Formula and Process for Domestic and Imported Alcohol Beverages

OMB Control No: 1513-0122	ICR Reference No: 201808-1513-006
Status: Active	Previous ICR Reference No: 201508-1513-003
Agency/Subagency: TREAS/TTB	Agency Tracking No: ICN 69 - 11/11
Title: Formula and Process for Domestic and Imported Alcohol Beverages
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: 12/06/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 10/25/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2021	36 Months From Approved	12/31/2018
Responses	14,485	0	14,040
Time Burden (Hours)	28,970	0	28,080
Cost Burden (Dollars)	28,970	0	0

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Abstract: Chapter 51 of the Internal Revenue Code (IRC, 26 U.S.C. chapter 51) governs the production, classification, and taxation of alcohol products, while the Federal Alcohol Administration Act (FAA Act) at 27 U.S.C. 205(e) requires alcohol beverage labels to provide consumers with adequate information as to the identity and quality of alcohol beverages, and each statute authorizes the Secretary to issue regulations related to such activities. The TTB regulations issued under those authorities require alcohol beverage producers and importers to obtain formula approval from TTB for certain non-standard products to ensure that the product is properly classified for excise tax purposes under the IRC and that it is properly labeled under the FAA Act. Currently, in lieu of the formula forms and letterhead notices specified in the TTB regulations and specific to each alcohol commodity (distilled spirits, wine, and beer/malt beverages), which are approved under separate OMB control numbers, respondents may submit TTB F 5100.51 or its electronic equivalent, Formulas Online (FONL), approved under this OMB control number, to TTB as an alternate procedure.

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Authorizing Statute(s): US Code: 26 USC 5201, 5222(c), 5223, 5232 Name of Law: Internal Revenue Code    US Code: 26 USC 5361, 5362(d), 5386 Name of Law: Internal Revenue Code    US Code: 26 USC 5387, 5388(b) Name of Law: Internal Revenue Code    US Code: 26 USC 5415, 5555, 7805 Name of Law: Internal Revenue Code    US Code: 27 USC 205(e) Name of Law: Federal Alcohol Administration Act

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 24842	05/30/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 53954	10/25/2018
Did the Agency receive public comments on this ICR? No

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

IC Title Form No. Form Name Formula and Process for Domestic and Imported Alcohol Beverages TTB F 5100.51, None Formula and Process for Domestic and Imported Alcohol Beverages ,   Formulas Online (FONL) -- Formula and Process for Domestic and Imported Alcohol Beverages Formula and Process for Domestic and Imported Alcohol Beverages

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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	14,485	14,040	0	0	445	0
Annual Time Burden (Hours)	28,970	28,080	0	0	890	0
Annual Cost Burden (Dollars)	28,970	0	0	0	28,970	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Program changes: TTB F 5100.51 and the FONL beverage alcohol submission application were previously reported as separate information collections. However, as a matter of agency discretion, TTB is now reporting TTB F 5100.51 and its FONL equivalent as two information collection instruments under the same information collection since the two instruments—one paper and the other electronic—collect the same information from the same universe of respondents, and the respondent may choose to respond to this information collection using either instrument. Adjustments: As for adjustments, due to changes in agency estimates, TTB has increased the overall estimated number of annual respondents, responses, and burden hours associated with this information collection. This increase is due to continued growth in the number of alcohol beverage producers regulated by TTB and the resulting increase in the number of formula submissions made to TTB. However, because TTB recently has declared more alcohol beverage products that previously required formula approval to be standard products that do not required such approval, the average number of such products submitted for formula approval by each respondent has decreased from 5.2 to 4.932 per respondent. Also due to changes in agency estimates, TTB has also increased the Federal government and respondent costs associated with this information collection. In addition, TTB is adding a Privacy Act Notice to form TTB F 5100.51.

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Annual Cost to Federal Government: $236,010

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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: Caroline Hermann 202 453-1039 ext. 256 [email protected]

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Common Form ICR:  No

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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: 10/25/2018

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