[Federal Register Volume 66, Number 72 (Friday, April 13, 2001)]
[Rules and Regulations]
[Pages 19084-19086]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-9237]


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DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco and Firearms

27 CFR Part 13

[T.D. ATF-449]
RIN 1512-AC21


Labeling Proceedings; Delegation of Authority

AGENCY: Bureau of Alcohol, Tobacco and Firearms (ATF), Treasury.

ACTION: Treasury decision, final rule.

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SUMMARY: Authority delegation. This final rule places all ATF 
authorities contained in regulations on ``Labeling Proceedings'' with 
the ``appropriate ATF officer'' and requires that persons file 
documents required by those regulations with the ``appropriate ATF 
officer'' or in accordance with the instructions on the ATF form. This 
final rule removes the definitions of, and references to, specific ATF 
officers subordinate to the Director. Concurrently with this Treasury 
Decision, ATF Order 1130.21 is being published. Through this order, the 
Director has delegated the authorities in those regulations to the 
appropriate ATF officers and specified the ATF officers with whom 
appeals and other documents are filed.

EFFECTIVE DATE: April 13, 2001.

FOR FURTHER INFORMATION CONTACT: Lisa M. Gesser, Regulations Division, 
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue NW., 
Washington, DC 20226, (202-927-9347) or e-mail at 
[email protected].

SUPPLEMENTARY INFORMATION:

Background

    Pursuant to Treasury Order 120-01 (formerly 221), dated June 6, 
1972, the Secretary of the Treasury delegated to the Director of the 
Bureau of Alcohol, Tobacco and Firearms (ATF), the authority to 
enforce, among other laws, the provisions of the Federal Alcohol 
Administration Act (FAA). The Director has subsequently redelegated 
certain of these authorities to appropriate subordinate officers by way 
of various means, including by regulation, ATF delegation orders, 
regional directives or similar delegation documents. ATF has determined 
that this multiplicity of delegation instruments complicates and 
hinders the task of determining which ATF officer is authorized to 
perform a particular function.
    ATF has decided that all delegations of the Director's authorities 
will be compiled in ATF Delegation Orders. Each part or related parts 
of title 27 Code of Federal Regulations (CFR) will have its own 
corresponding order in which all authorities of the Director are 
delegated. Using a delegation order for this purpose eliminates the 
necessity of rewriting the regulations each time there is a change in 
authority or a change to the title of an ATF officer. This action both 
simplifies the process for determining what ATF officer is authorized 
to perform a particular function and facilitates the updating of 
delegations in the future.
    ATF has begun making these changes to all other parts of 27 CFR 
through separate rulemakings. By amending the regulations part by part, 
rather than in one large rulemaking document and ATF delegation order, 
ATF minimizes the time expended in notifying interested parties of 
current delegations of authority.
    Accordingly, this final rule rescinds all authorities of the 
Director in part 13 that were previously delegated. All references to 
specific ATF officers, other than the Director, have been removed and 
replaced with the words ``appropriate ATF officer.'' Along with this 
final rule, ATF is publishing ATF Order 1130.21, Delegation Order--
Delegation of the Director's Authorities in Part 13--Labeling 
Proceedings. This Order lists the specific ATF officers with whom 
appeals and other documents are to be filed.
    In addition, this final rule also eliminates all references in the 
regulations that identify the ATF officer with whom an ATF form is 
filed. This is because ATF forms will indicate the officer with whom 
they must be filed. Similarly, this final rule also amends part 13 to 
provide that submission of documents other than ATF forms (such as 
letterhead applications, notices and reports) must be filed with the 
``appropriate ATF officer'' identified in ATF Order 1130.21. These 
changes will facilitate the identification of the officer with whom 
forms and other required submissions are filed.
    This final rule amends Subpart A--Scope and Construction of 
Regulations, and Subpart C--Applications of 27 CFR part 13. 
Specifically, two new sections, Sec. 13.2 and Sec. 13.20, are added. 
Section 13.2 is added to recognize the authorities in part 13 and to 
identify ATF Order 1130.21 as the instrument reflecting such 
delegations. Section 13.20 is added to indicate who is authorized to 
prescribe the forms required by this part and how to access those 
forms, and to provide that the instructions for an ATF form identify 
the ATF officer with whom it must be filed.
    This final rule also makes a typographical amendment correcting the 
reference to Sec. 13.45 to read Sec. 13.44 in Sec. 13.72(b).

Paperwork Reduction Act

    The provisions of the Paperwork Reduction Act of 1995, Public Law 
104-13, 44 U.S.C. Chapter 35, and its implementing regulations, 5 CFR 
part 1320, do not apply to this final rule because there are no new or 
revised recordkeeping or reporting requirements.

Regulatory Flexibility Act

    Because no notice of proposed rulemaking is required for this rule 
under the Administrative Procedures Act (5 U.S.C. 553), the provisions 
of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) do not apply. 
We sent a copy of this final rule to the Chief Counsel for

[[Page 19085]]

Advocacy of the Small Business Administration in accordance with 26 
U.S.C. 7805(f). No comments were received.

Executive Order 12866

    It has been determined that this rule is not a significant 
regulatory action because it will not: (1) Have an annual effect on the 
economy of $100 million or more or adversely affect in a material way 
the economy, a sector of the economy, productivity, competition, jobs, 
the environment, public health or safety, or State, local or tribal 
governments or communities; (2) create a serious inconsistency or 
otherwise interfere with an action taken or planned by another agency; 
(3) materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs or the rights and obligations of recipients 
thereof; or (4) raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
Executive Order 12866.

Administrative Procedure Act

    Because this final rule merely makes technical amendments and 
conforming changes to improve the clarity of the regulations, it is 
unnecessary to issue this final rule with notice and public procedure 
under 5 U.S.C. 553(b). Similarly it is unnecessary to subject this 
final rule to the effective date limitation of 5 U.S.C. 553(d).

Drafting Information

    The principal author of this document is Lisa M. Gesser, 
Regulations Division, Bureau of Alcohol, Tobacco and Firearms.

List of Subjects in 27 CFR Part 13

    Administrative practice and procedure, Alcohol and alcoholic 
beverages, Appeals, Applications, Certificates of label approval, 
Certificates of exemption from label approval, Denials, Distinctive 
liquor bottle approvals, Informal conferences, Labeling, Revocations.

Authority and Issuance

    Title 27, Code of Federal Regulations is amended as follows:

PART 13--LABELING PROCEEDINGS

    Paragraph 1. The authority citation for part 13 continues to read 
as follows:

    Authority: 27 U.S.C. 205(e), 26 U.S.C. 5301 and 7805.

    Par. 2. In Subpart A, add Sec. 13.2 to read as follows:
* * * * *


Sec. 13.2  Delegations of the Director.

    All of the regulatory authorities of the Director contained in part 
13 of the regulations are delegated to appropriate ATF officers. These 
ATF officers are specified in ATF Order 1130.21, Delegation Order--
Delegation of the Director's Authorities in 27 CFR Part 13--Labeling 
Proceedings. ATF delegation orders, such as ATF Order 1130.21, are 
available to any interested person by mailing a request to the ATF 
Distribution Center, P.O. Box 5950, Springfield, Virginia 22150-5950, 
or by accessing the ATF web site (http://www.atf.treas.gov).
* * * * *


Sec. 13.11  [Amended]

    Par. 3. Amend Sec. 13.11 as follows:
    a. Remove the definitions of ``Assistant Director, Alcohol and 
Tobacco,'' ``Chief, Alcohol and Tobacco Programs Division,'' ``Chief, 
Product Compliance Branch'' and ``Product Compliance Branch 
Specialist.''

    b. Add and list alphabetically, the new definition ``Appropriate 
ATF officer,'' to read as follows:


Sec. 13.11  Meaning of terms.

* * * * *
    Appropriate ATF officer. An officer or employee of the Bureau of 
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions 
relating to the administration or enforcement of this part by ATF Order 
1130.21, Delegation Order--Delegation of the Director's Authorities in 
27 CFR Part 13--Labeling Proceedings.
* * * * *
    c. Remove the word ``Director'' in the definition of the term 
``Liquor bottle'' and add, in substitution, the words ``appropriate ATF 
officer.''

    Par. 4. In Subpart C, add Sec. 13.20 to read as follows:


Sec. 13.20  Forms prescribed.

    (a) The appropriate ATF officer is authorized to prescribe all 
forms required by this part. All of the information called for in each 
form must be furnished as indicated by the headings on the form and the 
instructions on or pertaining to the form. In addition, the information 
called for in each form is that which is required by this part. The 
form will be filed in accordance with the instructions on the form.
    (b) Forms may be requested from the ATF Distribution Center, P.O. 
Box 5950, Springfield, Virginia 22150-5950, or by accessing the ATF web 
site (http://www.atf.treas.gov).


Sec. 13.21  [Amended]

    Par. 5. Amend Sec. 13.21 as follows:
    a. In the first sentence of paragraph (a), remove the words ``to 
the Product Compliance Branch, Bureau of Alcohol, Tobacco and Firearms, 
Washington, DC 20226'' and add, in substitution, the words ``according 
to the instructions for that form''; and
    b. Revise paragraph (b) to read as follows:


Sec. 13.21  Application for certificate.

* * * * *
    (b) Time period for action on application. Within 90 days of 
receipt of an application, the appropriate ATF officer must notify the 
applicant whether the application has been approved or denied. The 
appropriate ATF officer may extend this period of time once, by an 
additional 90 days, if he or she finds that unusual circumstances 
require additional time to consider the issues presented by an 
application. If the appropriate ATF officer extends the period, he or 
she must notify the applicant by letter, along with a brief explanation 
of the issues presented by the label. If the applicant receives no 
decision from the appropriate ATF officer within the time periods set 
forth in this paragraph, the applicant may file an appeal as provided 
in Sec. 13.25.


Sec. 13.23  [Amended]

    Par. 6. In Sec. 13.23, remove the words ``a Product Compliance 
Branch Specialist'' and add, in substitution, the words ``the 
appropriate ATF officer.''


Secs. 13.25, 13.26, 13.27, 13.41, 13.42, 13.43, 13.52, 13.53, 13.54, 
and 13.61  [Amended]

    Par. 7. Amend part 13 by removing the words ``Chief, Product 
Compliance Branch,'' and the words ``Chief, Alcohol and Tobacco 
Programs Division,'' each place they appear, and adding, in 
substitution, the words ``appropriate ATF officer'' in the following 
places:
    a. Section 13.25(a);
    b. Section 13.26(a) and (b);
    c. Section 13.27(c);
    d. Section 13.41;
    e. Section 13.42;
    f. Section 13.43(a) and (b);
    g. Section 13.52;
    h. Section 13.53;
    i. The first sentence of paragraph (a) and the first, third, and 
fourth sentences of paragraph (b) in Sec. 13.54; and
    j. Section 13.61(b).


Sec. 13.25  [Amended]

    Par. 8. Amend paragraph (b) of Sec. 13.25 by removing the words 
``Specialist or the Chief, Product Compliance Branch'' and add, in

[[Page 19086]]

substitution, the words ``appropriate ATF officer.''

    Par. 9. Revise paragraphs (a) and (b) of Sec. 13.27 to read as 
follows:


Sec. 13.27  Second appeal of qualification or denial.

    (a) Form of appeal. The decision after appeal of qualification or 
denial may be appealed in writing to the appropriate ATF officer within 
45 days after the date of that decision. If the appropriate ATF officer 
concludes that the qualified approval or denial was correct, a copy of 
the application, marked ``appeal denied,'' must be returned to the 
applicant, with an explanation of the decision and the specific laws or 
regulations relied upon in qualifying or denying the application. If 
the appropriate ATF officer concludes that the certificate of label 
approval, certificate of exemption from label approval, or distinctive 
liquor bottle application should be approved without qualification, the 
applicant may resubmit ATF Form 5100.31 and the certificate will be 
issued.
    (b) Time limits for decision after second appeal. Within 90 days of 
receipt of the second appeal, the appropriate ATF officer must notify 
the appellant whether the appeal has been granted or denied. If an 
applicant requests an informal conference as part of an appeal, as 
authorized in Sec. 13.71, the 90-day period will begin 10 days after 
the date of the conference to allow for consideration of any written 
arguments, facts or evidence submitted after the conference. The 
appropriate ATF officer may extend this period of time once, by an 
additional 90 days, if he or she finds that unusual circumstances 
require additional time to consider the unique issues presented by an 
appeal. If the appropriate ATF officer extends the time period, he or 
she must notify the applicant by letter, briefly explaining the issues 
presented by the label. The decision made on the second appeal shall be 
the final decision of ATF.
* * * * *

    Par. 10. Revise Sec. 13.44 to read as follows:


Sec. 13.44  Appeal of revocation.

    (a) Filing of appeal. A certificate holder who wishes to appeal the 
decision to revoke a certificate of label approval, certificate of 
exemption from label approval, or distinctive liquor bottle approval, 
may file a written appeal setting forth why the holder believes that 
the decision was erroneous. The appeal must be filed with the 
appropriate ATF officer within 45 days after the date of receipt of the 
decision to revoke a certificate of label approval, certificate of 
exemption from label approval, or distinctive liquor bottle approval.
    (b) Judicial review. An appeal to the appropriate ATF officer is 
required prior to application to the Federal courts for review of any 
revocation of a certificate.


Sec. 13.45  [Amended]

    Par. 11. Amend Sec. 13.45 as follows:
    a. Remove the words ``Assistant Director, Alcohol and Tobacco'' 
from the first sentence in paragraph (a) and from the first, third and 
fourth sentences in paragraph (b), and add, in substitution, the words 
``appropriate ATF officer''; and
    b. Revise the last sentence of paragraph (b) to read ``The final 
decision after appeal will be the final decision of ATF.''


Sec. 13.54  [Amended]

    Par. 12. Amend Sec. 13.54 as follows:
    a. Revise the last sentence of paragraph (a) to read ``The decision 
after appeal will be the final decision of the ATF.''
    b. Revise the last sentence of paragraph (b) to read ``The decision 
of the appropriate ATF officer shall be the final decision of the 
ATF.''

    Par. 13. Revise Sec. 13.62 to read as follows:


Sec. 13.62.  Third-party comment on certificates.

    When a third party (such as foreign government, another Federal 
agency, a State agency, an industry association, a competitor of a 
certificate holder, a consumer or consumer group, or any other 
interested person) wishes to comment on an approved certificate of 
label approval, certificate of exemption from label approval, or 
distinctive liquor bottle approval, such comments should be submitted 
in writing to the appropriate ATF officer who will review the subject 
of the comment. If the comment raises an issue that is outside the 
scope of ATF's statutory or regulatory authority, or the appropriate 
ATF officer determines that the certificate is in compliance with 
applicable law and regulations, the commenter will be informed that no 
further action will be taken. If the appropriate ATF officer determines 
that the commenter has raised a valid issue that ATF has authority to 
address, he or she will initiate appropriate action. The appropriate 
ATF officer may, in his or her discretion, notify the commenter as to 
the action being taken by ATF with respect to the certificate.
* * * * *


Sec. 13.71  [Amended]

    Par. 14. Revise Sec. 13.71 to read as follows:


Sec. 13.71  Informal conferences.

    (a) General. As part of a timely filed written appeal of a notice 
of denial, a notice of proposed revocation, or a decision to revoke a 
certificate, an applicant or certificate holder may file a written 
request for an informal conference with the appropriate ATF officer 
deciding the appeal.
    (b) Informal conference procedures. The appropriate ATF officer and 
the applicant or certificate holder will agree upon a date for an 
informal conference. The informal conference is for purposes of 
discussion only, and no transcript shall be made. If the applicant or 
certificate holder wishes to rely upon arguments, facts, or evidence 
presented at the informal conference, he or she has 10 days after the 
date of the conference to incorporate such arguments, facts, or 
evidence in a written submission to the appropriate ATF officer.


Sec. 13.72  [Amended]

    Par. 15. Amend Sec. 13.72(b) as follows:
    a. Remove the words ``from the Chief, Alcohol and Tobacco Programs 
Division, pursuant to Sec. 13.45'' and add, in substitution, the words 
``pursuant to Sec. 13.44''; and
    b. Remove the words ``Assistant Director, Alcohol and Tobacco'' and 
add, in substitution, the words ``appropriate ATF officer.''


Sec. 13.74  [Amended]

    Par. 16. Amend the first sentence of Sec. 13.74 by removing the 
words ``by the Chief, Alcohol and Tobacco Programs Division, or the 
Assistant Director, Alcohol and Tobacco.''


Sec. 13.92  [Amended]

    Par. 17. Amend Sec. 13.92 by removing the words ``Chief, Product 
Compliance Branch, the Chief, Alcohol and Tobacco Programs Division, or 
the Assistant Director, Alcohol and Tobacco'' and add, in substitution, 
the words ``appropriate ATF officer deciding the appeal.''

Bradley A. Buckles,
Director.
    Approved: March 13, 2001.
Timothy E. Skud,
Acting Deputy Assistant Secretary (Regulatory, Tariff and Trade 
Enforcement).
[FR Doc. 01-9237 Filed 4-12-01; 8:45 am]
BILLING CODE 4810-31-P