Form TTB F 5100.31 TTB F 5100.31 Application for and Certification/Exemption of Label/Bot

OMB No. 1513-0020

(01/31/2009)

FOR TTB USE ONLY

DEPARTMENT OF THE TREASURY

TTB ID

ALCOHOL AND TOBACCO TAX AND TRADE BUREAU

APPLICATION FOR AND CERTIFICATION/EXEMPTION OF
LABEL/BOTTLE APPROVAL

1. REP. ID. NO. (If any)

CT

2 .PLANT REGISTRY/BASIC
2.

3. SOURCE OF PRODUCT

OR

(See Instructions and Paperwork Reduction Act Notice Below)

(Required)

PERMIT/BREWER'S NO. (Required)

Domestic

Imported

4. SERIAL NUMBER (Required) 5. TYPE OF PRODUCT
(Required)
YEAR
WINE
DISTILLED SPIRITS
MALT BEVERAGES
6. BRAND NAME (Required)

PART I - APPLICATION
8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY, BASIC
PERMIT, OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF
USED ON THE LABEL (Required)

8a. MAILING ADDRESS, IF DIFFERENT

7. FANCIFUL NAME (If any)
9. E-MAIL ADDRESS

12. NET CONTENTS

15. WINE VINTAGE
DATE (If on label)

10. FORMULA/SOP NO. 11. LAB. NO. & DATE/PREIMPORT NO. & DATE (If any)
(If any)
13. ALCOHOL
CONTENT
16. PHONE NUMBER

(

)

18. TYPE OF APPLICATION (Check applicable box(es))
a.

CERTIFICATE OF LABEL APPROVAL

b.

CERTIFICATE OF EXEMPTION FROM LABEL APPROVAL
"For sale in
only" (Fill in State abbreviation)

c.

DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL
BOTTLE CAPACITY BEFORE CLOSURE
(Fill in amount)

d.

RESUBMISSION AFTER REJECTION
TTB ID

14. WINE APPELLATION (If on label)

17. FAX NUMBER

(

)

19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABELS AFFIXED

BELOW, OR (b) BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents, etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICA TES
PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS.

PART II - APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare: that all statements appearing on this application are true and correct to the best of my knowledge and belief;
and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the
containers to which these labels will be applied. I also certify that I have read, understood, and complied with the conditions and instructions which are
attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF APPLICATION 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR AUTHORIZED AGENT

PART III - TTB CERTIFICATE
This certificate is issued subject to applicable laws, regulations, and conditions as set forth in the instructions portion of this form.
23. DATE ISSUED

24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU

FOR TTB USE ONLY
QUALIFICATIONS

EXPIRATION DATE (If any)

AFFIX COMPLETE SET OF LABELS BELOW (See General Instructions 4, 6, and 7)

TTB F 5100.31 (01/2009)

PREVIOUS EDITIONS ARE OBSOLETE

I. PURPOSE OF THIS CERTIFICATE

This certificate is required for, and authorizes you to, bottle and remove the product identified on the certificate from the bonded area of the plant(s) identified on the certificate where
it was bottled or packed, or from Customs' custody. NOTE: This certificate does not constitute trademark protection.

II. CONDITIONS OF THIS CERTIFICATE

A. This certificate does not relieve you from liability for violations of the Federal Alcohol Administration Act, the Alcoholic Beverage Labeling Act of 1988, the Internal
Revenue Code, related regulations, or rulings.
B. You must ensure that: 1) all the information on your application is true and correct and 2) any and all information (including words, text, illustrations, graphics, etc.) shown or
presented on the label(s) affixed to this certificate is truthful, accurate and not misleading.

III. INSTRUCTIONS FOR COMPLETING AND SUBMITTING THIS APPLICATION

NOTE: Applications may be filed electronically by accessing the TTB website at https://www.ttbonline.gov/colasonline/
A. GENERAL INSTRUCTIONS
1. You must print or type your application and sign it in ink. Submit your application in duplicate to the ADVERTISING, LABELING AND FORMULATION DIVISION, ALCOHOL
AND TOBACCO TAX AND TRADE BUREAU, 1310 G Street, N.W., Fourth Floor, Suite 400, Washington, DC 20220. (paper filers only)
2. You may use exact copies of TTB F 5100.31 in lieu of an original form. Copies do not have to include the instruction page; however, you remain subject to all the provisions and
instructions outlined on the form. We suggest that you use an original form whenever possible. See Section IV for how to obtain a supply of forms. (paper filers only)
3. Generally, the person, firm, or corporation who will bottle or pack the product must file the application. However, for a product to be imported in containers intended for sale at
retail, the application must be filed by the importer. In the case of a product to be relabeled, the application must be filed by the wholesaler.
4. You must firmly affix (with glue or tape - DO NOT STAPLE) all labels that will appear on the container. Printer's proofs and photocopies are acceptable. If labels are in the form
of can flats, photocopies are requested. (paper filers only)
5 . You may NOT make pen and ink changes, white out information, type-over, cross out information, and/or paste information over labels affixed to this application.
(paper filers only)
6. You must reduce oversized labels so that they fit on the space provided. You must indicate in Item 19 that labels have been reduced and the percentage of reduction.
7. If your label is etched, embossed, or painted directly onto the container, or is clear acetate, you must submit a photograph of a filled representative bottle so that we may determine contrast and legibility of mandatory information. Photos should clearly show each side of the container that contains label information.

8. If you are submitting a box for label approval, all sides must appear on the front of the form and the amount of the reduction must be included in item 19 of the application.
B. SPECIFIC INSTRUCTIONS
ITEM 1. Applicable only for applications submitted by a third party. The third party will complete this item.
ITEM 2. Enter your plant registry number, basic permit number, or brewer's notice number as applicable. Wholesalers applying to relabel should enter the wholesaler's basic
permit number. If you intend to bottle at more than one of your locations (distilled spirits and malt beverages only), show the registry number/brewer's notice number of
each location where the product will be bottled. In this instance, Item 8 should reflect your principle place of business.
ITEM 3. Indicate the source of product by checking the appropriate box.
ITEM 4. You must assign a sequential serial number beginning with the last two digits of the current calendar year to each application and its duplicate, not to exceed 6 characters;
e.g., 02-1, 02-2, etc.
ITEM 5. Indicate the type of product by checking the appropriate box. For Sake, check the "wine" box.
ITEM 6. 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.
ITEM 7. A fanciful name is a name that further identifies the product and is required for some specialty products. It is optional for other products.
ITEM 8. Indicate your company name and current physical address exactly as they appear on your plant registry, basic permit, or brewers notice (include your approved DBA or
trade name if you use it on the label). In the case of distilled spirits and malt beverages bottled at more than one location, indicate your principle place of business address. A separate mailing address may appear directly under the required name and address in Item 8a.
ITEM 8a. You may use Item 8a to reflect additional registry numbers/brewer's notice numbers if the space provided in item 2 is insufficient. In this instance, cross out the words
"Mailing Address, if different."
ITEM 9. Provide the e-mail address of the person responsible for the application.
ITEM 10. For any domestic wine and distilled spirits product requiring a formula, you must show the formula number. You must also attach a copy of the approved formula (except
for vermouth) to your application. For domestic formulated products not manufactured by the applicant, a copy of the approved formula is requested, but you may substitute a statement giving the name and address of the producer and the formula number. For any domestically produced flavored malt beverage product or any domestically produced malt beverage marketed under any name other than beer, lager, stout, etc., you must submit a copy of the approved statement of process (SOP). You
must also show the SOP number. Do not submit your application for label approval until your formula or SOP is approved.
ITEM 11. For products requiring a lab analysis, indicate the lab number and date of approval. For products requiring pre-import approval, indicate the pre-import number as indicated on the letter. A copy of this letter must be attached to the application at the time of submission. Do not submit your application for label approval until your preimport letter is received.
ITEM 12. Indicate the size (net contents) covered by label(s) affixed to the application. You may submit a range of sizes, if known, at the time of submission of the application. You
must indicate in ITEM 19 if the net contents are blown, branded, or embossed in or on the container.
ITEM 13. Enter the alcohol content stated on the label.
ITEM 14. Fill in only if a wine appellation of origin is stated on the label.
ITEM 15. Fill in only if the wine vintage date is stated on the label.
ITEM 16. Provide the phone number of the person responsible for the application.
ITEM 17. Provide the fax number of the person responsible for the application.
ITEM 18. You must check "a" OR "b". You must also check "c" if you intend to bottle distilled spirits in a distinctive container. You must check "d" and enter the TTB ID number as
shown in the upper left hand corner of the rejected application if you are submitting an application that was previously rejected. You must also check a, b, or c to indicate
the type of application you are resubmitting. If you check "b": 1) you may only sell your product in the State where it is bottled AND 2) the statement "For sale in
________ only" (using State abbreviation) must appear on each container. We do not issue certificates of exemption for products imported in bottles or for malt
beverages. If you check "c," your application must include photographs of the front and back of the distinctive container.
ITEM 19. The instructions for this item are on the front of the form.
ITEM 20. Enter date application is prepared or submitted.
ITEM 21. The applicant or authorized agent must sign in this block.
ITEM 22. Signer's name must be printed in this block.
TTB F 5100.31 (01/2009)

IV. CONTACT INFORMATION
For A Supply Of This Form (TTB F 5100.31) Contact:
The form may be ordered electronically by accessing the TTB Web site at
http://www.ttb.gov/forms/index.htm
The form may be electronically accessed at the
TTB Web site at http://www.ttb.gov/forms/pdfs/5100/f51003l.pdf

For Additional Information Contact:
Advertising, Labeling and Formulation Division (ALFD)
Alcohol and Tobacco Tax and Trade Bureau
1310 G. Street, N.W., Fourth Floor, Suite 400,
Washington, DC 20220
Phone (202) 927-8140
1-866-927-2533 (Toll Free)
E-mail address: alfd@ttb.gov

V. ALLOWABLE REVISIONS TO APPROVED LABELS
The label(s) identified on and affixed to this certificate may be revised without re-approval as follows:
NOTE: Any revision(s) you make to your approved label(s): 1) may not compromise the truthfulness or accuracy of the information presented on the label AND 2) may not be
misleading as to the identity, origin, age, or other characteristics of the product.
REVISION APPLIES TO
DISTILLED
MALT
SPIRITS BEVERAGE

WINE

YOU MAY...
1.
2.

Delete any non-mandatory label information
Change the shape or proportionate size of labels

YES

YES

YES

YES

YES

YES

3.
4.

Change the stated percentages for varietal and/or appellation
Change the net contents statement

YES

NO

NO

YES

YES

YES

5.

Change the stated alcohol content

YES

YES

YES/
Flavored
Only

COMMENTS
Includes words, text, illustrations, graphics, etc.
e.g., Change in size and shape of a bottle designed for a tall 3 liter
bottle to fit a short, flat 500 mL bottle
Must total 100%
Change the net content statement, except that separate
applications must be submitted for containers of 237 mL or less,
containers over 237 mL to 3 liters, and containers over 3 liters, to
conform with the Alcohol Beverage Labeling Act of 1988.
Change may not alter:
< Class and type
< Taxable grade (for wine only)
See item number 6 for other MB products

6.

Add, delete, or change the stated alcohol content

N/A

N/A

YES

7.
8.

Add, delete, or change the state bottle deposit information
Add, delete, or change the statements required by the state in
which the beer is to be sold

YES

YES

YES

NO

NO

YES

9.

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

YES

YES

YES

The name/tradename must appear on the Basic Permit or Brewer's
Notice under which the certificate is issued

NO

YES

NO

Change may not alter the class and type

NO

YES

NO

YES

NO

NO

Change may not alter the class and type
See ATF Ruling 82-4 to determine when sugar statements are
mandatory

10. Change the statement of percentage of neutral spirits and name of
commodity from which produced
11. Change the stated mandatory period of age
12. Change the stated mandatory amounts of sugar at harvest and/or
residual sugar

Alcohol content is non-mandatory for non-flavored MB

NO

NO

YES

14. Change the stated mandatory caloric content
15. Change the name and/or address of the foreign producer, bottler,
or shipper

YES

YES

NO

YES

YES

YES

The producer, bottler, or shipper must be located in the same
country originally shown

16. Change or delete stated vintage date

YES

NO

NO

If vintage date is deleted no reference to "Vintage" may be made
on any label or other materials (e.g. caps, celoseals, corks, etc.)
affixed to the bottle

17. Add, delete, or change the name and/or address or trademark
(or both) of the wholesaler, retailer, or persons for whom the
product is imported or bottled

YES

YES

YES

You may add this information by adding another label stating such
information provided that no reference is made on the additional
label to the product or any of its characteristics

18. Change or delete stated bottling date

YES

YES

YES

19. Change or delete stated amount of acid and/or pH level
20. Add or delete bonded winery number

YES

NO

NO

YES

NO

NO

21. Add, delete, or change UPC code

YES

YES

YES

22. Add, delete, or change a Web site address, phone number, fax
number, or zip code
23. Change or delete a lot or batch identification number or other serial
numbers

YES

YES

YES

YES

YES

YES

YES

YES

YES

13. Change the stated mandatory average analysis

24. Add, delete, or change trademark and/or copyright symbols
i.e., TM, ©, ®

Changes must be in compliance with ATF Ruling 80-3

The bonded winery number must appear in direct conjunction with
the bottler's name and address
Addition or change of UPC Code must be in compliance with
Industry Circular 77-23

If you have questions about what is mandatory information and what is non-mandatory information, please contact ALFD. See Section IV for how to contact ALFD.

PAPERWORK REDUCTION ACT NOTICE
This request is in accordance with the Paperwork Reduction Act of 1995. We collect this information to verify your compliance with the Federal laws
and regulations we administer for the labeling of alcohol beverages. The information is mandated by statute (27 U.S.C. 205) and is used to obtain a
benefit.
We estimate 30 minutes as the average burden for you to complete this form depending on your individual circumstances. You may comment to us
about the accuracy of this burden estimate and suggest ways for us to reduce the burden. Address your comments or suggestions to: Reports
Management Officer, Regulations and Rulings Division, Alcohol and Tobacco Tax and Trade Bureau, Washington, DC 20220.
We may not conduct this collection of information, and you are not required to respond to this request, unless it displays a valid, current OMB control number.
PRIVACY ACT STATEMENT
We provide this information to comply with Section 3 of the Privacy Act of 1974 (5 U.S.C. 552a(e)(3)).
We require this information under the authority of 27 U.S.C. 205(e). You must disclose this information so we may verify your compliance with the
Federal laws and regulations we administer for the labeling of alcohol beverages.
We use this information for the purposes described in the preceding paragraph. In addition, the information may be disclosed to other Federal, State,
and local law enforcement and regulatory agency personnel to verify information on the application and to aid in the performance of their duties. The
information may further be disclosed to the Justice Department if it appears that the furnishing of false information may contribute to a violation of Federal
law. Disclosure may otherwise be made pursuant to the routine uses most recently published in the Federal Register for ATF's Regulatory Enforcement Records System (Treasury/ATF.008).
If you fail to supply complete information, then there will be a delay in the processing of your application.

TTB F 5100.31 (01/2009)