This subpart explains the requirements for amending a distilled spirits plant registration and, if applicable, an operating permit. For information regarding amendments to a basic permit issued under the Federal Alcohol Administration Act, see part 1 of this chapter.
If there is a change in any of the information in the proprietor's current, approved notice of registration, the proprietor must amend the registration within 30 days of the change unless another time period is specified in this subpart. To amend a registration the proprietor must submit in writing to the appropriate TTB officer any information necessary to make the registration file current and accurate.
(a)
(b)
(c)
If the name of the of the proprietor changes, the proprietor may not conduct operations under the new name before TTB approves the amended registration. The proprietor must file either an amended form TTB F 5110.41, Registration of Distilled Spirits Plant, or a letterhead application to reflect the change. However, the proprietor does not have to file a new bond or consent of surety.
The proprietor must notify TTB of any changes in the list of stockholders or persons with interest that was filed with TTB as required by § 19.93. If the change results in a change of control, the proprietor must file form TTB F 5110.41, Registration of Distilled Spirits Plant, within 30 days of the change. If the change does not cause a change of control, the proprietor:
(a) May file a letterhead notice to amend the registration;
(b) May file the amended notice on May 1 of each year rather than within 30 days of the change, or on any other date that the appropriate TTB Officer may approve; and
(c) Must incorporate all changes submitted by letterhead notice in the next TTB F 5110.41 filed.
(a)
(1) The proprietor must file an amended form TTB F 5110.41, Registration of Distilled Spirits Plant, or a letterhead notice to reflect the change;
(2) The proprietor must provide the name and address of each new officer, director, member or manager; and
(3) The proprietor must incorporate all changes submitted by letterhead notice in the next TTB F 5110.41 filed.
(b)
(a)
(1)
(2)
(i) Must file form TTB F 5110.41, Registration of Distilled Spirits Plant, and receive from TTB an approved notice of registration of the plant;
(ii) Must file the required bonds; and
(iii) May adopt the approved formulas of its predecessor in accordance with §§ 5.28 and 20.63 of this chapter.
(b)
(1) The fiduciary may furnish a consent of surety to extend the terms of the predecessor's bond instead of filing a new bond;
(2) The fiduciary may incorporate by reference in the application for registration on TTB F 5110.41 any information contained in the predecessor's application for registration that is still current;
(3) The successor must furnish a certified copy of the order of the court or other pertinent document showing the successor's qualification as fiduciary; and
(4) The effective date of the qualifying documents that the fiduciary files will be the date of the court order,
(a) If there is a death or insolvency of a partner in the business registered under this part, the surviving partner or partners may continue to operate under the notice of registration if:
(1) The partnership is not terminated under the laws of the particular State but continues until the winding up of the partnership affairs is complete;
(2) The surviving partner or partners have exclusive right to the control and possession of the partnership assets for purposes of liquidation and settlement; and
(3) A consent of surety is filed where the surety and the surviving partner or partners agree to remain liable on the operations or unit bond.
(b) If the surviving partner or partners acquire the business upon settlement of the partnership, the surviving partner or partners must file as an incoming proprietor and receive an approved notice of registration of the plant in accordance with § 19.116(a).
(a) If the location of the plant changes, the proprietor must:
(1) File form TTB F 5110.41, Registration of Distilled Spirits Plant, to amend the registration;
(2) File a new bond or a consent of surety on form TTB F 5000.18; and
(3) Not begin operations at the new location prior to approval of the amended registration.
(b) If there is a temporary change of delivery address within a plant with no change in plant location, the proprietor may file a letterhead notice to temporarily amend the registration.
If the proprietor intends to extend or curtail any part of the plant premises, except under alternate operations that are covered by §§ 19.142 and 19.143, the proprietor must file form TTB F 5110.41, Registration of Distilled Spirits Plant, to amend the registration. The proprietor must not extend or curtail any premises or equipment before the amended registration is approved.
(a) If the proprietor wishes to conduct additional operations involving spirits, other than those approved on the current registration, the proprietor must:
(1) File form TTB F 5110.41, Registration of Distilled Spirits Plant, to amend the registration; and
(2) Not engage in the additional operations prior to approval of the amended registration.
(b) If the proprietor wishes to engage in another business that is authorized under § 19.55 the proprietor must:
(1) File TTB F 5110.41 to amend the registration;
(2) Include the information required under § 19.73(b); and
(3) Not engage in the other business until approval of the amended registration is received.
If the proprietor plans to produce a new product or make a change to the production procedure that will affect the designation of the product or substantially affect the character of the product, the proprietor must:
(a) File form TTB F 5110.41, Registration of Distilled Spirits Plant, to amend the registration;
(b) Provide a new statement of production procedure as described in § 19.77; and
(c) Receive approval of the amended registration before implementing the change in the production procedure.
(a) The proprietor must submit a letterhead notice before making any material change in the construction or use of buildings or equipment at the plant other than changes covered by
(1) Describe the proposed change in detail;
(2) Keep a copy of the letterhead notice on file with the current notice of registration; and
(3) Incorporate the change in the next amendment to the registration submitted on form TTB F 5110.41, Registration of Distilled Spirits Plant, unless the appropriate TTB officer requires immediate submission of an amended TTB F 5110.41.
(b) The proprietor may make emergency changes in construction or use of buildings and equipment without prior letterhead notice. However, the proprietor must promptly report any emergency change to the appropriate TTB officer.
If the proprietor makes changes to the personnel listed, or procedures contained in, the statement of plant security filed under § 19.76, the proprietor must:
(a) File a form TTB F 5110.41, Registration of Distilled Spirits Plant, or a letterhead application to amend the registration, in the case of any change in the description of plant security, employment of guard personnel, use of electronic or mechanical alarm system, or certification of required locks required under § 19.76(a) through (d);
(b) File a letterhead notice for any change in personnel who have custody and access to keys for the required locks as provided under § 19.76(e); and
(c) Incorporate any changes filed by letterhead notice in the next amendment to the registration on TTB F 5110.41 submitted, unless the appropriate TTB officer requires an immediate submission of TTB F 5110.41.
(a)
(1)
(2)
(3)
(b)
(a)
(1) If the operations that are authorized by the permit are leased, sold or transferred;
(2) If the company is dissolved on a certain date by an event specified in the laws of the State where the company operates; or
(3) In the case of a corporation, if actual or legal control of the corporation changes, directly or indirectly, whether by reason of change in stock ownership or control, by operation of law, or in any other manner, the permit will terminate 30 days after the change in control. However, if an application for a new permit covering the operations is made within this 30 day period, then the operating permit may remain in effect until TTB takes final action upon the new application. TTB's final action on the new application will automatically terminate the outstanding permit.
(b)
If the name of the proprietor changes, the proprietor must file a letterhead application to amend the operating permit. The proprietor may not conduct operations under the new name before TTB approves the amended operating permit. However, the proprietor does not have to file a new bond or consent of surety.
If the proprietor intends to change or add a trade name that will be used in the operation of the plant, the proprietor must file a letterhead application to amend the operating permit. The proprietor may not conduct operations under the new trade name before TTB approves the amended operating permit. However, the proprietor will not be required to file a new bond or consent of surety.
The proprietor must notify TTB of any changes in the list of stockholders or persons with interest that was filed with TTB as required by § 19.93(b). If the change results in a change of control, the proprietor must file form TTB F 5110.25, Application for Operating Permit Under 26 U.S.C. 5171(d), within 30 days of the change. If the change does not cause a change in control the proprietor:
(a) May file a letterhead notice to amend the operating permit;
(b) May file the amended notice the May 1st following the change in control year rather than within 30 days of the change, or on any other date that the appropriate TTB Officer may approve; and
(c) Must incorporate all changes submitted by letterhead notice in the next TTB F 5110.25 filed.
(a)
(1) File form TTB F 5110.25 Application for Operating Permit Under 26 U.S.C. 5171(d) or a letterhead notice to amend the operating permit;
(2) Provide the name and address for each new officer, director, member or manager; and
(3) Incorporate all changes submitted by letterhead notice in the next TTB F 5110.25 filed.
(b)
(a)
(1)
(2)
(i) Must file form TTB F 5110.25 Application for Operating Permit Under 26 U.S.C. 5171(d) and obtain an operating permit;
(ii) Must file the required bonds; and
(iii) May adopt the approved formulas of its predecessor in accordance with §§ 5.28 and 20.63 of this chapter.
(b)
(1) The fiduciary may furnish a consent of surety to extend the terms of the predecessor's bond instead of filing a new bond;
(2) On TTB F 5110.25, Application for Operating Permit Under 26 U.S.C. 5171(d), the fiduciary may incorporate by reference any information contained in the predecessor's application that is still current;
(3) The successor must furnish a certified copy of the order of the court or other pertinent document showing the successor's qualification as fiduciary; and
(4) The effective date of the qualifying documents that the fiduciary files will be the date of the court order, the date specified in the order whereby the fiduciary assumes control, or if there is no court order, the date that the fiduciary assumed control.
(a) If there is a death or insolvency of a partner in a company that holds an operating permit under this part, the surviving partner or partners may continue to operate under the operating permit if:
(1) The partnership is not terminated under the laws of the particular State but continues until the winding up of the partnership affairs is complete;
(2) The surviving partner or partners have exclusive right to the control and possession of the partnership assets for purposes of liquidation and settlement; and
(3) A consent of surety is filed where the surety and the surviving partner or partners agree to remain liable on the operations or unit bond.
(b) If the surviving partner or partners acquire the business upon settlement of the partnership, the surviving partner or partners must file as an incoming proprietor and receive approval of the operating permit as required under § 19.132(a)(2).
If the location of the plant changes, the proprietor must:
(a) File form TTB F 5110.25, Application for Operating Permit Under 26 U.S.C. 5171(d), to amend the operating permit;
(b) File a new bond or a consent of surety on form TTB F 5000.18; and
(c) Not begin operations at the new location prior to approval of the amended operating permit.
If the proprietor wishes to conduct additional operations involving spirits, other than those already approved on the current operating permit, the proprietor must:
(a) File form TTB F 5110.25 Application for Operating Permit Under 26 U.S.C. 5171(d) to amend the permit; and
(b) Not engage in the additional operation prior to approval of the amended permit.
(a)
(1) A description of the areas, rooms or buildings, or combination of rooms or buildings that will alternate between proprietors;
(2) The method that the proprietor will use to separate the alternated premises from any premises that will not be alternated; and
(3) Diagrams of the parts of the plant that will be alternated.
(b)
(1) The plant number and the name of the proprietor filing the notice;
(2) Identification of the outgoing proprietor and incoming proprietor (by name and plant number);
(3) The effective date and hour of the alternation;
(4) Identification of any applicable diagrams provided with the registration of each proprietor filed under paragraph (a) of this section, showing the portions of the premises involved in the alternation;
(5) The purpose of the alternation;
(6) If distilling materials, unfinished or finished spirits, denatured spirits, or wine will be transferred to the incoming proprietor, a statement to that effect; and
(7) If denatured spirits or articles will be retained in the processing account in locked tanks during the period of alternate proprietorship, a statement to that effect.
(c)
(1) Completely process all distilling materials and unfinished spirits in any bonded areas, rooms, or buildings that will alternate unless the outgoing proprietor transfers them to the incoming proprietor; and
(2) Mark and remove all finished spirits in the name in which they were produced before a production gauge is made by the incoming proprietor.
(d)
(1) Transfer in bond any spirits or wines in any bonded areas, rooms, or buildings that will be alternated; and
(2) Execute a form TTB F 5000.18, Change of Bond (Consent of Surety), to continue in effect the operations or unit bond whenever operations of the areas, rooms, or buildings will be resumed by the outgoing proprietor following suspension of operations by the other proprietor.
(e)
(1) Before the effective date and time of the alternation, must process to completion and remove from the affected area all spirits, denatured spirits, wines, or articles located in any rooms, areas, or buildings that will alternate, or must transfer these spirits, wines, and articles in bond to the incoming proprietor;
(2) Must execute a TTB F 5000.18, Change of Bond (Consent of Surety), to continue in effect the operations or unit bond whenever operations of the areas, rooms, or buildings will be resumed by the outgoing proprietor following suspension of operations by the other proprietor; and
(3) May retain denatured spirits and articles in tanks locked with approved locks if the outgoing proprietor maintains custody and control of the locks
(f)
(a)
(b)
(1) A description of the areas, rooms or buildings, or combination of rooms or buildings that will be alternated;
(2) A diagram of the parts of the plant that the proprietor will use for the alternation; and
(3) The method that the proprietor will use to separate the alternated premises from any premises not subject to alternation.
(c)
(1) The name and plant number of the proprietor filing the notice;
(2) The date and hour the alternation will take place;
(3) Identification of any applicable diagrams provided with the registration filed under paragraph (b) of this section, showing the portions of the premises involved in the alternation;
(4) The purpose of the alternation;
(5) If the alternation is for gauging or processing distilled spirits, a statement to that effect; and
(6) An indication of the class of temporary customs warehouse, if applicable.
(d)
(e)
(f)
(a)
(1) An adjacent bonded wine cellar;
(2) An adjacent taxpaid wine bottling house;
(3) An adjacent brewery; or
(4) Facilities for the manufacturer of eligible flavors.
(b)
(1)
(2)
(3)
(4)
(5)
(c)
(d)
(1)
(ii) Prior to alternation from wine premises to distilled spirits plant premises, the proprietor must remove all wine and spirits from the wine premises that will be alternated. However, the proprietor may keep wine on the premises if it is being transferred in bond under § 19.402(b)(1). Further, the proprietor may keep spirits on the premises if they are being returned from bonded wine cellar premises to distilled spirits plant bonded premises under § 19.454.
(2)
(3)
(4)
(e)
The proprietor may temporarily extend or curtail the distilled spirits plant premises for alternate use with the premises of a contiguous volatile fruit-flavor concentrate plant. If a proprietor wishes to use all or a portion of the premises alternately as a volatile fruit-flavor concentrate plant or vice versa, the proprietor must comply with the requirements of §§ 18.39 and 18.41 through 18.43 of this chapter.
If the proprietor plans to permanently discontinue one or more of the operations listed on the notice of registration filed under subpart D of this part, the proprietor must notify the appropriate TTB officer by filing form TTB F 5110.41, Registration of Distilled Spirits Plant, to show discontinuance of operations. The proprietor must submit the following with TTB F 5110.41:
(a) The permit covering each discontinued operation;
(b) A written request for cancellation of the permit(s);
(c) A written statement indicating whether or not—
(1) The proprietor has lawfully disposed of all spirits, denatured spirits, articles, wines, liquor bottles, and other pertinent items;
(2) There are any spirits, denatured spirits, wines, or liquor bottles in transit to the premises; and
(3) The proprietor has secured and returned to the appropriate TTB officer for cancellation all approved applications for transfer of spirits and denatured spirits to the premises; and
(d) A final monthly operations report, as provided for under § 19.632, for each discontinued operation, with each report marked “Final Report.”