Application For And Certification/exemption Of Label/bottle Approval (Page 2 of 2) in pdf

I. CONDITIONS

w. By deleting or changing a lot or batch identification number or other serial numbers.

1. This certificate is issued for ATF use only. This certificate does not constitute trademark protection.

For any additional information, please contact the Product Compliance Branch at (202) 927-8140, or write

to us at the address noted in Item 1 of the General Instructions.

2. This certificate does not relieve any person from liability for violations of the Federal Alcohol Admin-

istration Act, the Alcoholic Beverage Labeling Act of 1988, the Internal Revemue Code, related regu-

II. GENERAL INSTRUCTIONS

lations or rulings. This certificate authorizes use of the labels submitted in conjunction with the appli-

cation for certificate only where the labels are used in accordance with the provisions of applicable

INSTRUCTIONS. Applications MUST be printed or typed, signed in ink and submitted in duplicate

laws and regulations.

to the Product Compliance Branch, Bureau of Alcohol, Tobacco and Firearms, Washington, DC

20226. Exact copies of ATF F 5100.31 may be used in lieu of an original blank form. If submitting

3. Except as further provided in condition 4 below this certificate covers the products identified in the

a copy, you do not need to include a copy of the reverse of the form, although you remain subject

application for certificate. It authorizes the removal of these products for introduction into commerce

to the instructions and conditions contained on the reverse. However, it is suggested that original

from the plant where bottled or packed, or from Customs custody. This certificate may be used to

ATF F5100.31 be used whenever possible. A supply of forms may be obtained by contacting the

remove these products only upon the following conditions:

ATF Distribution Center at (703) 455-7801. Applications must generally be filed by the person, firm

or corporation who will be the bottler or packer of the distilled spirits, wine, or malt beverages.

a. ATF’s approval of the trade name of the bottler or importer used on the label. (NOTE: Trade

However, for products to be imported in containers intended for a sale at retail, applications must be

name approval does not constitute approval as a brand name for labeling purposes.)

filed by the importer. All applications for approval of distintive liquor bottles must include photo-

graphs of both the front and back of the bottle. CERTIFICATES OF EXEMPTION ARE NOT

In the case of an Application for Exemption from Label Approval, the exclusive disposition of the

ISSUED FOR PRODUCTS IMPORTED IN BOTTLES OR FOR MALT BEVERAGES.

product noted on the certificate must be in the state noted in Item 16b. Each container must

bear the statement “For Sale in (State noted in Item 16b) only.”

LABELS. All labels that will appear on the bottle must be firmly affixed to the form with GLUE or

TAPE (DO NOT STAPLE). Printer’s proofs and photocopies are acceptable. If labels are in the

4. Certification/Exemption of Label/Bottle Approval covers products in containers bearing a set of labels

form of can flats, a photostatic copy is requested. Pen and ink changes, whiting out information,

identical to the set affixed to the front of this certificate. It also covers products in containers bearing

type-overs, crossing out information, and/or pasting labels over labels are prohibited. Oversize

labels differing in only the following ways from those affixed to this certificate. IF YOU WISH TO

labels must be reduced prior to affixing to the application form. Indicate in Item 17 that labels have

MAKE A CHANGE THAT IS NOT LISTED BELOW, A NEW LABEL APPROVAL IS REQUIRED.

been reduced and the percentage of reduction. A filled representative sample bottle must

accompany each application covering etched/embossed containers or applications with acetate

a. In shape or proportionate size of labels.

(clear) labels.

In net content statement. However, the Bureau recommends submission of separate applica-

III. SPECIFIC INSTRUCTIONS

tions for containers of 237 ml or less, containers over 237 ml to 3 liters, and containers over 3

liters to insure compliance with the Alcoholic Beverage Labeling Act of 1988 (Government

ITEM

Warning Statement) .

If you have not been assigned a vendor code number by ATF, leave this blank. Submit this

In name and/or tradename of responsible winery, DSP, brewery or importer provided the name/

application form with a copy of your ATF Basic Permit or Brewers Notice (New Filers) so that a

tradename has been added to original Basic Permit or Brewers Notice under which the original

vendor code number can be assigned to you. Use this number on all future applications.

label was issued.

If you have several vendor codes assigned to your company, use the vendor code issued for the

d. In name and/or address of the foreign producer, bottler or shipper, if the producer, bottler, or

address at which bottling, relabeling or importation will occur.

shipper is located in the same country originally shown.

You must assign a sequential serial number beginning with the last two digits of the current calendar

In statement of percentage of neutral spirits and name of commodity from which produced

year to EACH APPLICATION AND ITS DUPLICATE, NOT TO EXCEED 6 CHARACTERS; e.g.,

provided it does not alter the class and type.

98-1, 98-2, etc.

In alcohol percentage by volume on distilled spirits unless it alters the class and type.

A brand name is the name under which the product is sold. If the product is not sold under a brand

name, the name of the bottler, packer, or importer becomes the brand name.

g. In period of age stated unless it alters the class and type of the product.

Specify exact designation under the standards of identity in 27 CFR Parts 4, 5, and 7e. g., Gin,

h. In statement of age and percentage on distilled spirits provided it does not alter the class and

Distilled Spirits Specialty, Other Than Standard Wine, Beer, Flavored Malt Beverage, Chardonnay,

type.

etc.

In stated vintage date of wine or deletion of vintage year. NOTE: If vintage date is deleted no

A fanciful name is a name which further identifies the product and is required for some specialty

reference to “Vintage” may be made on any label or other materials (e.g. caps, celoseals, corks,

products. It may be used for other products.

etc.) affixed to the bottle. Vintage dates may NEVER BE ADDED, ONLY CHANGED OR

DELETED.

This item will reflect the type of business filing the application: (a) the plant registry number if the

applicant is a bottler or packer of distilled spirits or wine, (b) the brewer’s notice number if the appli-

By adding a statement of net contents to the brand, back, or other label corresponding to the

cant is a brewer or (c) the importer’s basic permit number if the applicant is an importer of distilled

required statement shown elsewhere on the labels or blown into the bottle.

spirits, wine or beer. Wholesalers applying to relabel should reflect the wholesaler’s basic permit

number in this item.

In the case of malt beverages, by adding, deleting, or changing a statement of alcoholic content,

or other statements required by the state in which the beverage is to be sold.

Indicate your company name and current address exactly as they appear on your Plant Registry,

Brewers Notice or Basic Permit (include approved DBA or trade name used on label). A separate

By adding, deleting, or changing on the brand or back label, the name and address or trademark

mailing address may appear directly under the required name and address in item 7a.

(or both) of the wholesaler, retailer, or persons for whom imported or bottled, or by adding

another label stating such information provided that no reference is thereby made to the product

7a. If item 7a does not pertain to you, use this space to reflect multiple plant locations. Cross out the

or any of its characteristics.

words “Mailing Address, if different”.

m. In stated amount of sugar at harvest or residual sugar of wines.

For any domestic wine and distilled spirits product requiring a formula, show the formula number.

Attach a copy of the approved formula (except for vermouth) with the application for label approval.

n. In stated bottling date.

For domestic products produced under a formula which was not manufactured by the applicant, a

copy of the approved formula is requested but a statement giving the name and address of the

In the case of wines, a change in the alcohol content statement, if within the prescribed limitation

producer and the formula number may be substituted.

for that class or type of wine and within the same taxable grade.

For any domestically produced flavored malt beverage product or any domestically produced malt

In stated amount of acid or ph level. One or both may be deleted from label.

beverage marketed under any name other than beer, lager, stout, etc., a copy of the approved

statement of process or formula is required.

q. In adding bonded winery number in direct conjunction with the bottler’s name and address.

If your product requires a formula or statement of process (SOP), please do not submit your

In stated percentages for varietal and/or appellation. (Must equal 100%).

application for label approval until your formula or SOP is approved; we will return any which are

submitted without an approved formula or approved SOP when required.

In stated caloric content for wine or distilled spirits.

For any imported products requiring pre-import approval, show the lab number and date of letter.

In stated average analysis for malt beverages provided change is in compliance with Industry

A copy of this letter must be attached to the label application at the time of submission.

Circular 80-5.

10. Indicate the size (net contents) covered by label(s) affixed to the application. You may submit a

u. By adding or changing UPC Code as permitted by Industry Circular 77-23.

range of sizes, if known, at the time of submission of the application.

By adding, deleting, or changing a web site address, phone number, fax number or zip code.

The recordkeeping requirement for this information collection is 3 years.

PAPERWORK REDUCTION ACT NOTICE

This request is in accordance with the Paperwork Reduction Act of 1995. This information collected is used to detemine whether a label for alcoholic beverages states required

information and does not contain any prohibited information or material as required by Federal laws and regulations administered by ATF. The information required is mandatory by statute

(27 U.S.C. 205) and is used to obtain a benefit.

The estimated average burden associated with this collection of information is 30 minutes per respondent or recordkeeper, depending on individual circumstances. Comments concerning

the accuracy of this burden estimate and suggestions for reducing this burden should be addressed to Reports Management Officer, Document Services Branch, Bureau of Alcohol,

Tobacco and Firearms, Washington, DC 20226.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

Application For And Certification/exemption Of Label/bottle Approval Page 2

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