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The Scotch Whisky Regulations 2009

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Regulation 34(2)

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

This schedule has no associated Explanatory Memorandum

PART 1U.K.Aggravating factors

1.  Seriousness of the non-compliance.U.K.

2.  Financial harm to consumers.U.K.

3.  Financial harm to competitors.U.K.

4.  Duration of non-compliance.U.K.

5.  Evidence of intention behind the non-compliance.U.K.

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

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

8.  Financial resources of P.U.K.

9.  Size of P’s business.U.K.

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

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).U.K.

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

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

PART 2U.K.Mitigating factors

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

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

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

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

5.  Financial resources of P.U.K.

6.  Size of P’s business.U.K.

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

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

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

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