Personnel Questionnaire - Alcohol and Tobacco Products

OMB Control No: 1513-0002	ICR Reference No: 201908-1513-012
Status: Active	Previous ICR Reference No: 201603-1513-014
Agency/Subagency: TREAS/TTB	Agency Tracking No: ICN 74 - 1/12
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 with change	Conclusion Date: 03/25/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/29/2019
Terms of Clearance: Treasury amended the ICR to include additional details in the Supplementary Statement regarding the monetized value of the reduction in burden.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2023	36 Months From Approved	03/31/2020
Responses	9,350	0	12,100
Time Burden (Hours)	7,958	0	14,283
Cost Burden (Dollars)	0	0	0

---

Abstract: Provisions of chapters 51 and 52 of the Internal Revenue Code (IRC, 26 U.S.C. chapters 51 and 52) and the Federal Alcohol Administration Act (FAA Act; 27 U.S.C. 201 et seq.) require all persons who desire to engage in certain alcohol and tobacco activities to obtain a permit or registration from, or file a notice with, the Secretary of the Treasury before beginning operations. The IRC and FAA Act provide that an applicant is not eligible for such permits or approvals if the Secretary finds that the applicant, (including company officers, directors, or principal investors) is not likely to lawfully operate or has certain criminal convictions. Under its delegated IRC and FAA Act authorities, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations authorize the collection of information from applicants so that TTB can determine if they meet the minimum statutory and regulatory qualifications for alcohol and tobacco permits, registrations, or notices. To assist TTB in making such determinations, applicants use form TTB F 5000.9, Personnel Questionnaire—Alcohol and Tobacco, or its electronic Permits Online (PONL) equivalent, to provide TTB with information regarding their identity and their criminal and business history.

---

Authorizing Statute(s): US Code: 26 USC 5401, 5502, 5511, 5712 Name of Law: Internal Revenue Code    US Code: 26 USC 5171, 5181, 5271, 5356 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:
	84 FR 23157	05/21/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 45622	08/29/2019
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 Permits Online - Personnel Questionnaire ,   Personnel Questionnaire

---

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	9,350	12,100	0	0	-2,750	0
Annual Time Burden (Hours)	7,958	14,283	0	-3,984	-2,341	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: Yes

Burden Reduction Due to: Changing Forms

Short Statement: Program Changes: To lower the respondent burden associated with this collection, TTB is making program changes to the Personnel Questionnaire as a matter of agency discretion. Specifically, TTB has removed data fields regarding the respondent’s residence and employment history, citizenship status, plans for additional investments in the applicant business, and bank reference from the both the PONL Personnel Questionnaire and TTB F 5000.9. TTB believes such information is no longer necessary to determine the respondent’s identity or statutory eligibility under the IRC and FAA Act to hold an alcohol or tobacco permit. TTB estimates removal of those data fields will reduce the per-respondent burden for this collection by at least 20 minutes, from 70 to 50 minutes for the PONL version of this collection, and from 80 to 60 minutes for the paper form, TTB F 500.9 (resulting in an overall average of 51.067 minutes per response). TTB estimates that these program changes will reduce the estimated total annual burden for this information collection by 3,984 hours. TTB also estimates that burden hour reduction will reduce respondent labor costs for this information collection by $176,491.20 (fully-loaded labor costs of $44.30 per hour x 3,984 hours). Adjustments: Due to a change in agency estimates resulting from a decrease in the number of Personnel Questionnaires submitted to TTB, the Bureau is reducing the number of annual respondents to this information collection from 14,283 to 9,350, a reduction of 2,750 annual responses. This decrease in annual responses further reduces the estimated total annual burden for this information collection by 2,341 hours, which also results in an additional respondent labor cost reduction of $103,706.30 (fully-loaded labor costs of $44.30 per hour x 2,341 hours).

---

Annual Cost to Federal Government: $276,645

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: Jesse Longbrake 202 453-2265

---

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: 08/29/2019

---