PART 3Enforcement
F9The 1416/2006 prohibition6A
1
In these Regulations, “the 1416/2006 prohibition” means the prohibition contained in the first sentence of Article 1 of Regulation (EC) No 1416/2006 (prohibiting the use of a US name of origin listed in the Annex to that Regulation for a wine unless it is used to designate a wine of the origin indicated by such name) as read with paragraph (2).
2
The prohibition referred to in paragraph (1) does not apply in relation to the use of a US name of origin listed in the Annex to Regulation (EC) No 1416/2006 for a wine where—
a
the name of origin used for the wine is homonymous with the US name of origin, the wine originates from the place with the homonymous name and the name is used in such a way that consumers will not be misled, or
b
the name is used in the course of trade by the person under whose name the wine is produced and marketed and the US name of origin is the same as the name of that person or a predecessor of that person in business and is used in such a way that consumers will not be misled.
3
In this regulation, “Regulation (EC) No 1416/2006” means Commission Regulation (EC) No 1416/2006 laying down specific rules on the implementation of Article 7(2) of the Agreement between the European Community and the United States of America on trade in wine concerning the protection of US names of origin in the Community.
Disclosure of informationE57
1
2
Paragraph (1) is without prejudice to any other power of the Commissioners to disclose information.
Disclosure of informationE97
1
The Commissioners for Her Majesty’s Revenue and Customs may disclose any information in their possession to the Secretary of State or the F32... Agency for the purposes of the European Regulations or these Regulations.
2
Paragraph (1) is without prejudice to any other power of the Commissioners to disclose information.
Powers of authorised officersE18
1
An authorised officer may, on producing a duly authenticated authorisation if required, at any reasonable time enter any premises (except those used wholly or mainly as a private dwellinghouse) for the purpose of executing or enforcing the F46retained EU RegulationsF10, the 1416/2006 prohibition or these Regulations.
2
An authorised officer who has entered premises, whether under paragraph (1) or under the authority of a warrant under regulation 9, may—
a
inspect any materials or articles;
b
have access to, and inspect and copy any documents or records (in whatever form they are held), and remove them to enable them to be copied;
c
have access to, inspect and check the operation of any computer and any associated apparatus used in connection with the records, and may require any person to afford such assistance as may reasonably be required (including the provision of passwords), and may require any computer records to be produced in a form in which they may be taken away;
d
seize and retain anything required as evidence in proceedings under these Regulations;
e
undertake an inventory of wine sector products and of anything which may be used in the preparation of wine sector products; and
f
purchase or take samples of any wine sector product and of anything which may be used in the preparation of wine sector products.
3
An authorised officer who has procured a sample of any wine sector product or of anything which may be used in the preparation of such a product may analyse or examine that sample or have that sample analysed or examined.
F214
An authorised officer entering any premises by virtue of this regulation or regulation 9 may be accompanied by such other person as the officer considers necessary.
Powers of authorised officersE28
1
An authorised officer may, on producing a duly authenticated authorisation if required, at any reasonable time enter any premises (except those used wholly or mainly as a private dwellinghouse) for the purpose of executing or enforcing the European RegulationsF20, the 1416/2006 prohibition or these Regulations.
2
An authorised officer who has entered premises, whether under paragraph (1) or under the authority of a warrant under regulation 9, may—
a
inspect any materials or articles;
b
have access to, and inspect and copy any documents or records (in whatever form they are held), and remove them to enable them to be copied;
c
have access to, inspect and check the operation of any computer and any associated apparatus used in connection with the records, and may require any person to afford such assistance as may reasonably be required (including the provision of passwords), and may require any computer records to be produced in a form in which they may be taken away;
d
seize and retain anything required as evidence in proceedings under these Regulations;
e
undertake an inventory of wine sector products and of anything which may be used in the preparation of wine sector products; and
f
purchase or take samples of any wine sector product and of anything which may be used in the preparation of wine sector products.
3
An authorised officer who has procured a sample of any wine sector product or of anything which may be used in the preparation of such a product may analyse or examine that sample or have that sample analysed or examined.
F224
An authorised officer entering any premises by virtue of this regulation or regulation 9 may be accompanied by such other person as the officer considers necessary.
WarrantE39
1
If a justice of the peace, on sworn information in writing, or in Scotland by evidence on oath, F25... is satisfied—
a
b
that any of the conditions in paragraph (2) are met,
the justice may by signed warrant authorise F1an authorised officer to enter the premises, if need be by reasonable force.
2
The conditions are that—
a
admission to the premises has been refused, or a refusal is expected, and (in either case) notice of the intention to apply for a warrant has been given to the occupier;
b
asking for admission to the premises, or the giving of such notice, would defeat the object of the entry;
c
entry is required urgently; or
d
the premises are unoccupied or the occupier is temporarily absent.
3
A warrant is valid for three months.
4
An authorised officer entering any premises which are unoccupied or from which the occupier is temporarily absent must leave them as effectively secured against unauthorised entry as they were before entry.
F265
In this regulation, in Scotland, a reference to a justice of the peace includes a sheriff.
WarrantE49
1
If a F27lay magistrate on a sworn complaint in writing, is satisfied—
a
that there are reasonable grounds to enter any premises for the purposes of executing or enforcing the European RegulationsF23, the 1416/2006 prohibition or these Regulations; and
b
that any of the conditions in paragraph (2) are met,
the F28magistrate may by signed warrant authorise F24an authorised officer to enter the premises, if need be by reasonable force.
2
The conditions are that—
a
admission to the premises has been refused, or a refusal is expected, and (in either case) notice of the intention to apply for a warrant has been given to the occupier;
b
asking for admission to the premises, or the giving of such notice, would defeat the object of the entry;
c
entry is required urgently; or
d
the premises are unoccupied or the occupier is temporarily absent.
3
A warrant is valid for three months.
4
An authorised officer entering any premises which are unoccupied or from which the occupier is temporarily absent must leave them as effectively secured against unauthorised entry as they were before entry.
F295
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Warning noticesE610
1
2
A warning notice must—
a
b
notify the person that any future breach of that provision by them may render the person liable to prosecution; and
c
give details of the right of appeal against the notice.
Warning noticesE1010
1
An authorised officer who believes that a person has contravened any provision of the European RegulationsF33or the 1416/2006 prohibition may serve a notice under this regulation on the person (a “warning notice”).
2
A warning notice must—
a
state the provision of the European Regulations that the officer believes has been breached F34or, if relevant, state that the officer believes that the 1416/2006 prohibition has been contravened;
b
notify the person that any future breach of that provision by them may render the person liable to prosecution; and
c
give details of the right of appeal against the notice.
Enforcement noticesE711
1
An enforcement notice is a notice requiring a person to take specified steps to remedy a contravention, to remedy a contravention to the fullest extent possible, or to remedy matters making it likely that a contravention will arise.
2
An authorised officer may serve an enforcement notice on a person if the officer is of the opinion that the person—
b
F16c
has contravened the 1416/2006 prohibition.
3
An enforcement notice must—
a
state that the officer is of that opinion;
b
specify the matters constituting the contravention or the matters making it likely that the contravention will arise, as the case may be;
c
specify the steps that must be taken to remedy the contravention or to remedy the matters making it likely that the contravention will arise, as the case may be;
d
specify the period within which those steps must be taken; and
e
give details of the right of appeal against the notice.
Enforcement noticesE1111
1
An enforcement notice is a notice requiring a person to take specified steps to remedy a contravention, to remedy a contravention to the fullest extent possible, or to remedy matters making it likely that a contravention will arise.
2
An authorised officer may serve an enforcement notice on a person if the officer is of the opinion that the person—
b
has contravened, is contravening or is likely to contravene any provision of the European RegulationsF35; or
F36c
has contravened the 1416/2006 prohibition.
3
An enforcement notice must—
a
state that the officer is of that opinion;
b
specify the matters constituting the contravention or the matters making it likely that the contravention will arise, as the case may be;
c
specify the steps that must be taken to remedy the contravention or to remedy the matters making it likely that the contravention will arise, as the case may be;
d
specify the period within which those steps must be taken; and
e
give details of the right of appeal against the notice.
Prohibition noticesE812
1
A prohibition notice is a notice prohibiting the movement, marketing or export of a wine sector product.
2
An authorised officer may serve a prohibition notice on a person who appears to be in control of a wine sector product if the officer is of the opinion that there has been or may have been a contravention of any provision of the F46retained EU RegulationsF17or the 1416/2006 prohibition in relation to the product.
3
A prohibition notice must give details of the right of appeal against the notice.
4
The officer may mark any wine sector product or container in relation to which a prohibition notice has been served (and remove or alter any such mark).
Prohibition noticesE1212
1
A prohibition notice is a notice prohibiting the movement, marketing or export of a wine sector product.
2
An authorised officer may serve a prohibition notice on a person who appears to be in control of a wine sector product if the officer is of the opinion that there has been or may have been a contravention of any provision of the European RegulationsF38or the 1416/2006 prohibition in relation to the product.
3
A prohibition notice must give details of the right of appeal against the notice.
4
The officer may mark any wine sector product or container in relation to which a prohibition notice has been served (and remove or alter any such mark).
Appeals against notices etc.13
1
A person who is aggrieved by a notice served under these Regulations may appeal against it.
2
The right of appeal is to a person nominated by the F7... Agency.
3
An appeal must be brought within the period of 28 days beginning with the date on which the notice is served.
4
A notice is not suspended pending an appeal unless the person nominated under paragraph (2) decides otherwise.
5
The person hearing the appeal may either cancel or confirm the notice, with or without modification.
6
A notice must be in writing.
7
An authorised officer may at any time withdraw or vary a notice in writing.
8
A person on whom an enforcement notice or a prohibition notice is served must comply with it at their own expense.
OffencesE1414
1
A person who breaches any of the following provisions of the F46retained EU Regulations is guilty of an offence—
a
F2Article 103(2) of Regulation (EU) 2013 (which provides protection for protected designations of origin and protected geographical indications and the wines using those protected names in conformity with the product specification);
b
c
F4Article 80(1), third sub-paragraph, of Regulation (EU) 2013 (which requires that wine sector products are produced and conserved in accordance with EU laws);
d
F5Article 90(2) of Regulation (EU) 2013 (which concerns the production requirements for wine imported into the EU);
F8e
Article 29 of Commission Regulation (EU) 2018/273 (which requires operations to be recorded in the register).
F181A
Any person who contravenes the 1416/2006 prohibition is guilty of an offence.
2
It is an offence for a person to—
a
fail to comply with an enforcement notice or a prohibition notice;
b
fail to comply with a provision of the F46retained EU Regulations at any time after that person has received a warning notice in respect of that provision.
3
It is an offence—
a
F19aa
intentionally to obstruct an authorised officer acting in the enforcement of the 1416/2006 prohibition;
b
without reasonable cause, to fail to give to any such officer any assistance or information which that officer may reasonably require;
c
to furnish to any such officer any information knowing it to be false or misleading; or
d
to fail to produce a document, record or passport to any such officer when required to do so.
4
It is an offence for a person, including a servant of the Crown, to disclose any information received from the Commissioners for Her Majesty’s Revenue and Customs under regulation 7(1) if—
a
the information relates to a person whose identity is specified in the disclosure or can be deduced from the disclosure,
b
the disclosure is for a purpose other than that specified in regulation 7(1), and
c
the Commissioners have not given their prior consent to the disclosure.
5
It is a defence for a person charged with an offence under paragraph (4) to prove that the person reasonably believed—
a
that the disclosure was lawful, or
b
that the information had already and lawfully been made available to the public.
OffencesE1314
1
A person who breaches any of the following provisions of the European Regulations is guilty of an offence—
a
F39Article 103(2) of Regulation (EU) 2013 (which provides protection for protected designations of origin and protected geographical indications and the wines using those protected names in conformity with the product specification);
b
c
F41Article 80(1), third sub-paragraph, of Regulation (EU) 2013 (which requires that wine sector products are produced and conserved in accordance with EU laws);
d
F42Article 90(2) of Regulation (EU) 2013 (which concerns the production requirements for wine imported into the EU);
F43e
Article 29 of Commission Regulation (EU) 2018/273 (which requires operations to be recorded in the register).
F441A
Any person who contravenes the 1416/2006 prohibition is guilty of an offence.
2
It is an offence for a person to—
a
fail to comply with an enforcement notice or a prohibition notice;
b
fail to comply with a provision of the European Regulations at any time after that person has received a warning notice in respect of that provision.
3
It is an offence—
a
intentionally to obstruct an authorised officer acting in the execution of these Regulations or of the European Regulations (including obstruction by the alteration or removal of a mark made under regulation 12(4));
F45aa
intentionally to obstruct an authorised officer acting in the enforcement of the 1416/2006 prohibition;
b
without reasonable cause, to fail to give to any such officer any assistance or information which that officer may reasonably require;
c
to furnish to any such officer any information knowing it to be false or misleading; or
d
to fail to produce a document, record or passport to any such officer when required to do so.
4
It is an offence for a person, including a servant of the Crown, to disclose any information received from the Commissioners for Her Majesty’s Revenue and Customs under regulation 7(1) if—
a
the information relates to a person whose identity is specified in the disclosure or can be deduced from the disclosure,
b
the disclosure is for a purpose other than that specified in regulation 7(1), and
c
the Commissioners have not given their prior consent to the disclosure.
5
It is a defence for a person charged with an offence under paragraph (4) to prove that the person reasonably believed—
a
that the disclosure was lawful, or
b
that the information had already and lawfully been made available to the public.
Penalties15
A person guilty of an offence under these Regulations is liable—
a
on summary conviction, to a fine not exceeding the statutory maximum; or
b
on conviction on indictment, to a fine.
Proceedings against partnerships and unincorporated associations16
1
Proceedings for an offence under these Regulations alleged to have been committed by a partnership or unincorporated association may be brought against the partnership or association in the name of the partnership or association.
2
For the purposes of such proceedings the following apply as if the partnership or unincorporated association were a body corporate—
a
rules of court relating to the service of documents;
F30b
3
A fine imposed on a partnership or unincorporated association is to be paid out of the funds of the partnership or association.
Offences by bodies corporate, partnerships and unincorporated associations17
1
Where a body corporate is guilty of an offence under these Regulations and that offence is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of—
a
any director, manager, secretary or other similar officer of the body corporate, or
b
any person who was purporting to act in any such capacity,
that person, as well as the body corporate, is guilty of the offence.
2
In paragraph (1), “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Where a partnership or a Scottish partnership is guilty of an offence under these Regulations and that offence is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of a partner, the partner, as well as the partnership, is guilty of the offence.
4
In paragraph (3) “partner” includes a person purporting to act as a partner.
5
Where an unincorporated association is guilty of an offence under these Regulations and that offence is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of an officer of the association, that officer, as well as the association, is guilty of the offence.
6
In paragraph (5) “officer”, in relation to an unincorporated association, means—
a
an officer of the association or a member of its governing body; or
b
a person purporting to act in that capacity.
F47Transitional provision: the Trade and Cooperation Agreement17A
1
An authorised officer must not take any enforcement action under this Part, and an enforcement authority, and the Director of Public Prosecutions, must not prosecute an offence under regulation 14 (offences), in respect of EU Annex 15 wine (including EU Annex 15 wine labelled on or after 1st May 2021) that is placed on the market in Great Britain—
a
by a wholesaler or producer during the period beginning on 1st January 2022 and expiring on 1st May 2023;
b
by a retailer on or after 1st January 2022.
2
In this regulation—
a
“enforcement action” means the service of a notice under regulation 10 (warning notices), 11 (enforcement notices) or 12 (prohibition notices);
b
“enforcement authority” has the same meaning as in regulation 3(7);
c
“EU Annex 15 wine” means wine—
i
to which Article 5 (transitional measures) of Annex 15 (trade in wine) to the Trade and Cooperation Agreement, as read with Article 1(1) (scope) of that Annex, applies, and
ii
that is imported into Great Britain from a member State;
d
“the Trade and Cooperation Agreement” has the same meaning as in section 37(1) of the European Union (Future Relationship) Act 2020.
3
In this regulation, “placed on the market” is to be construed taking into account the definition of “placing on the market” in point 8 of Article 3 of Regulation (EC) No 178/2002 of the European Parliament and of the Council laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety.