Personnel Questionnaire - Alcohol and Tobacco Products

OMB Control No: 1513-0002	ICR Reference No: 201603-1513-014
Status: Historical Active	Previous ICR Reference No: 201203-1513-002
Agency/Subagency: TREAS/TTB	Agency Tracking No: IC 57 - 12/19
Title: Personnel Questionnaire - Alcohol and Tobacco Products
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/19/2016
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/31/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	08/31/2016
Responses	12,100	0	5,000
Time Burden (Hours)	14,283	0	9,950
Cost Burden (Dollars)	0	0	0

---

Abstract: The information collected on TTB F 5000.9 enables TTB to determine whether or not an applicant for a Federal alcohol or tobacco permit, notice, or registration, or certain other personnel, such as officers or directors, of the business applied for, meet the minimum qualifications for that permit, notice, or registration. TTB F 5000.9 is required in certain circumstances in which the information is deemed necessary, and includes such information as the individual’s residence, business background, financial sources for the business, and criminal record.

---

Authorizing Statute(s): US Code: 26 USC 5171, 5181, 5271, 5356 Name of Law: Internal Revenue Code    US Code: 26 USC 5401, 5502, 5511, 5712 Name of Law: Internal Revenue Code    US Code: 27 USC 204 Name of Law: Federal Alcohol Administration Act

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 1679	01/13/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 18692	03/31/2016
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title Form No. Form Name Personnel Questionnaire - Alcohol and Tobacco Products TTB F 5000.9, None Personnel Questionnaire -- Alcohol and Tobacco ,   Officer/Ownership Application

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	12,100	5,000	0	0	7,100	0
Annual Time Burden (Hours)	14,283	9,950	0	0	4,333	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Program changes: At TTB’s discretion, we are revising TTB F 5000.9 in order to lower the per-respondent burden associated with this information collection. We are removing questions regarding the respondent’s weight, hair color, and father’s and mother’s names are removed as unnecessary to identify the respondent, we are removing questions regarding the respondent’s rating by a commercial credit reporting agency, respondents will no longer be required to provide personal business and character references (respondents will continue to provide a bank reference), and respondents will report their employment history and residence addresses for the past 5 years instead of the past 10 years. TTB will ask for only one personal telephone number rather than home, mobile, and work numbers, and the two questions asking for other names used and maiden name are merged into one question. TTB also is revising other questions to clarify what information must be provided. TTB estimates that these changes will reduce the per respondent burden from 120 minutes (2 hours) for the current fillable/printable form to 80 minutes (1.333 hours) for the revised fillable/printable form, and from 90 minutes (1.5 hours) to 70 minutes (1.167 hours) for the PONL equivalent. Adjustments: While TTB is lowering the per-respondent burden by revising TTB F 5000.9, we are increasing the estimated total annual burden from 9,950 hours to 14,283 hours due to an increase in the number of respondents to this information collection. TTB estimates that 12,100 respondents complete one annual response to this information collection, an increase of 7,100 respondents. The increase in the number of respondents and the resulting total annual burden is due to an increase in the number of new applicants (including company officers, directors, and principal investors) seeking alcohol-related permits, notices, or registrations from TTB, largely due to growth in the “craft” brewing and distilling industries.

---

Annual Cost to Federal Government: $122,500

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Michael Hoover 202 453-2135 ext. 135 [email protected]

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
		(a) It is necessary for the proper performance of agency functions;
		(b) It avoids unnecessary duplication;
		(c) It reduces burden on small entities;
		(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
		(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
		(f) It indicates the retention periods for recordkeeping requirements;
		(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
			(i) Why the information is being collected;
			(ii) Use of information;
			(iii) Burden estimate;
			(iv) Nature of response (voluntary, required for a benefit, or mandatory);
			(v) Nature and extent of confidentiality; and
			(vi) Need to display currently valid OMB control number;
		(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
		(i) It uses effective and efficient statistical survey methodology (if applicable); and
		(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date: 03/31/2016

---