Home.Advertising, Labeling and Formulation FAQs
Advertising, Labeling and Formulation FAQs
A1: Questions and Answers for TTB Ruling on Caloric and Carbohydrate Representation in Alcohol Beverage labeling and Advertising.
See "Frequently Asked Questions: TTB Ruling 2004-1" at http://www.ttb.gov/rulings/2004-1_faq.shtml
A2: I live in Pennsylvania and wish to send alcohol to my father in Arizona for his birthday. May I send this package through the mail or does the distributor have to send the package?
The U.S. Postal Service does not ship alcohol. Therefore, you will need to contact a private courier service such as FedEx or UPS to ship the alcohol. Also, contact the States to and from which you are shipping to find out if either has any laws or regulations prohibiting this practice.
A3: Does TTB charge a fee for label approval? If so, how much does it cost?
You pay no fee either to obtain a copy of the form (TTB F 5100.31, Application for and Certification/Exemption of Label/Bottle Approval) or to apply for label approval. If you are applying for label approval for the first time, you will need to send a copy of your approved basic permit or brewer's notice (depending on your business). You must also submit your application in duplicate with the labels attached to the front of the form. If your labels are too large to fit on the front of the form, you must reduce them and place the originals on the back of the form. Item no. 17 of the label application should reflect the percentage of reduction.
A4: As a student at the University of Kansas, I am researching why alcohol beverages do not have a nutritional value label as do all other foods, includingwater. I would like to know the calorie content and other information of my drink.
On August 10, 1993, the Bureau of Alcohol, Tobacco and Firearms published an advanced notice of proposed rulemaking in the Federal Register that solicited comments from the public and industry on whether the regulations should be amended to require nutritional information on labels of alcohol beverages. The comment period for the ANPRM closed on February 7, 1994.
ATF received 55 comments in response to the advance notice. Only seven of these comments came from consumers. However, five of the seven consumers who commented opposed nutrition labeling. Overall, 80 percent of the comments received in response to the ANPRM opposed nutrition labeling for alcohol beverages. Thirty-five of the comments opposing nutrition labeling were submitted on behalf of industry, both domestic and foreign.
After careful consideration of the petition and the comments received in response to the advance notice, ATF determined that an amendment of the regulations to provide nutrition information on labels of alcohol beverages is unnecessary and unwarranted.
If you have a question about nutritional information on a particular product, you should contact the company by writing to the address on the label. Most companies will assist you if you ask them for this information.
A5: I am trying to determine what I need to do to make and sell a fermented apple cider with alcohol content under 7 percent by volume. The Food and Drug Administration claims that this falls entirely within their jurisdiction. Does TTB also regulate these products?
The Food and Drug Administration has primary jurisdiction over the labeling of a fermented cider that contains less than 7 percent alcohol by volume. However, TTB has jurisdiction over some labeling requirements, most importantly the Government Warning Statement for any alcohol beverage over 0.5 percent alcohol by volume. These requirements are specified in 27 CFR part 16.
Most commercial fermented cider producers must register with TTB and pay tax on their cider. There is a very limited exemption from registration and tax requirements for "the non-effervescent product of the normal alcoholic fermentation of apple juice only, which is sold or offered for sale as cider and not as wine or as a substitute for wine." Â If the fermented cider you make does not fit that exemption, you must register with TTB as a bonded winery, pay tax and follow other rules for winery operation in TTB regulations at 27 CFR part 24, including TTB-enforced wine label requirements in 27 CFR § 24.257.
A6: How long does it take to get label approval?
Certificate of Label Approval (COLA) processing times have increased for a number of reasons, including steady growth in the number of applications we receive and reductions in staff available to process applications.
To help you with your planning process, we provide the current average COLA processing times for each commodity (wine, distilled spirits, and malt beverages) on our Web site and through our Customer Service Call Center phone line. This gives you a quick and easy way to check the average number of days we are taking to respond to COLA applications.
You can access average COLA processing times:
- on our Web site Labeling Home Page, or
- by phone at 202-453-2250 or toll free at 1-866-927-2533 to hear a recorded message:
- press 4 for malt beverage and distilled spirits labels, and
- press 6 for wine labels.
Since responding to status inquiries diverts resources away from processing COLAs, we ask that you refrain from contacting us about the status of applications unless we exceed the current average processing time for your commodity. Complying with this request allows the label specialists to focus their attention on processing COLAs.
Finally, it is likely that COLA processing times will continue to be longer than you may have experienced in the past. Therefore, we strongly suggest that you consider this and allow sufficient time for receiving label approval from us.
ALFD / revised August 2011
A7: Must I have a TTB permit before I can apply for label approval?
Yes, we must issue you a permit, brewer's notice or approval to operate a bonded wine cellar (BWC) or tax paid wine bottling house (TPWBH) before you submit an application for a certificate of label approval.
A8: How do I secure a TTB permit or a brewer's notice?
Our National Revenue Center in Cincinnati, Ohio, issues basic permits and brewer's notices. For information on obtaining a basic permit or brewer's notice, contact the National Revenue Center. The toll free number is 1-800-398-2282.
A9: What does it mean when your labels are approved?
A certificate of label approval authorizes the certificate holder to bottle and remove or import alcohol beverages that bear labels identical to those shown on the certificate of label approval.
A10: If I have an alcohol beverage with an etched or acetate label on the bottle, how do I show that information on the certificate of label approval?
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. See instruction number 7 of the general instructions for completing and submitting the TTB F 5100.31, Application for and Certification/Exemption of Label/Bottle Approval. The instructions are found at the end of the form.
A11: Can I request informal or preliminary comments from TTB on a proposed label?
Due to considerable increases in the number of label approval applications we receive and reductions in staffing, we no longer perform informal review of proposed labels. We offer a variety of resources on the Labeling Home Page to help you make sure your labels meet the regulatory requirements.
ALFD / revised August 2011
A12: If I am only adding my Internet Web site address to a certificate of label approval, do I need to get a new label approval?
No. Twenty-three conditions exist under which labels can be changed without applying for a new certificate of label approval. The addition of an Internet address is one of these allowable conditions. We list all 23 conditions on the reverse side of TTB F 5100.31, Application for and Certification/Exemption of Label/Bottle Approval.
A13: How can I check the status of my label application?
You may check the status of label applications filed electronically by logging on to COLAs Online at any time.
If you file paper applications, you may check the status of your label applications by contacting the Advertising, Labeling, and Formulation Division by:
- email at alfd@ttb.gov, or
- phone at 202-453-2250 or toll free at 1-866-927-2533.
Please refrain from contacting us until after we exceed the current average processing time.
Average label processing times may be accessed:
- on our Web site Labeling Home Page, or
- by phone at 202-453-2250 or toll free at 1-866-927-2533 to hear a recorded message:
- press 4 for malt beverage and distilled spirits labels, and
- press 6 for wine labels.
Since responding to status inquiries diverts resources away from processing label applications, we request that you refrain from contacting us about the status of your applications unless we exceed the current average processing time for your commodity. Complying with this request allows the label specialists to focus their attention on processing applications.
ALFD / revised August 2011
A14: May I submit my label application electronically?
Please visit COLAs Online for additional information.
A15: What is a Statement of Process?
A Statement of Process is a formula for a domestically produced flavored malt beverage, flavored or unflavored rice wine, or saké. A statement of Process consists of 1) a detailed and specific quantitative list of each ingredient in the product and 2) a step-by-step description of the production process. As a minimum, a Statement of Process must include information on the volume and alcohol content of the malt beverage base, identification and source of any flavoring material used in the product, the maximum volume and alcohol content of each flavoring material used in the product, the percentage of alcohol contributed by the flavor(s) to the finished product, a specific description of when flavoring material is added in the production of the product, and the total volume and alcohol content of the finished product.
Statements of Process must be on brewery letterhead.
A16: How can I personalize my labels for customers to commemorate special occasions such as weddings, corporate events, etc., without having to submit each version of the personalized label to TTB for approval?
If you want the flexibility to make changes to personalize your labels for customers without the need to submit new applications for each personalized label, you will need to follow the steps noted in public guidance document TTB G 2011-5, dated 9/21/2011.
A17: What are bioengineered foods?
Bioengineered foods are food or drink made from plant varieties that are developed from using recombinant deoxyribonucleic acid (rDNA) technology (which is often referred to as "genetic engineering" or "biotechnology"). Specifically, bioengineered foods are produced from plants whose genetic material has been altered by inserting DNA molecules from another organism for the purpose of reproducing beneficial characteristics, such as added nutrition, better flavor, or greater ability to fight pests or diseases, of the original species in the receiving species. In 1994, the Food and Drug Administration (FDA) established a consultation process that helps ensure that foods developed using biotechnology methods meet the applicable safety standards.
A18: Do bioengineered ingredients have any apparent health and safety risks when used in the production of alcohol beverages?
There are no apparent health or safety risks associated with bioengineered foods used in the production of alcohol beverages. TTB has no basis for concluding that alcohol beverages produced from bioengineered ingredients differ from other alcohol beverages in any meaningful or uniform way, or that, as a class, alcohol beverages made from plant ingredients developed by the new techniques present any different or greater safety concern than alcohol beverages made from ingredients developed by traditional plant breeding.
A19: What is TTB's position with regard to the labeling statements about alcohol beverage products that are not bioengineered or that do not contain ingredients produced from bioengineered foods? For example, "Contains No GMOs," "GMO Free-Zone" or any similar references on alcohol beverages?
TTB has received several Certificates of Label Approval (COLA) applications proposing to display bioengineered-related information on alcohol beverage labels.
Terms that are frequently mentioned in discussions about labeling alcohol beverages with respect to bioengineering include "GMO free" and "GM free." "GMO" is an acronym for "genetically modified organism" and "GM" means "genetically modified." The terms "genetically modified organism" and "genetically modified" are not synonymous with the term "bioengineered foods." Plants can be genetically modified using any number of techniques, new or traditional. According to the Food and Drug Administration's Draft Guidance: Voluntary Labeling Indicating Whether Foods Have or Have Not Been Developed Using Bioengineering (January 2001):
Terms like "not genetically modified" and "GMO free," that include the word "modified" are not technically accurate unless they are clearly in a context that refers to bioengineering technology. "Genetic modification" means the alteration of the genotype of a plant using any technique, new or traditional. "Modification" has a broad context that means the alteration in the composition of food that results from adding, deleting, or changing hereditary traits, irrespective of the method. Modifications may be minor, such as a single mutation that affects one gene, or major alterations of genetic material that affect many genes. Most, if not all, cultivated food crops have been genetically modified. Data indicate that consumers do not have a good understanding that essentially all food crops have been genetically modified and that bioengineering technology is only one of a number of technologies used to genetically modify crops. Thus, while it is accurate to say that a bioengineered food was "genetically modified," it likely would be inaccurate to state that a food that had not been produced using biotechnology was "not genetically modified" without clearly providing a context so that the consumer can understand that the statement applies to bioengineering.
The term "GMO free" may be misleading on most foods, because most foods do not contain organisms (seeds and foods like yogurt that contain microorganisms are exceptions). It would likely be misleading to suggest that a food that ordinarily would not contain entire "organisms" is "organism free."
TTB believes it is not necessary to mandate any bioengineered food labeling requirements at this time. We also find that it is misleading to voluntarily refer to those bioengineered food labeling terms or any similar references on alcohol beverage labels. This is consistent with the Food and Drug Administration's position.
TTB will continue to monitor the domestic and international impact of the use of bioengineered foods on the labeling of alcohol beverages, as well as any international trade barriers that occur as a result of the mixed reactions surrounding the use and potential use of bioengineered foods.
A20: Am I permitted to label my product with a specialized farming term to show my compliance with or concern for environmental initiatives and movements?
A description of specialized farming practices generally may appear on alcohol beverage labels as additional information provided it is truthful, accurate, specific, and does not conflict with, or in any manner qualify, mandatory labeling information. However, due to the constantly evolving nature of this field, TTB reserves the right to request clarification and documented verification of any graphics, seals, logos, definitions or language appearing on labels. For instance, any label specifically stating that the producer is certified by an agricultural organization must have documented proof.
Terms that refer to the environmental impact of the process and packaging rather than the product itself are usually acceptable. These words and phrases may not modify mandatory information on brand labels, but might appear as additional information after review on a case-by-case basis.
A21: What is required when applying for a certificate of exemption from label approval for my wine label instead of a Certificate of Label Approval on Form 5100.31?
You may apply for a certificate of exemption from label approval for your wine only if it is produced or bottled in the United States and only if it will be sold, offered for sale, shipped, or delivered for shipment within the state in which it was bottled or packed (in other words, it will not be introduced into interstate commerce). This can be accomplished by selecting and completing item 18b on your label application, TTB Form 5100.31. Imported bottled wines are not eligible for a certificate of exemption from label approval and therefore must be covered by a Certificate of Label Approval.
Wines labeled under a certificate of exemption from label approval must show the statement, "For sale in _________(name of State) only." This statement may be added to a label covered by a certificate of exemption, or may be on an additional label that is affixed to the container. The statement does not have to appear on the label that is submitted to TTB, but must be on the container before it is removed from bond for consumption or sale.
Although the labeling requirements in 27 CFR Part 4, Labeling and Advertising of Wine, do not apply when a certificate of exemption is used, all of the rules in the wine regulations under the Internal Revenue Code of 1986 (IRC), 27 CFR Part 24, continue to apply to all wine bottled and packed in the United States. For example, 27 CFR 24.257(a) outlines what information must appear on your label, as well as the minimum type size requirements, for each bottle or other container of beverage wine prior to removal for consumption or sale. In brief, each label must contain:
- Name & Address of the wine premises where bottled or packed
- Brand name if different from the above
- Alcohol content as percent by volume or as stated in accordance with 27 CFR Part 4
- The kind of wine
- Net contents
Please see the complete text of 27 CFR 24.257 for additional information and guidance. (Note that Part 24 does not apply in Puerto Rico. See 27 CFR 24.2.)
The recordkeeping requirements in the IRC wine regulations continue to apply when a certificate of exemption is used. The wine regulations state in 27 CFR 24.257(b): "The information shown on any label applied to bottled or packed wine is subject to the recordkeeping requirements of [27 CFR 24.314, Label information record]," which states:
A proprietor who removes bottled or packed wine with information stated on the label (e.g., varietal, vintage, appellation of origin, analytical data, date of harvest) shall have complete records so that the information appearing on the label may be verified by an [sic] TTB audit. A wine is not entitled to have information stated on the label unless the information can be readily verified by a complete and accurate record trail from the beginning source material to removal of the wine for consumption or sale. All records necessary to verify wine label information are subject to the record retention requirements of § 24.300(d).
In addition, Congress recently amended section 5388(c) of the IRC (26 U.S.C. 5388(c)) to restrict the use of certain wine names of European origin for wines sold in the United States. These wine names are: Burgundy, Claret, Chablis, Champagne, Chianti, Malaga, Marsala, Madeira, Moselle, Port, Rhine wine, Hock, Sauterne, Haut Sauterne, Sherry, Tokay and Retsina. These names may be used on labels for wine from the European Community (and made in accordance with the requirements of the Community) and on certain previously approved non-Community wine labels if their uses are grandfathered as of March 10, 2006. Because the IRC applies to wine regardless of whether it is in intrastate or interstate commerce, the restriction on the use of these names applies in both contexts. Accordingly, TTB will not issue a certificate of exemption for wine using one of these wine names in a manner not authorized by the statute. The change in the law was effective on December 20, 2006.
The Alcoholic Beverage Labeling Act of 1988, 27 U.S.C. 213 et seq., and implementing regulations in 27 CFR Part 16, which require a specified health warning statement on alcoholic beverages bottled or imported for sale or distribution in the United States, also apply equally to wine sold or shipped in intrastate or interstate commerce. Under Part 16, the required warning statement is a prerequisite for approval of a certificate of exemption from label approval, just as it is for a Certificate of Label Approval.
Finally, other laws may apply to fraudulent conduct used to sell mislabeled wine or to mislead consumers, including certain federal criminal statutes relating to fraud carried out through the use of: the mail; private or commercial interstate carriers; or wire, radio, or television communication in interstate or foreign commerce.
A22: Questions and Answers regarding Major Food Allergen Labeling for Wines, Distilled Spirits and Malt Beverages.
03/28/07
Third Party Representation
A23: Questions and answers about third party representation in labeling and formulation matters.
TTB has recently noticed an increase in questions from industry members as to whether or not it is mandatory to use third-party representatives in order to receive label or formula approval, and if the Advertising, Labeling and Formulation Division (ALFD) provides special assistance when such representatives are employed. TTB has created some FAQs in order to address these concerns.
ALFD Third-party Representation FAQs
CS 1. What is a third-party representative? A third-party representative is a person or firm retained by an industry member in order to provide specific services for the member in dealing with TTB. In the label/formula approval area these services range from simple submission and return of an application via the Public Room in order to bypass any mail-room delays, to negotiations over areas of the label/formula that ALFD feels are in need of correction.
CS 2. Do I need a third-party representative? No. TTB provides the same level of service to third-party representatives as is provided to those who choose to work with TTB directly, but you may use a third-party representative if you so choose. ALFD Customer Service representatives will work directly with all industry members and representatives to answer label/formula questions and solve problems in a timely and accurate manner. The Public Room is open by appointment on Tuesdays, Wednesdays and Thursdays from 10:00 to 11:30 a.m. and from 2:30 to 3:30 p.m. Please call 1-866-927-2533 (toll free) or 202-453-2250 and select the appropriate option to schedule an appointment. Walk-In service hours are from 1:30 p.m. to 2:30 p.m. Monday through Friday except Federal holidays. Labeling/Formulation Customer Service representatives are available by phone from 8:30am-4:30pm EST, M-F.
CS 3. Do I need to obtain a third-party representative in order to request Expedited or Temporary Approval? No; TTB will work directly with the industry member or a representative. However; all requests to expedite a label application or temporary label approvals are reviewed on a case-by-case basis and require supporting documentation. All inquiries should be made directly to Customer Service at 866-927-2533.
CS 4. Does TTB charge a fee for each label and formula application submitted? No. All labeling, formulation and advertising services provided to you by TTB are free of charge.
CS 5. Can I use a third-party representative? Yes, TTB will work with a third-party representative if you choose to retain one. However, obtaining a third-party representative is completely voluntary.
CS 6. How do I contact ALFD?
For questions on alcohol advertising, labeling and formulation you may contact ALFD directly by e-mail or by phone at:
Email: alfd@ttb.gov
Phone: 202-453-2250 or (toll-free) 866-927-2533
Option 1 = General information
Option 2 = Colas Online Password Resets
Option 3 = Colas Online Registration
Option 4 = Distilled Spirits/Malt Beverage Labeling and all Formulation
Option 5 = Alcohol Advertising
Option 6 = Wine Labeling
A25: I operate a domestic winery and I am making wine from grapes or juice that I have purchased from another state or country. What appellation of origin may I use?
This is a complicated question, and the answer (see 27 CFR §4.25(b)) depends on the particular circumstances. State or local laws and regulations may be more restrictive than Federal laws and regulations in some instances, and, to use an appellation, the wine must conform to the laws and regulations of the named appellation area. (Please note that we use here certain states or regions only as examples to illustrate certain different circumstances.) We advise that you confer with state and local authorities regarding their requirements before finalizing your COLA submission. Remember that your wine, and the records that you keep, must adequately support any claims which are made on your label. The following situations serve as examples. There are certainly more factual circumstances that might have a different outcome.
Situation 1: I am making a wine with grapes or juice originating from a state that is contiguous to (that is, touching) my own state (e.g. when California grapes are used to produce  wine in Oregon).Suppose that I have purchased Napa Valley, California, grapes that I will produce into wine in Oregon.
The most specific appellation of origin eligible for use is the name of the contiguous state (California). A viticultural area appellation of origin (e.g. Napa Valley) may NOT be used because the wine was not fully finished within that state.
Situation 2: The state from which the winemaking material originates is not contiguous to the state in which the wine is produced. For example, California grapes have been purchased to produce wine in New York.
The most specific appellation of origin eligible - for use is a country appellation, such as "American." Note that when a country is used as an appellation of origin a vintage date is NOT permissible for the wine.
Situation 3: I am purchasing grapes or juice from another country. An appellation of origin may NOT be used, as this wine is not eligible for such claims (see 27 CFR §4.25(b)(2)(ii)). A vintage date or a varietal designation (e.g. Merlot) may not appear on the wine, as both items require an appellation of origin present on the label. The wine may be labeled only with a more general class or type statement, such as "Red Wine" or "White Wine."
A26: I am purchasing finished wine from another state or country. What appellation of origin may I use?
As long as the wine was fully finished within the originating state or country, the product is eligible for ANY appellation to which the wine is otherwise entitled (see 27 CFR §4.25(b)(1)(ii)). (Please note that we are using certain states or regions only as examples to illustrate certain different circumstances.) State or local laws and regulations may be more restrictive than Federal laws and regulations in some instances. We advise that you confer with state and local authorities regarding their requirements before finalizing your COLA submission.
Example:
A wine that was bottled in New York may be labeled with a "Napa Valley" appellation only if the wine qualifies for a "Napa Valley" appellation – meaning 85% of the grapes were grown in "Napa Valley" and the wine was fully finished in California.
A27: Does my TTB certificate of label approval mean I have trademark protection?
TTB's authority to issue certificates of label approval (COLAs) for alcohol beverage products does not include trademark protection, as is stated in the instructions for TTB Form 5100.31, Application for and Certification/Exemption of Label/Bottle Approval. While TTB may be aware of an established trademark when acting on an application for a COLA, that awareness is important only for carrying out the labeling authority under the deception and misleading standards imposed by the Federal Alcohol Administration Act and not for purposes of Federal law applicable to trademarks. Therefore, TTB approval of a COLA neither automatically confers trademark protection, nor indicates that a particular mark may be used in violation of applicable intellectual property law.
The U.S. Patent and Trademark Office (USPTO) provides for trademark registrations and guides United States domestic and international intellectual property policies. The USPTO Web site address is www.uspto.gov/. You may find the USPTO's list of frequently asked questions on the subject of trademarks particularly helpful: www.uspto.gov/faq/trademarks.jsp. The USPTO also has a Web site on trademark protection specifically designed for small business owners at www.uspto.gov/smallbusiness/.
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