CERTIFICATION AND ANALYSIS OF U.S. WINE FOR EXPORT TO THE EUROPEAN ECONOMIC COMMUNITY (EEC)

Proprietors of Bonded Wineries, Bonded Wine Cellars, Taxpaid Wine Bottling Houses and Others Concerned

Purpose: This circular is issued to notify the public that:

- the provisions of ATF Procedure 73-6 which set out the requirements to be met by chemists or laboratories wishing to be certified by the Bureau of Alcohol, Tobacco and Firearms (ATF) for the analysis of wine for export to the EEC are now superseded by ATF Procedure 86-2 (see ATF Industry Circular 86-3); and,

- the provisions of ATF Procedure 73-6 which dealt with the documentation requirements for U.S. wine exported to the EEC are now superseded by ATF Procedure 86-1.

ATF Procedure 86-1, which will be published in the next issue of the Alcohol, Tobacco and Firearms Quarterly Bulletin (see below), outlines the substantially modified documentation requirements for U.S. wine exported to the EEC. These modifications are a result of recent revisions in EEC regulations.

Although the revised EEC regulations apply to several types of grape products, ATF Procedure 86-1 deals only with U.S. grape table wine and U.S. sparkling grape wine since it was felt these are the wine products of primary interest to American exporters.

Those wishing to export U.S. grape table wine and U.S. sparkling grape wine to the European Economic Community should pay careful attention to all aspects of this circular, noting, in particular, the new EEC Forms V.I.1 which will be required to accompany these wines and the new, simplified certification and analysis procedures applicable to wine meeting the conditions set forth in Section 7.01 below. In this connection, ATF urges all producers who would like to be authorized to use the new, simplified certification and analysis procedures to immediately submit the certification statement referenced in Section 8.01.

Those wishing to export grape dessert wine, grape juice and grape must to the EEC will find the applicable certification/analysis requirements outlined in Commission Regulation (EEC) No. 3590/85 of December 18, 1985 (Attachment I). Exporters are welcome to contact ATF for assistance if there are any questions concerning these requirements.

ATF Procedure 86-1 will appear in the next issue of the Alcohol, Tobacco and Firearms Quarterly Bulletin and will read as follows:

Section 1. Purpose.

1.01 The purpose of this procedure is to outline the new requirements of the European Economic Community (hereinafter referred to as the EEC or the Community) as they apply to certification and analysis of commercial shipments of U.S. grape table wine and U.S. sparkling grape wine, only.

Section 2. Definitions.

2.01 U.S. Wine. For the purposes of this procedure, the term, U.S. wine, refers only to U.S. grape table wine and U.S. sparkling grape wine intended for export to the Community for marketing for direct human consumption.

2.02 The Member States of the Community. The Member States of the Community presently include: Belgium, Denmark, Federal Republic of Germany, France, Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain and the United Kingdom.

2.03 Consignment. For the purposes of this procedure, a consignment is the quantity of the same wine consigned by one consignor to one consignee for the purpose of marketing.

2.04 Actual Alcoholic Strength. For the purposes of this procedure, actual alcoholic strength means percent alcohol content by volume at 20°C.

2.05 Potential Alcoholic Strength. For the purposes of this procedure, potential alcoholic strength means the percent alcohol content by volume at 20°C which would result from complete fermentation of all fermentable sugars.

2.06 Total Alcoholic Strength. For the purposes of this procedure, total alcoholic strength means the sum of the actual and potential alcoholic strength.

Section 3. Background.

3.01 ATF Procedure 73-6 outlined the EEC certification and analysis requirements which were applicable at the time that procedure was issued in 1973.

3.02 Subsequent to the issuance of that procedure, the EEC issued "Commission Regulation (EEC) No. 2115/76 of August 20, 1976 laying down general rules for the import of wines, grape juice and grape must". This regulation exempted U.S. wine in containers of four liters or less from certification and analysis requirements on the basis that annual U.S. exports of such products to the Community totaled less than 1000 hectoliters. Thus, from the time of this exemption to the present, U.S. wineries did not have to comply with EEC certification and analysis requirements for such products.

3.03 On December 20, 1985, the Community published "Commission Regulation (EEC) No. 3590/85 of December 18, 1985 on the certificate and analysis report required for the importation of wine, grape juice and grape must". This regulation makes three fundamental changes to the present EEC certification and analysis requirements, i.e.,:

(a) except as provided in Section 5.02, effective April 2, 1986, it no longer exempts the United States from certification and analysis for shipments of wine in containers of four liters or less;

(b) except as specified in Section 5.01, it requires that U.S. wine exported from the U.S. on or after April 2, 1986 be accompanied by Forms V.I.1 and prescribes a new model of Form V.I.1 (see Section 5.06). (The procedures outlined herein relate only to this new model of Form V.I.1.); and,

(c) it makes provision for use of new, simplified procedures for completing the new Forms V.I.1 for shipments of wine meeting the conditions referenced in Section 7-01.

3.04 The EEC established April 2, 1986 as the effective date of Commission Regulation No. 3590/85 (Attachment I) to allow those wishing to export to the Community sufficient time to adjust to the new procedures and to print the new forms.

3.05 The simplified procedures noted in Section 3.03(c) considerably minimize administrative burdens by allowing authorized U.S. producers to self-certify the new Forms V.I.1. They also minimize financial burdens by reducing the number of analyses required from a total of eight to a total of three, i.e., actual alcoholic strength, total sulfur dioxide and total acidity

Section 4. EEC Regulations.

4.01 "Commission Regulation (EEC) No. 3590/85 of December 18, 1985 on the certificate and analysis report required for the importation of wine, grape juice and grape must" is included as Attachment I. This regulation outlines the certification and analysis procedures referenced in Sections 6 and 7.

4.02 "Council Regulation (EEC) No. 1873/84 of June 28, 1984 authorizing the offer or disposal for direct human consumption of certain imported wines which may have undergone oenological processes not provided for in Regulation (EEC) No. 337/79" is included as Attachment II. This regulation specifies the wine treating materials which the EEC accepts for use in the production of U.S. wine.

4.03 ATF will make every effort to alert the public to any other information having a significant bearing on certification, analysis and treatment of U.S. wine; however, the ultimate responsibility to keep abreast of EEC regulations lies with U.S. exporters. U.S. exporters and others concerned should contact the European Community Information Service at 2100 M Street, NW, Washington, DC 20037 for additional copies of, or further information concerning, Community regulations.

Section 5. General Instructions Applicable to Forms V.I.1.

5.01 Forms V.I.1 are not required for any wine originating in or coming from non-EEC countries in containers of two liters or less, where the total quantity transported, even if it is composed of two or more individual consignments, does not exceed 60 liters.

5.02 Forms V.I.1 are not required for U.S. wine packaged in containers of four liters or less which enters the Community before September 30, 1986, provided satisfactory proof is offered to Community customs authorities that it left the U.S. before April 2, 1986.

5.03 Except as indicated in Section 5.01, Forms V.I.1 shall, as in the past, accompany each consignment of U.S. wine which is not packaged in containers of four liters or less. U.S. exporters may continue to use existing supplies of the present model of Forms V.I.1 for shipments of such wine which enter the Community before September 30, 1986, provided satisfactory proof is offered to Community customs authorities that it left the U.S. before April 2, 1986.

5.04 Except as indicated in Section 5.01, the new model of Forms V.I.1, as described in Section 5.06, shall accompany each consignment of U.S. wine shipped on or after April 2, 1986 (see Sections 6 and 7).

5.05 An original Form V.I.1 and four carbon copies shall be prepared, when required, for each consignment of U.S. wine.

5.06 Exporters are required to provide their own supply of Forms V.I.1 following the model shown in Annex II of Commission Regulation No. 3590/85 (Attachment I). Form V.I.1 shall:

(a) be approximately 210 mm x 297 mm in size;

(b) be printed on white paper weighing at least 40 grams per square meter;

(c) bear the name and address or the mark of the printer;

(d) be printed in English.

5.07 Forms V.I.1 shall be completed in the English language. The information provided on the original shall be clearly legible on all four copies and shall be either typed or printed in ink using block letters. They shall contain no erasures or alterations. Were necessary, changes shall be made by striking out the wrong entry and inserting the required details. Any change made in this way shall be approved by its author and stamped, as the case may be, by the official agency, the laboratory or the customs authorities.

Section 6. Procedures for Preparing Forms V.I.1 for the Export of U.S. Wine Which Does Not Meet the Requirements of Section 7.01.

6.01 The exporter shall complete Forms V.I.1 as follows:

(a) Exporter (Box 1). Identify the name and complete address of the exporter. If the exporter is a wine producer, the name and address shall be that as shown on the "Wine Producer's and Blender's Basic Permit" (ATF F 5120.18) issued to the producer. Otherwise, the name and address shall be that as shown on the "Wholesaler's Basic Permit" (ATF F 5170.3) issued to the exporter.

(b) Third Country of Issue and Serial Number (upper right hand corner). Identify the country of issue as either "United States of America" or "U.S.A.". Assign a serial number consisting of the last two digits of the calendar year in which the Forms are prepared followed by a dash and the number "1" for the first set of Forms prepared, "2" for the second, etc. (e.g., 86-1, 86-2, etc.).

(c) Consignee (Box 2). Identify the name and address of the consignee.

(d) Marks and reference numbers - Number and nature of packages - Description of product (Box 6). Provide sufficient shipping information to identify the consignment to the proper authorities (e.g., bill of lading number, invoice number, etc.). Enter the number and nature of the packaging used (e.g., 100 cases) and describe the wine giving at least the following information:

- for non-appellation U.S. wine, indicate "U.S. Table Wine" or "U.S. Sparkling Wine" as appropriate;

- for appellation U.S. wine, indicate the country of origin, appellation, vintage date and, if applicable, the varietal designation and whether it is sparkling e.g., "U.S. 1983 Napa Valley Cabernet Sauvignon", "U.S. 1980 New York State Sparkling Wine".

(e) Quantity (liters/hectoliters/kilograms) (Box 7). Select the unit of volume preferred and delete the other two. Identify the total quantity in the consignment using the chosen unit of measure.

(f) Number of Bottles (Box 8). If the consignment is a bottled shipment, specify the number of bottles in the consignment.

(g) Colour of the product (Box 9). Describe the color of the wine in the consignment as being either red, white or rose.

(h) CERTIFICATE (Box 10). Place an "X" in the appropriate square. To determine if the consignment of wine covered by the Forms V.I.1 "has not been subjected to oenological practices which are not permitted under current Community provisions relating to the import of the product in question", refer to Section 4.02 and Attachment II.

6.02 After completing the Forms V.I.1 as specified in Section 6.01, the exporter shall attach to the set of Forms V.I.1 a certification statement as referenced in Attachment III. Attachment III or photocopies thereof may be used for submission of the certfication statement if appropriately completed with original signature. 6.03 The exporter shall forward one 750 mL sample of the wine referenced in the Forms V.I.1 to a chemist, enologist or laboratory certified by ATF for the analysis of wine for export in accordance with ATF Procedure 86-2. The list of ATF-certified chemists, enologists and laboratories are published in the "C" series of the Official Journal of the European Communities and may be obtained at the following address:

Certified Laboratories - Wine National Laboratory Center Bureau of Alcohol, Tobacco arms Firearms 1401 Research Boulevard Rockville, Maryland 20850

6.04 The sample shall be accompanied by the original and all four copies of the applicable Forms V.I.1 to which shall be attached the certification statement referenced in Section 6.02.

6.05 Upon receipt of the sample, set of Forms V.I.1 and certification statement from the exporter, the certified chemist, enologist or laboratory, using the techniques described in ATF Procedure 86-2, shall perform the chemical tests specified in Box 11 (with the exception of the test for "density") and complete Box 11, in full, insuring that the precise analytical units of measurement are specified (e.g., total acidity: x g/100 mL calculated as tartaric acid). 6.06 The certified chemist, enologist or laboratory shall then retain one copy of Form V.I.1 and forward the original, the remaining three copies and the certification statement referenced in Section 6.02, to the Regional Director (Compliance), Bureau of Alcohol, Tobacco and Firearms, serving the region in which the exporter is located, Attention: Chief, Technical Services.

6.07 Upon receipt of the duly completed Forms V.I.1, the Regional Director (Compliance) shall complete Box 10 identifying the Bureau address as referenced in Section 7.07. The Regional Director (Compliance) shall then retain one copy of Form V.I.1 as well as the certification statement referenced in Section 6.02 and return the original and two remaining copies of Forms V.I.1 to the exporter.

6.08 The exporter shall retain one copy of Form V.I.1 and forward the original and remaining copy with the consignment.

6.09 The documents to be retained shall be kept on file for five years.

Section 7. Simplified Procedures for Preparing Forms V.I.1

7.01 The procedures outlined in this section apply only to U.S. wine produced by U.S. wineries authorized in accordance with Section 8 and exported by these wineries, on or after April 2, 1986, in labeled containers, of 60 liters or less, fitted with non-reusable closing devices.

7.02 The producer shall complete Forms V.I.1 as indicated in Section 6.01.

7.03 The producer shall include in Box 1 the bonded winery registry number as shown on the "Wine Producer's and Blender's Basic Permit" (ATF F 5120.18) issued to the producer.

7.04 The producer shall then follow the procedure outlined in Section 6.03. The sample shall be accompanied by the original and all four copies of Forms V.I.1.

7.05 Upon receipt of the sample and set of Forms V.I.1 from the producer, the certified chemist, enologist or laboratory, using the techniques described in ATF Procedure 86-2, shall determine only actual alcoholic strength, total acidity and total sulfur dioxide and complete Box 11 only with respect to these analyses, insuring that the precise analytical units of measurement are specified (e.g., total acidity: x g/100 mL calculated as tartaric acid). 7.06 The certified chemist, enologist or laboratory shall leave the other areas of Box 11 blank, retain one copy of Form V.I.1 and forward the original and three remaining copies to the producer.

7.07 With respect to Box 10, an official recognized by ATF as having authority to sign on behalf of the winery shall delete the words "name and title of official", sign under the word "Signature" and insert the place and date of signature in the appropriate areas. In this case, a stamp is not required and the producer shall insert the following in the area headed "Full name and address of the official agency":

Bureau of Alcohol, Tobacco and Firearms
1200 Pennsylvania Avenue, NW
Washington, DC 20226 U.S.A.

7.08 With respect to Box 11, an official recognized by ATF as having authority to sign on behalf of the winery shall delete the words "name and title of official", sign under the word "Signature" and insert the place and date of signature in the appropriate areas. In this case, neither a stamp nor the name and address of the laboratory is required.

7.09 The producer shall forward one copy of Form V.I.1 to the Regional Director (Compliance), Bureau of Alcohol, Tobacco and Firearms, serving the region in which the producer is located, Attention: Chief, Technical Services.

7.10 The producer shall retain one copy of Form V.I.1 and forward the original and remaining copy with the consignment.

7.11 The documents to be retained shall be kept on file for five years.

Section 8. Procedures for the Authorization of U.S. Producers Wishing To Be Eligible To Use the Procedures Referenced in Section 7.

8.01 U.S. producers shall submit to ATF a certification statement as referenced in Attachment IV. Attachment IV may be used for this purpose provided it has been appropriately completed with original signature. The certification statement shall be mailed to the following address:

Chief, Alcohol Import-Export Branch Bureau of Alcohol, Tobacco and Firearms Attn: Certification Statement (EEC) P.O. Box 385 Washington, DC 20226

8.02 ATF will submit, to the European Economic Community, the names, addresses and bonded winery registry numbers of the wineries which have submitted the certification statement referenced in Section 8.01 and will identify these wineries as being authorized, until such time as this authorization is withdrawn, to draw up V.I.1 documents in accordance with "Commission Regulation (EEC) No. 3590/85 of December 18, 1985 on the certificate and analysis report required for the importation of wine, grape juice and grape must".

8.03 The EEC will publish the list of authorized wineries in the "C" series of the Official Journal of the European Communities and will update the list as needed.

Section 9. Effect on Other Documents.

9.01 The provisions of ATF Procedure 73-6 which dealt with the documentation requirements for U.S. wine exported to the EEC are hereby superseded.

Section 10. Inquiries.

10.01 Inquiries concerning this procedure should refer to its number and should be addressed to:

Chief, Alcohol Import-Export Branch Bureau of Alcohol, Tobacco and Firearms Attn: Industry Circular 86-2 P.O. Box 385 Washington, DC 20226

Acting Director

See Attachment