Personnel Questionnaire - Alcohol and Tobacco Products

OMB Control No: 1513-0002	ICR Reference No: 202604-1513-007
Status: Received in OIRA	Previous ICR Reference No: 202302-1513-011
Agency/Subagency: TREAS/TTB	Agency Tracking No: ICN 98 - 1/7
Title: Personnel Questionnaire - Alcohol and Tobacco Products
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/29/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2026
Responses	8,400	9,850
Time Burden (Hours)	7,167	8,375
Cost Burden (Dollars)	3,000	1,000

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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 (the Secretary) before beginning operations. The IRC and FAA Act also provide that an applicant is not eligible for such approvals if the Secretary finds that the applicant, including company officers, directors, or principal investors, has certain criminal convictions or is not likely to lawfully operate. Under its delegated IRC and FAA Act authorities, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR chapter I authorize the collection of information from applicants so that TTB can determine if they meet the statutory and regulatory qualifications to hold 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 equivalent, to provide TTB with information regarding their identity, business history, and criminal record.

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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

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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:
	91 FR 6726	02/12/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 31859	05/28/2026
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 Personnel Questionnaire - Alcohol and Tobacco Products None, TTB F 5000.9 Personnel Questionnaiare - Permits Online (PONL) ,   Personnel Questionnaire - Alcohol and Tobacco Products

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ICR Summary of Burden

	Total Request	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	8,400	9,850	0	0	-1,450	0
Annual Time Burden (Hours)	7,167	8,375	0	0	-1,208	0
Annual Cost Burden (Dollars)	3,000	1,000	0	0	2,000	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: There is no program change associated with this information collection at this time, and TTB is submitting it for extension purposes only. As for adjustments to this information collection, due to changes in agency estimates, TTB is decreasing the estimated number of annual respondents and responses, from 9,850 to 8,400, which results in a decrease of the estimated total annual burden hours for this information collection, from 8,375 hours to 7,167. The estimated number of annual responses per respondent remains one, as previously reported.

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Annual Cost to Federal Government: $262,886

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? No

Agency Contact: Curtis Eilers 202 453-1039 ext. 041

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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: 05/29/2026

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