unoccupied, or no-one appears to O to be in charge of the 
premises, O must attach a notice to a conspicuo us part of the premises, or to some conspicuous 
object on the premises, containing the informat ion mentioned in sub-paragraphs (a) to (d) of 
paragraph (2). 
(4) A person having a proprietary interest in the seized item, product or computer equipment 
(including a lender who has a debt secured on the item, product or equipment) may notify the 
enforcement authority of any claim th at the seized item, product or e quipment was not liable to 
seizure, setting out the grounds for the claim in full. 
(5) The claim must be made within 28 days of th e seizure, beginning on the day on which the 
seized item, product or computer equipment is seized, to the address specified in the seizure 
notice. 
(6) If a notification of a claim is not received within 28 days in respect of an item seized under 
regulation 20(5), the enforcement authority may retain the seized item for as long as necessary while it is being held for the purpose of any criminal investigation or proceedings or for use as 
evidence at a trial. 
(7) If a notification of a claim is received within 28 days in respect of an item seized under 
regulation 20(5), the enforcem ent authority must— 
(a) return the seized item within 14 days, beginning with the day on which the claim is 
received; or 
(b) retain the seized item or product for as long as necessary while it is being held for the 
purpose of any criminal investigation or proceedings, or for use as evidence at a trial, but it must notify the claimant that the seized item is being retained, and of the reason why it 
is being retained, within 14 days, beginning with the day on which the claim is received. 
(8) If a notification of a claim is not received within 28 days in respect of a product seized under 
regulation 20(6), the enforcement authority may— 
(a) if a decision is taken by the enforcement authori ty not to destroy the seized product but to 
retain it for the purpose of any criminal investigation or proceedings, or for use as evidence at a trial, retain the seized product for as long as necessary for one of those 
purposes, but the enforcement authority must— 
(i) notify the relevant person that the seized product  is being retained, and of the reason 
why it is being retained, within 14 days of the expiry of the claim period, beginning 
with the day after the claim period expires; or 
(ii) where the enforcement authority does not know who the relevant person is, and this 
cannot be ascertained after reasonable enqui ries have been made by the enforcement 
authority, attach a notice to a conspi cuous part of the premises, or a conspicuous 
object on those premises, within 14 days of  the expiry of the claim period, beginning 
with the day after the claim period expires, stating that the seized product is being 
retained, and the reason why it is being retained; or 
(b) destroy the seized product within 28 days, beginni ng with the day after the 28 day claim 
period expires, if it is satisfied that th e product contravenes these Regulations, and— 
(i) notify the relevant person that the seized product has been destroyed within 10 days 
of its destruction, beginning on the day on wh ich the destruction was completed; or 
(ii) where the enforcement authority does not know who the relevant person is, and this 
cannot be ascertained after reasonable enqui ries have been made by the enforcement 
authority, attach a notice to a conspicuous  part of the premises, or to a conspicuous 
object on those premises, within 10 days of the destruction of the product, beginning 
with the day on which the destruction w as completed stating th at the seized product 
has been destroyed. 
(9) In paragraph (8) the “relevant person” means—  14(a) if the enforcement authority knows the identity of a person with a proprietary interest in 
the seized product, that person or (where it knows the identity of more than one person 
with a proprietary interest in the seized property) each of those persons; or 
(b) if the enforcement authority does not know the identity of a person with a proprietary 
interest in the seized product, the person appearing to it to be in charge of the premises. 
(10) In the case of any product destroyed under paragraph (8)(b), the enforcement authority may 
recover the following costs as a debt from any person who had a proprietary interest in the product 
immediately before its destruction (apart from a lender who has a debt secured on the product)— 
(a) the costs of the removal and transport of the product  from the premises to the place at 
which it is stored; 
(b) the costs of the storage of the product for up to 28 days; 
(c) any costs for the removal and transport of the product if it is moved from one place of 
storage to another place of storage; 
(d) the costs of the transport of the product from the place of storage to the place of 
destruction; and 
(e) the costs of the destruction of the product. 
(11) If a notification of a claim is received within 28 days in respect of a product seized under 
regulation 20(6), the enforcem ent authority must— 
(a) return the seized product within 14 days, beginni ng with the day on which the claim is 
received; 
(b) if a decision is taken by the enforcement authori ty not to destroy the seized product but to 
retain it for the purpose of any criminal investigation or proceedings or for use as evidence at a trial, retain the product  for as long as necessary for one of those purposes 
but the enforcement authority must notify the claimant that the seized product is being 
retained, and of the reason why it is being ret ained, within 14 days of the claim, 
beginning with the day on which the claim is received; or 
(c) within 14 days of the claim, beginning with the day on which the claim is received, take 
proceedings (“regulation 21(11)(c) proceedings”) in a relevant court for an order giving them authority to destroy the product. 
(12) In regulation 21(11)(c) proceedings the relevant court may— 
(a) authorise the enforcement authority  to destroy the seized product; 
(b) authorise the enforcement authority to retain the product for the purpose of any criminal 
investigation or proceedings, or for use as evidence at a trial, for as long as necessary for one of those purposes; or 
(c) require the enforcement authority to return the product to the claimant and impose a 
deadline by which this must be done. 
(13) If, in regulation 21(11)(c) proceedings, the relevant court authorises the enforcement 
authority to destroy the seized product, the court may also make an order requiring the claimant 
(but not a claimant who is a lender with  a debt secured on the product) to pay such of the 
following costs as the court may specify— 
(a) the costs of the removal and transport of the product  from the premises to the place at 
which it is stored; 
(b) the costs of the storage of the product for up to 28 days; 
(c) any costs for the removal and transport of the product if it is moved from one place of 
storage to another place of storage; 
(d) 
the costs of the transport of the product from the place of storage to the place of 
destruction; and 
(e) the costs of the destruction of the product. 
(14) If a notification of a claim is received within 28 days in the case of any computer 
equipment seized under regulation 20(7), the enforcement authority must—  15(a) return the seized computer equipment within se ven days of the claim, beginning with the 
day on which the claim is received, or, if shorter, within the remainder of the maximum 
28 day period provided for in regulation 20(7); or 
(b) take proceedings in a relevant court within sev en days of the claim, beginning with the 
day on which the claim is received unless there are seven days or less remaining before 
the expiry of the maximum 28 day period provided for in regulation 20(7), for an order 
authorising the enforcement authority to retain the seized computer equipment in accordance with the requirements laid down in regulation 20(7). 
(15) If, in the case of any computer equipment  seized under regulation 20(7), the relevant court 
authorises the enforcement authority to retain the seized computer equipment, the court may impose conditions as to the basis on which the equipm ent may continue to be retained, including 
the imposition of a deadline by which the equipm ent must be returned that is shorter than the 28 
day maximum period provided for in regulation 20(7). 
(16) The procedure in a magistrates’ court under this regulation is by way of complaint, and— 
(a) in England and Wales, the Magistrates’ Courts Act 1980( a) applies to the proceedings; 
and 
(b) in Northern Ireland, the Magistrat es’ Courts (Northern Ireland) Order 1981( b) applies to 
the proceedings. 
(17) The procedure before a sheriff court under this regulation is by way of summary 
application. 
Improvement notices 
22.—(1) If an authorised officer (“O”) has reasonable grounds for believing that any person 
(“P”) is failing to comply with regulation 5, 6, 7(1), (2) or (3), 8(6) or (7), 9(6), 10(4), 11 or 12, O 
may give P a notice (“an improvement notice”) that— 
(a) states O’s grounds for believing this; 
(b) specifies the matter that constitutes the failure to comply with these Regulations; 
(c) specifies what P must stop doing, or the measures that, in O’s opinion, P must take in 
order to comply with these Regulations; 
(d) require P to stop doing the action specified in the notice, or take the measures specified in 
the notice (or, where provided for in the notice, any measures agreed by O as being at least equivalent to them), within  the period (being not less th an 14 days) specified in the 
notice; 
(e) informs P of the right of appeal to a relevant court conferred by regulation 23; and 
(f) informs P of the period within which such an appeal may be brought. 
(2) A person must not contravene or fail to comply with an improvement notice. 
Appeals against improvement notices 
23.—(1) Any person who is aggrieved about an improv ement notice may appeal against that 
notice to a relevant court. 
(2) The procedure on an appeal to a magistrates’ court under paragraph (1) is by way of 
complaint, and— 
(a) in England and Wales, the Magistrates’ Courts Act 1980 applies to the proceedings; and 
(b) in Northern Ireland, the Magistrates’ Courts (N orthern Ireland) Order 1981 applies to the 
proceedings. 
(3) An appeal to a sheriff court under para graph (1) is by summary application. 
                                                                                                                                            
(a) 1980 c. 43. 
(b) S.I. 1981/1675 (N.I. 26).  16(4) The period within which an appeal may be brought is 28 days, beginning with the day on 
which the improvement notice is given. 
Powers relating to appeals 
24.—(1) The relevant court may suspend an improvement notice pending an appeal. 
(2) On an appeal against an improvement notice the relevant court may either cancel or confirm 
the notice with or w ithout modification. 
Publication of notices 
25.—(1) An enforcement authority must publicise the cases in which any product seized under 
regulation 20(6) has been destroyed, in such manner as it sees fit. 
(2) But an enforcement authority must not publis h the destruction of any item seized under 
regulation 20(6) where it considers that it would be inappropriate to do so. 
(3) An enforcement authority must publicise the cases in which improvement notices have been 
given by it under regulation 22, in such manner as it sees fit. 
(4) But an enforcement authority must not publicise an improvement notice given by it under 
regulation 22— 
(a) until the time for appealing against the impos ition of the improvement notice has passed; 
(b) during the period that any appeal against the imposition of the improvement notice is 
ongoing; 
(c) where an appeal against the imposition of the improvement notice is successful; or 
(d) in any other case where the enforcement authority  considers that it would be 
inappropriate to do so. 
Obstruction  
26.—(1) A person (“P”) must not obstruct any  person acting in the execution of these 
Regulations (“O”). 
(2) P must give to O any assistance or information that O may reasonably require of P for the 
performance of O’s functions under these Regulations. 
(3) P must not furnish any false or misleading information to O. 
(4) P must produce a record to O when required to do so by O. 
Offences 
27. A person is guilty of an offence if they contravene, or fail to comply with regulation 5, 6, 
7(1), (2) or (3), 8(6) or (7), 9(6), 10(4), 11, 12, 20(3), (4), (9) or (10), 22(2) or 26. 
Fines 
28. A person guilty of any offence under regulation 27 is liable— 
(a) on conviction on indictme nt, to a fine; and 
(b) on summary conviction, to a fine not exceeding the statutory maximum. 
Offences by bodies corporate etc. 
29.—(1) Where an offence committed by a bod y corporate (other than a limited liability 
partnership or a Scottish partne rship) is proved to have been committed with the consent or 
connivance of, or is attributable to the negl ect of, an officer of the body corporate, or a person 
purporting to act in such a capacity, that officer or person (as well as the body corporate) is guilty 
of the offence and is liable to be proceeded against and punished accordingly.  17(2) Where the affairs of a body corporate are managed by its members, paragraph (1) applies in 
relation to the acts and defaults of a member, and a person purporting to act in such a capacity, in 
connection with the member’s functions of management as it applies to an officer of a body 
corporate. 
(3) Where an offence committed by an unincorporated body (other than an unincorporated 
partnership) is proved to have been committed with the consent or connivance of, or is attributable to the neglect on the part of, any officer of that body or a person purporting to act in such a 
capacity, that officer or person (as well as the unincorporated body) is guilty of the offence and 
liable to be proceeded against and punished accordingly. 
(4) Where an offence committed by a partnership (including a Scottish partnership but excluding 
a limited liability partnership) is proved to have been committed with the consent or connivance 
of, or is attributable to the neglect of a partner, or a person purporting to act in such a capacity, the 
partner or person (as well as the partnership) is gu ilty of the offence and liable to be proceeded 
against and punished accordingly. 
(5) Where an offence committed by a limited liabil ity partnership is proved to have been 
committed with the consent or connivance of, or is attr ibutable to the neglect of, a member of that 
partnership, or a person purporting to act in such a capacity, that member or person (as well as the 
limited liability partnership) is guilty of the offence and is liable to be proceeded against and 
punished accordingly. 
(6) In this regulation “offence” means an offence under these Regulations. 
Default of third person 
30. Where the commission by one person (“A”) of an offence under these Regulations is due to 
the act or default of another (“B”), B also commits the offence, and B may be charged with and 
convicted of the offence by virtue of this paragraph whether or not proceedings are taken against 
A. 
Defences 
31.—(1) In proceedings for an offence under these Regulations in Scotland it is a defence for the 
accused to prove that they took all reasonable steps and exercised all due diligence to avoid 
committing the offence. 
(2) In proceedings for an offence under these Regulations in the remainder of the United 
Kingdom it is a defence for the defendant to prove that they took all reasonable steps and 
exercised all due diligence to avoid committing the offence. 
(3) A person may not rely on a defence that involves an allegation that the commission of the 
offence was due to the act or default of another person unless— 
(a) in Scotland at least seven clear days before the trial diet the accused has given to the 
procurator fiscal a notice in writing giving such in formation identifying or assisting in the 
identification of the other person as was then in their possession; 
(b) in the remainder of the United Kingdom at least seven clear days before the hearing the 
defendant has given to the prosecutor a no tice in writing giving such information 
identifying or assisting in the identification of  the other person as was then in their 
possession; or 
(c) the court grants them leave. 
Giving of penalty notice for penalty offence 
32. An enforcement authority that has reason to believe that a person has committed an offence 
under regulation 27 (“the relevant offence”) in relation to a contravention or failure to comply 
with regulation 5, 6, 7(1), (2) or (3), 8(6) or (7), 9(6), 10(4), 11, 12, 20(3), (4), (9) or (10) or 22(2) 
may give a penalty notice to that person.  18Contents and form of penalty notice 
33. A penalty notice given by  an enforcement authority must— 
(a) give such particulars of the circumstances alleged to constitute the offence as are 
necessary for giving reasonable information about the offence; 
(b) state the amount of the penalty; 
(c) state the period during which, by virtue of regulation 35, proceedings will not be taken for 
the offence; 
(d) state the person to whom, and the address at whi ch, the penalty may be paid and the ways 
in which the penalty may be paid; and 
(e) state that payment mu st not be made in cash. 
Amount of penalty 
34.—(1) The amount of the penalty must be determined by the enforcement authority and must 
neither be less than £1,000 nor more than £4,000. 
(2) The factors to be taken into account by the enforcem ent authority in det ermining the amount 
of the penalty may include (but are not limited to) one or more of the factors mentioned in Schedule 4. 
Restriction on proceedings for penalty offence 
35.—(1) Where a person is given a penalty notice— 
(a) no proceedings may be brought against them for th e penalty offence to which that notice 
relates before the end of the period of 28 days, beginning with the day on which they 
were given the notice; and 
(b) that person may not be convicted of the offence if the penalty is paid in accordance with 
regulation 36 before the end of that period. 
(2) Paragraph (1) does not apply if the penalty notice is withdrawn in accordance with regulation 
39. 
Payment of penalty 
36.—(1) Payment of any penalty must be made to the person specified in the penalty notice by 
sending it by post or by such method as may be specified in the notice. 
(2) Payment of any penalty may not be made in cash. 
Certificate of payment or non-payment of a penalty 
37. In any proceedings a certificate purporting to be signed by or on behalf of the enforcement 
authority, stating that payment in respect of a penalty notice was or was not received on or before 
a date specified in the certificate, is evidence of the facts stated. 
Penalty receipts 
38. Penalties paid to an enforcement authority must be paid into the Consolidated Fund. 
Withdrawal of penalty notice 
39.—(1) A penalty notice may be withdrawn by an enforcement authority which has reason to 
believe that it ought not to have been given (whet her to the person named in the penalty notice or 
otherwise). 
(2) A penalty notice may be withdrawn by the enforcement authority giving notice to the person 
named in the penalty notice before or after the payment of the penalty.  19(3) Where an enforcement authority withdraws a penalty notice it must repay any penalty paid 
under the penalty notice to the person named in the penalty notice within 28 days, beginning with 
the day on which the notice of the withdrawal of the penalty notice is given. 
Civil remedy 
40.—(1) If the Court of Session is satisfied, on the application of a person mentioned in 
paragraph (4), that any person has contravened regulation 5, 6, 7(1), (2) or (3), 8(6) or (7), 9(6), 
10(4), 11 or 12, in Scotland, the Court may grant an interdict prohibiting such contravention. 
(2) If the High Court is satisfied, on the app lication of a person mentioned in paragraph (4), that 
any person has contravened regulation 6, 8(6) or (7 ), 9(6), 10(4), 11 or 12 in England, Northern 
Ireland or Wales, the Court may grant an injunction prohibiting such contravention. 
(3) If the High Court is satisfied, on the app lication of a person mentioned in paragraph (4), that 
any person has contravened regulation 7(1), (2) or (3) in a case where regulation 7(4)(b) applies and the person arranging the movement of the whis ky is in England, Northern Ireland or Wales, 
the Court may grant an injuncti on prohibiting such contravention. 
(4) The persons are— 
(a) any distiller or blender of Scotch Whisky; 
(b) the owner of a brand of Scotch Whisky; 
(c) The Scotch Whisky Association; or 
(d) any other person appearing to the court to be representative of a group of persons who are 
distillers or blenders of Scotch Whisky or owners of brands of Scotch Whisky. 
Giving of notices 
41.—(1) Any notice required to be given under these Regulations to any person may be given to 
them by— 
(a) delivering it to them; 
(b) leaving it at their proper address; or 
(c) sending it to them by post at that address. 
(2) The notice may be given to a body corporate by  being given to an officer of that body. 
(3) The notice may be given to a limited liability partn ership by being given to a member of the 
partnership or a person having the control or management of the partnership business. 
(4) The notice may be given to a Scottish partnersh ip or unincorporated partnership by being 
given to a partner or a person having the cont rol or management of the partnership business. 
(5) The notice may be given to any other unincorporat ed body by being given to an officer of 
that body. 
(6) For the purposes of this regulation and section 7 of the Interpretation Act 1978( a) (service of 
documents by post) in its application to this  regulation, the proper address of any person to whom 
a notice is to be given is— 
(a) in the case of a body corporate, the address of the registered or principal office of the 
body; 
(b) in the case of a limited liability partnership or a Scottish partnership, the address of the 
registered or principal office of the partnership; 
(c) in the case of an unincorporated part nership or any other unincorporated body, the 
address of the principal office  of the partnership or body; 
                                                                                                                                            
(a) 1978 c. 30.  20(d) in the case of a person to whom the notice is given in reliance on any of paragraph (2), 
(3), (4) or (5), the proper address of the body corporate, partnership or other 
unincorporated body in question; and 
(e) in any other case, the last known address of the person in question. 
(7) For the purposes of paragraph (6) the references to “the principal office” in relation to a 
company which is registered outside the Un ited Kingdom, a partnership which is carrying on 
business outside the United Kingdom and any other unincorporated body which has its principal 
office outside the United Kingdom, include a reference, in each case, to their principal office within the United Kingdom (if any). 
(8) Paragraph (9) applies if a person to be given a notice under these Regulations has specified 
an address (“the specified address”) within the United Kingdom other than their proper address (as decided under paragraph (6)) as the one at which they, or someone on their behalf, will accept 
documents of the same description as a no tice given under these Regulations. 
(9) The specified address is also to be treated for  the purposes of this regulation and section 7 of 
the Interpretation Act 1978 in its applica tion to this regulation as the person’s proper address. 
(10) In relation to Wales, any notice required to be given under these Regulations to any person 
must be in English and Welsh. 
(11) In this regulation “body corporate” does not in clude a limited liability partnership or a 
Scottish partnership. 
 
 
 
  
 
 Jim Fitzpatrick  
 Minister of State 
26th October 2009 Department for Environment, Food and Rural Affairs 
 SCHEDULE 1 Regulation 9(1) 
DISTILLERIES TO WHICH REGULATION 9(1) APPLIES 
Column (1) Column (2) 
Aberfeldy Glenmorangie 
Aberlour Glen Moray (also known as Glen Moray-
Glenlivet) 
Abhainn Dearg (also known as Red River) Glen Ord 
Ailsa Bay Glenrothes 
Allt a’ Bhainne Glen Scotia Ardbeg Glen Spey Ardmore Glentauchers Auchentoshan Glenturret Auchroisk Highland Park Aultmore Inchgower Balblair Invergordon Balmenach Isle of Arran Balvenie Isle of Jura Ben Nevis Kilchoman Benriach Kilkerran Benrinnes Kininvie Benromach Knockando Bladnoch Knockdhu  21Column (1) Column (2) 
Blair Athol Lagavulin 
Bowmore Laphroaig Braeval Linkwood Bruichladdich Loch Ewe Bunnahabhain Loch Lomond Cameronbridge Longmorn Caol Ila Macallan Caperdonich Macduff Cardhu Mannochmore Clynelish Miltonduff Cragganmore Mortlach Craigellachie North British Daftmill Oban Dailuaine Port Dundas Dalmore Pulteney Dalwhinnie Roseisle 
Deanston Royal Brackla 
Dufftown (also known as Dufft own-Glenlivet) Royal Lochnagar 
Edradour Scapa Fettercairn Speyburn Girvan Speyside Glenallachie Springbank Glenburgie Strathclyde Glencadam Strathisla Glendronach Strathmill Glendullan Talisker Glen Elgin Tamdhu Glenfarclas Tamnavulin Glenfiddich Teaninich Glen Garioch The Glenlivet Glenglassaugh Tobermory Glengoyne Tomatin 
Glen Grant Tomintoul 
Glen Keith Tormore Glenkinchie Tullibardine 
Glenlossie  
 SCHEDULE 2 Regulation 9(3) 
CIRCUMSTANCES 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.  22 SCHEDULE 3 Regulation 10(2) 
CIRCUMSTANCES 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 1st September 2009 and the name of 
the protected locality or protected region is onl y 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 Whis ky 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. 
 SCHEDULE 4 Regulation 34(2) 
FACTORS TO BE TAKEN INTO ACCOUNT IN DETERMINING THE 
AMOUNT OF A PENALTY 
PART 1 
Aggravating 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.  2311. 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 authori ty to help P comply with the Regulations. 
PART 2 
Mitigating 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 out side of their authority. 
 
EXPLANATORY NOTE 
(This note is not part  of the Regulations) 
These Regulations impose additional national requirements in rel ation to Scotch Whisky in 
addition to the requirements that apply to Scot ch Whisky by virtue of Regulation (EC) No 
110/2008 (OJ No L 39, 13.2.2008, p 16) of the European Parliament and of the Council on the 
definition, description, presentation, labelling and the protection of geographical indications of spirit drinks and repealing Council Regulation (EEC) No 1576/89. The additional national 
requirements regulate the manufact ure (regulation 5), marketing (regulation 6), movement 
(regulation 7) and presentation (regula tions 8 to 12 and Schedules 1 to 3) of Scotch Whisky 
(which is defined in regulation 3). 
Scotch Whisky is a geographical indication protected under Regul ation (EC) No 110/2008. That 
Regulation regulates all spirit drinks, incl uding whisky, and provides for the protection of 
geographical indications for spirit drinks, including Scotch Whisky. The Spir it Drinks Regulations 
2008 (S.I. 2008/3206) provide for the enforcement of Regulation (EC) No 110/2008 in the United 
Kingdom. In doing so, the Spirit Drinks Regulati ons 2008 apply to drinks in the United Kingdom 
wherever they have been produced. These Regulati ons supplement the provisions of Regulation 
(EC) No 110/2008 as underpinned by the Spirit Dri nks Regulations 2008 by laying down stricter 
rules for the protection of Scotch Whisky (as per mitted by Article 6 of Regulation (EC) No 
110/2008). They apply to drinks and whisky distillates manufactured in the United Kingdom 
(regulation 1). These Regulations repeal the Scotch Whisky Act 1988 (1988 c. 22) and revoke the Scotch Whisky 
(Northern Ireland) Order 1988 (S.I. 1988/1852 (N.I. 19)) (regulation 2). 
They contain transitional prov isions (regulations 13 and 14). 
They designate the Commissioners for Her Maj esty’s Revenue and Customs as a competent 
authority in relation to the verification functi ons imposed on them by regulation 5 of the Spirit 
Drinks Regulations 2008 (regulation 15). They provide for food authorities and port health 
authorities to enforce the Regulations (regulation 16). They provide for the appointment of officers (regulation 17) and impose a duty on enforcement authorities to give assistance and 
information to each other (regulation 18). They confer powers of entry (regulation 19) and other 
powers (regulation 20), including seizure and  destruction powers. They  require certain procedures 
to be followed in the event of any exercise of the seizure powers (regulation 21). They provide for 
the issue of improvement notices (regulation 22) and provide for appeals against improvement 
notices (regulations 23 and 24). They provide for the destruction of seized products and the giving 
of improvement notices to be publicised (regulation 25). 
They prohibit obstruction (regul ation 26) create offences for the contravention or failure to comply 
with specified provisions of the Regulations (regul ation 27) and provide for the punishment of 
criminal offences (regulation 28). They contain provisions relating to offences committed by a 
body corporate (regulation 29), the commission of an offence due to the act or default of a third 
person (regulation 30) and defences (regulation 31). 
These Regulations also create a scheme for the i ssuing and payment of penalty notices for an 
offence under regulation 27 in relation to contraven tion of, or failure to comply with, specified 
provisions of these Regulations (regulations 32 to 39). 
They enable the Court of Session in Scotland to gr ant an interdict, and the High Court in England, 
Northern Ireland and Wales to grant an injunction, prohibiting contraventions of certain provisions 
of these Regulati ons (regulation 40). 
They contain provisions rel ating to the giving of notices (regulation 41). 
A full impact assessment of the effect that these Regul ations will have on the costs of business and 
the voluntary sector is available at www .defra.gov.uk or from Department for Environment, Food 
and Rural Affairs, Nobel House, 17 Smith Square, London, SW1P 3JR. It is also annexed to the 
Explanatory Memorandum for these Regul ations, which is availabl e, alongside these Regulations, 
on the OPSI website (www.opsi.gov.uk). 
 
 
£5.50 
 
E5103 10/2009 195103T 19585 ____________________________________________________________________________________________________________ 
 
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