Certificates of Label Approval (COLAs) and Label and Advertising Claims Substantiation Records

Forms and Documents

Document Name	Status
1513-NEW Supporting Statement (Substantiation Records) Ver. 1.docx Supporting Statement A	2018-12-19

IC Document Collections

IC ID	Document Title	Status
234567	Certificates of Label Approval (COLAs) and Label and Advertising Claims Substantiation Records	New

ICR Details

OMB Control No: 1513-0141	ICR Reference No: 201812-1513-001
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: TREAS/TTB	Agency Tracking No: Notice No. 176 - 1/2
Title: Certificates of Label Approval (COLAs) and Label and Advertising Claims Substantiation Records
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 04/26/2019
	Date Received in OIRA: 02/22/2019
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: To provide consumers with adequate information as to the identity of alcohol beverage products, to prevent consumer deception, and to prohibit false or misleading statements on labels and in advertisements of such products, the Federal Alcohol Administration Act at 27 U.S.C. 205(e) and (f) requires that alcohol beverages sold or introduced into interstate or foreign commerce be labeled in conformity with regulations issued by the Secretary. The TTB regulations implementing the labeling and advertising provisions of the FAA Act, including the requirements to apply for and receive certificates of label approval (COLAs) or certificates of exemption of label approval are found in 27 CFR parts 4 (wine), 5 (distilled spirits), and 7 (malt beverages). In Notice No. 176, Modernization of the Labeling and Advertising Regulations for Wine, Distilled Spirits, and Malt Beverages, TTB is proposing to comprehensively reorganize its regulations governing the labeling and advertising of alcohol beverages in order to improve understanding of the regulatory requirements and to make compliance easier and less burdensome for industry members. As proposed, 27 CFR parts 4, 5, and 7 continue to contain the labeling regulations for wine, distilled spirits, and malt beverages, respectively, while the current subparts of parts 4, 5, and 7 that relate to advertising are removed from those parts and consolidated into a new part 14. In the proposed rule, TTB is proposing new recordkeeping requirements that will require alcohol beverage producers and importers to keep usual and customary records to substantiate: (1) COLA approval or exemption for products released into interstate or foreign commerce, and (2) claims made on any label or container subject to the requirements of part 4, 5, or 7, or any claim made in an advertisement subject to part 14. These substantiation requirements are new to the regulations, but they reflect TTB’s current expectations as to the level of evidence that industry members should have to support labeling claims. The proposed regulations also will require such records to be maintained and kept available for TTB inspection for five years from the time the alcohol beverage in question was removed from the bottling premises or from customs custody, or was last advertised, as applicable. TTB believes that these COLA approval and label and advertising claim substantiation records are necessary to ensure that labels applied to alcohol beverage containers are covered by a COLA or label approval exemption, and that claims made on the labels of alcohol beverage containers and claims made in advertisements for alcohol beverages are truthful, accurate, and not misleading and do not contain any prohibited practices.

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Authorizing Statute(s): US Code: 27 USC 205 (e) and (f) Name of Law: Federal Alcohol Administration Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1513-AB54	Proposed rulemaking	83 FR 60562	11/26/2018

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Certificates of Label Approval (COLAs) and Label and Advertising Claims Substantiation Records

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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:

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Annual Cost to Federal Government: $0

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.     No

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.     No

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? Uncollected

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Common Form ICR:  No

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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: 02/22/2019

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