View Information Collection Request (ICR) Package
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View Information Collection (IC) List
View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1513-0002
ICR Reference No:
202302-1513-011
Status:
Active
Previous ICR Reference No:
201908-1513-012
Agency/Subagency:
TREAS/TTB
Agency Tracking No:
ICN 88 - 2/10
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
OIRA Conclusion Action:
Approved without change
Conclusion Date:
05/18/2023
Retrieve Notice of Action (NOA)
Date Received in OIRA:
03/31/2023
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
05/31/2026
36 Months From Approved
05/31/2023
Responses
9,850
0
9,350
Time Burden (Hours)
8,375
0
7,958
Cost Burden (Dollars)
1,000
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 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, 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 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 Permits Online (PONL) equivalent, to provide TTB with information regarding their identity, business history, and criminal record.
Authorizing Statute(s):
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
US Code:
26 USC 5401, 5502, 5511, 5712
Name of Law: Internal Revenue Code
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:
87 FR 69386
11/18/2022
30-day Notice:
Federal Register Citation:
Citation Date:
88 FR 18220
03/27/2023
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
None, TTB F 5000.9
Permits Online - Personnel Questionnaire
,
Personnel Questionnaire—Alcohol and Tobacco Products
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
9,850
9,350
0
0
500
0
Annual Time Burden (Hours)
8,375
7,958
0
0
417
0
Annual Cost Burden (Dollars)
1,000
0
0
0
1,000
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 are no program changes associated with this information collection at this time. As for adjustments, due to changes in agency estimates, TTB is increasing the number of annual respondents, responses, and burden hours associated with this collection. Those changes result from continued growth in the number of applicants for new and amended alcohol and tobacco permits submitted to TTB. As such, TTB estimates that this information collection’s annual responses and respondents have risen from 9,350 to 9,850 each, and that its annual burden hours have risen from 7,958 to 8,375. There is no change to the number of annual responses per respondent (one) to this information collection.
Annual Cost to Federal Government:
$285,354
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:
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:
03/31/2023
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