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FORMULAS FOR WINES, DISTILLED SPIRITS AND
FLAVORS USED IN ALCOHOL BEVERAGES
Proprietors of Bonded Wineries, Bonded Wine Cellars,
Beverage Distilled Spirits Plants, Manufacturers of
Flavors for Use in Alcohol Beverages and Others
Concerned:
Purpose. The purpose of this circular is to clarify
and provide information and guidelines for the completion
and submission of formulas for:
1. Wines (ATF Form 5120.29)
2. Distilled Spirits (ATF Form 5110.38)
3. Flavors used in alcohol beverages
Background. The processing of each applicant's
beverage and nonbeverage formulas can be facilitated by
the submission of formulas that are properly completed.
In addition to following the guidelines presented in this
circular, the instructions on the reverse side of each
form must be followed and each item to be completed by the
applicant must contain the required information. The
listing of the formula ingredients must be as specific and
detailed as required by this circular. All ingredients
must be approved for food or beverage use by the U.S. Food
and Drug Administration (USFDA). Previously submitted
formulas are not affected by the requirements of this
circular.
This circular is divided into three sections. The first
section deals with formulas for beverage products; the
second section deals with formulas for flavors used in
alcohol beverages; the third section includes examples of
wine, distilled spirits and flavor formulas.
Section I. BEVERAGE FORMULAS
1. General information applicable to both wine and
distilled spirits product formulas.
Flavor Information
Formulas for wine and distilled spirits products produced
with flavors must include specific information on these
flavors.
A. If the flavor is produced in the U.S., include the
following:
1. Name of the flavor
2. Name and address of the flavor manufacturer
3. Manufacturer's product number (if none, so
indicate)
4. Drawback formula number (if none, so indicate)
5. Date of approval of nonbeverage formula
(Flavor formula approval is not mandatory
prior to submission of ATF Form 5120.29 or
5110.38.)
6. Alcohol content of flavor (if nonalcoholic, so
indicate)
7. A description of any coloring material
contained in the flavor (See Coloring
Materials, page 5 of this circular.)
B. If the flavor is produced outside the U.S.,
include the following:
1. Name of flavor
2. Name and address of flavor manufacturer and
domestic affiliate, if any
3. Manufacturer's product number (if none, so
indicate)
4. Alcohol content of flavor (if nonalcoholic, so
indicate)
5. A description of any coloring material
contained in the flavor (See Coloring
Materials, page 5 of this circular.)
(See Examples 1 and 2, Section III of this circular for
examples of presentation of flavor information.)
In addition to including the information specified in A or
B on the preceding page on the beverage formula, in the
case of flavors produced outside the U.S., and
domestically produced flavors for which no nonbeverage
formula (ATF Form 5530.5) is filed, the flavor
manufacturer must supply ATF with:
1. A statement (on company letterhead) quantitating
the ingredients in the flavor (See Example 5,
Section III of this circular),
2. An eight ounce sample of the flavor
The statement must include the name and address of the
distilled spirits producer or winery purchasing the flavor
and, if available, the number of the beverage formula in
which the flavor will be used and the name of the beverage
product. Forward the sample and statement to:
Bureau of Alcohol, Tobacco and Firearms
National Laboratory Center
1401 Research Boulevard
Rockville, Maryland 20850
Attn: NBA
The processing of the beverage formula cannot be completed
until the flavor sample and statement have been evaluated
by ATF.
Flavor Categorization
For labeling purposes ATF categorizes flavors as:
1. All natural
2. Natural and artificial containing not more than
0.1% artificial topnote
3. Natural and artificial containing greater than
0.1% artificial topnote
4. All artificial
(Artificial topnote does not include synthetic vanillin,
ethyl vanillin, maltol, or ethyl maltol.) Flavors
categorized as 1 or 2 are natural for alcohol beverage
labeling purposes. Flavors categorized as 3 or 4 are
artificial for alcohol beverage labeling purposes.
(Production with an artificial flavor, if permissible, may
require labeling as an "Imitation" product or specific
label disclosure of the use of an artificial flavor.)
Vanillin, Ethyl Vanillin, Maltol, Ethyl Maltol
If the levels of synthetic vanillin, ethyl vanillin,
maltol and/or ethyl maltol in the finished wine or
distilled spirit exceed ATF's prescribed limitations,
whether added directly or through a flavor or a
combination from both sources, the finished alcohol
beverage will be viewed as containing an artificial flavor
and appropriate labeling will be required.
The specific limitations are:
Vanillin 40 ppm (mg/1)
Ethyl vanillin 16 ppm (mg/1)
Maltol 250 ppm (mg/1)
Ethyl maltol 100 ppm (mg/1)
It is important to note that these are individual use
limitations. When vanillin and ethyl vanillin are used in
combination, the combined use calculated as vanillin may
not exceed 40 ppm. Similarly, when maltol and ethyl maltol
are used in combination, the combined use calculated as
maltol may not exceed 250 ppm. In calculating combined
use, ethyl vanillin and ethyl maltol can be multiplied by
2.5 to determine the equivalent amount of vanillin and
maltol, respectively.
Examples:
a. Vanillin and ethyl vanillin are added by the distilled
spirits producer in the production of a liqueur in the
amounts of 20 ppm vanillin and 8 ppm ethyl vanillin.
Determine the combined use of these ingredients as
follows:
Vanillin 20 ppm
Ethyl vanillin converted to vanillin
(8 x 2.5) 20 ppm
Total 40 ppm
In this example, even though synthetic vanillin and ethyl
vanillin have been added by the producer, the labeling of
the product would not be affected since the combined use of
the vanillin and ethyl vanillin does not exceed the 40 ppm
limitation.
b. In the same liqueur, maltol and ethyl maltol are added
in the amounts of 125 ppm maltol and 100 ppm ethyl
maltol.
Calculate the combined use as follows:
Maltol 125 ppm
Ethyl maltol converted to maltol
(100 x 2.5) 250 ppm
Total 375 ppm
In this example, the combined use of maltol and ethyl
maltol exceeds the 250 ppm limitation. Therefore, if
labeled as a liqueur, the product would have to be desig-
nated "Imitation Liqueur."
Nonoptional Ingredients
Ingredients that affect products labeled under the Federal
Alcohol Administration Act (FAA Act) e.g., coloring
material (added directly or through a flavor), artificial
flavors, or some limited ingredients, may not be shown as
"optional" (or shown as added in a range of "0 - ___ ").
Such ingredients may not be added or deleted by rider (for
wines) or superseding formula (for distilled spirits).
Coloring Materials
Coloring materials must be specifically identified in
formulas. "Certified Color," for example, or "Green
Shade #55" are not acceptable. The reference must include
the name and number of the certified color such as "FD&C
Red 40" or the specific components of a coloring material
marketed under a commercial/product name. If a flavor
used in the production of the alcohol beverage contains a
coloring material, this information must be included with
the flavor information on the formula -- "contains FD&C
Yellow 5 and caramel color."
Address Information
Submit formula applications for beverage wine and
distilled spirits products to:
Bureau of Alcohol, Tobacco and Firearms
Product Compliance Branch
1200 Pennsylvania Avenue, NW
Washington, DC 20226
2. Specific information regarding Forms 5120.29 and
5110.38
Form 5120.29 Formula and Process for Wine
A. Formulas must be numbered sequentially. (Item 1 of
form.)
B. Flavored wines, overameliorated wines (wine produced
with sugar and water in excess of the 35% by volume
limit prescribed in 27 CFR Part 240) and/or wines
produced by authorized but nonstandard processes must
be referenced as "Other than Standard Wine" in Item 4
of the form.
C. Item 5 of the form must include the total yield of
wine product being produced and the quantity of each
ingredient. The yield and ingredient quantities may
be stated in ranges, e.g., "yield -- 90-100 gallons,"
"orange juice concentrate -- 4-8 gallons." The total
of the ingredients listed must equal the stated
yield. (See calculations for Example 1, Section III
of this circular.)
D. Specifically identify the base wine by class and type
in accordance with 27 CFR 4.21, and state its alcohol
content.
E. Specify the alcohol content of the finished product.
This may be stated in a range but must not cross tax
categories.
Form 5110.38 - Formula for Distilled Spirits under the
Federal Alcohol Administration Act
A. Formulated distilled spirits products not conforming
to one of the classes described in 27 CFR 5.22 must be
identified as "Distilled Spirits Specialty" in Item 1
of the form.
B. Formulas must be numbered sequentially. (Item 12 of
form.) Formula numbers for multiple plant formulas
must be preceded by the letter "M." (See Example 2,
Section III of this circular.)
C. Although quantitative information is not generally
required for distilled spirits product formulas, the
inclusion of maximum use rates (stated in percent by
volume) for flavors is necessary. With this informa-
tion, ATF can determine whether there is a usage
problem for flavors containing limited ingredients.
If the proposed usage is not indicated on the formula,
processing is delayed because ATF must return the
formula to the applicant to request use levels for any
flavors containing limited ingredients.
D. Ingredients that are added by the distilled spirits
producer which are subject to USFDA use limitations
must be quantitated on the formula. Show the exact
amount to be used, the range, or the maximum possible
usage, i.e., "use will not exceed ____ ." Examples of
such ingredients:
USFDA
Regulations
Ingredient Limit (21 CFR)
Ester gum 100 ppm 172.735
Sodium benzoate 1,000 ppm 184.1733
Gum arabic/gum acacia 10,000 ppm 184.1330
Brominated vegetable oil 15 ppm 180.30
Propylene glycol 50,000 ppm 184.1666
E. If the product contains wine, each wine must be
identified as to class and type and alcohol content.
For each wine produced under a formula, the formula
number, name and address of the wine producer must be
included. The percentage of wine (on a proof gallon
basis) to be used in the finished product must be
specified. (See Example 2, Section III of this
circular.)
F. If the product is to be labeled as a blend of
different classes and types of distilled spirits (such
as "Strawberry Liqueur and Brandy") or distilled
spirits and a nonalcoholic component (such as "Coffee
Liqueur and Cream") the production of each type of
distilled spirit must be clearly shown by the ordering
and listing of the ingredients. That is, for the
examples stated, the production of the strawberry
liqueur must be distinguished from the production of
the brandy. (See Example 2, Section III of this
circular.) The percentage (on a proof gallon basis)
of each class and type of distilled spirit must be
included on the formula. If the product is not comprised
of substantially equal amounts of each class and type of
spirit, the percentages must be indicated on the product
label. (Substantially equal means that neither spirit
component contributes less than 40% of the total
alcohol.) In the case of the "Coffee Liqueur and Cream,"
the cream must be shown as a separate component of the
finished product rather than as an ingredient of the
coffee liqueur.
SECTION II. FLAVOR FORMULAS
The manufacturer of any flavor used in an alcohol beverage
is required to provide a quantitative formula to the
Bureau. These formulations must provide all the
information necessary for the proper classification and
labeling of finished alcohol beverage products. These
flavor formulations may be submitted on ATF Form 5530.5 by
those domestic producers who file claims as manufacturers
of nonbeverage products. (See Example 3, Section III of
this circular.) If the formula does not contain any added
taxpaid alcohol the form 5530.5 will be stamped "NO
ACTION." (See Example 4, Section III of this circular.)
This signifies that the flavor information was received by
the Bureau and that the product does not contain any
alcohol that is eligible for drawback. All other
manufacturers, whether foreign or domestic, should submit
their formulas on company letterhead. (See Example 5,
Section III of this circular.) A representative eight
ounce sample must accompany each formula submission.
All flavor formulas, regardless of the form of submission,
must include the following:
1. Name of product and manufacturer's product number
2. Alcohol content
3. Formula number (if submitted on form 5530.5)
4. A quantitative list of ingredients
5. Name and address of alcohol beverage manufacturer
purchasing the flavor (if available)
6. A statement that all ingredients used are
Generally Recognized as Safe (GRAS) by the
Flavor and Extract Manufacturers's Association
(FEMA) and/or approved for use in alcohol
beverages by the USFDA
Quantitative Formula
A. Natural flavoring materials approved for use without
limitation or restriction by the USFDA must be listed.
These ingredients may be grouped by type with the
predominant flavoring specified and the total quantity
of that grouping stated.
Examples:
1. Strawberry and other fruit juices
2. Orange oil and other citrus oils
3. Orris concrete (21 CFR 172.510)
4. Bergamot oil (21 CFR 182.20)
B. Natural flavorings that are approved for use with
limitation or restriction must be specified and
quantitated individually. If the ingredient has a
restricted use, it must be indicated that this
restriction is followed. In addition, the formula
must state where the approval for use is found in the
USFDA regulations.
Examples:
1. Bitter almond oil (Free from prussic acid, FFPA,
21 CFR 182.20)
2. Wormwood/Artemisia (Thujone free, 21 CFR 172.510)
3. Cinchona extract (6% total alkaloids, 21 CFR
172.510)
4. Oil of rue (21 CFR 184.1699)
C. All artificial flavors (including those considered
nature identical) must be listed and quantitated. All
ingredients must be approved by the USFDA or be listed
as FEMA GRAS. If the flavorings are approved
for use without limitation or restriction they may be
grouped together as in Example 1 on page 10 with the
predominant flavoring by quantity specified. All
flavor ingredients with specific limitations or
restrictions must be listed separately as in Example 4
at the top of page 10.
Examples:
1. Ethyl acetate and other esters
2. Benzaldehyde (21 CFR 182.60)
3. Cinnamic acid (21 CFR 172.515)
4. Caprylic acid (21 CFR 184.1025)
D. All nonflavor ingredients such as preservatives,
acidulants, solvents, etc., must be listed and
quantitated separately. The formula must also state
where the approval for use is found in the USFDA
regulations.
Examples:
1. Tannic acid (21 CFR 184.1097)
2. Propylene glycol (21 CFR 184.1666)
3. Butylated hydroxyanisole (BHA, 21 CFR 172.515)
4. Brominated vegetable oil (BVO, 21 CFR 180.30)
E. The following four ingredients must be specified and
quantitated individually because of their special use
restrictions. (See page 4 of this circular.)
1. Vanillin
2. Ethyl Vanillin
3. Maltol
4. Ethyl Maltol
A statement confirming the absence of synthetic
vanillin, ethyl vanillin, maltol or ethyl maltol is
also required.
F. Flavors that are ingredients in the finished flavor
formula must be identified by the following:
1. Name of the flavor
2. Name and address of flavor manufacturer
3. Manufacturer's product number (if none, so
indicate)
4. Drawback formula number (if none, so indicate)
5. Date of approval of nonbeverage formula
6. Alcohol content of flavor (if nonalcoholic, so
indicate)
G. All colors including FD&C certified colors and other
colorants exempt from certification (such as caramel,
annatto, etc.) must be disclosed. If an ingredient
(such as saffron or elderberry extract) can be used as
a colorant but also has other functions, the
particular function or functions of the ingredient in
the product must be stated.
Address Information
Flavor formulas and samples should be sent to:
Bureau of Alcohol, Tobacco and Firearms
National Laboratory Center
1401 Research Boulevard
Rockville, Maryland 20850
Attn:. NBA
Section III. EXAMPLE FORMULA
(FORM) (234 KB)
OTHER THAN STANDARD WINE
(STRAWBERRY FESTIVAL)
FORMULA #1
Before approving this formula ATF determined, in part,
that:
1. Each flavor is used within its prescribed limitation.
2. Vanillin and maltol limitations were not exceeded. To
determine this ATF calculated as follows:
Vanillin
Berry flavor #3222 contains 720 ppm ethyl vanillin (see
Example 3 of this section) and is used at a maximum rate
of 7 gallons per 1000 gallons (.7% by volume). Maximum
use for this flavor, based on ethyl vanillin content, is
2.22%.
Maltol
a. Strawberry Flavor #3501 contains 25,000 ppm maltol
(See Example 5 of this section) and is used at a
maximum of 5 gallons per 1000 gallons (.5%).
25,000 x .5% = 125 ppm maltol
b. The producer adds up to 50 ppm ethyl maltol
50 x 2.5 (conversion factor) = 125 ppm maltol
Total 250 ppm maltol
Note:
Calculations are based on maximum possible usage.
3. The total of the ingredients equals the stated yield.
To determine this ATF calculates as follows:
a. Minimum quantity of wine with maximum quantities
of all other ingredients.
588.00
400.00
5.00
7.00
1000.00
b. Maximum quantity of wine with minimum quantities
of all other ingredients.
794.00
200.00
2.50
3.50
1000.00
4. The alcohol content of the finished product is
correct based on the alcohol content of each
component and the total yield. To determine this
ATF calculates the gallons of alcohol contributed
by each alcoholic component and the resulting
amount of alcohol in the finished product.
Example
588 gals wine @ 14% alc = 82.3 gals alc
7 gals Berry flavor @ 24% alc = 1.7 gals alc
Total gals alc = 84.0
(Total gallons alcohol) 84
(Total yield) 1000 x 100 = 8.4% alcohol
(FORM) (169 KB)
(FORM) (146 KB)
DISTILLED SPIRITS SPECIALTY
(STRAWBERRY AND BRANDY)
FORMULA #M-1
Before approving this formula ATF determined, in part,
that:
1. Each flavor is used within its prescribed limitation.
2. Vanillin and maltol limitations were not exceeded. To
determine this ATF calculated as follows:
Vanillin
a. Berry flavor #3222 contains 720 ppm ethyl vanillin
(See Example 3 of this section) and is used at a
maximum of 1% by volume
720 x 1% x 2.5 (conversion factor) = 18 ppm vanillin
b. The producer adds up to 20 ppm vanillin
Total 38 ppm vanillin
Maltol
a. Strawberry flavor #3501 contains 25,000 ppm maltol
(See Example 5 of this section) and is used at a
maximum of .5% by volume
25,000 x 5% =125 ppm maltol
b. The producer adds up to 50 ppm ethyl maltol
50 x 2.5 (conversion factor) =125 ppm maltol
Total 250 ppm maltol
Note:
Calculations are based on maximum usage.
(FORM) (58 KB)
Natural & Artificial Berry Flavor #3222
ATF is able to develop the following information from this
flavor formulation:
1. The flavor is natural and artificial with less than
0.1% artificial topnote. (Natural for alcohol
beverage labeling purposes.)
2. The flavor does not contain any coloring material.
3. The flavor contains the following limited or
restricted ingredients:
Maximum use rate
Ingredient Level of the flavor
Ethyl vanillin 720 mg/1 2.22%
Caprylic acid 120 mg/1 8.33%
Wormwood (Thujone free)
Bitter almond oil (FFPA)
EXAMPLE #5
SPECIAL FLAVORS INC.
Marseilles, France
The following quantitative formula is provided for our
flavor, Natural and Artificial Strawberry Flavor #3501
(nonalcoholic).
Purchaser: The M Company, Inc.
Rural Route 2, Box 50
Posen, Michigan 34905
and
230 W. Pratt Street
Baltimore, Maryland 30785
Nat. & Art. Strawberry Flavor #3501
40 lbs. Strawberry juice concentrate and other
fruit juices. (All approved for use
without limitation or restriction by
USFDA)
0.5 lbs. Orange oil and other citrus oils (with
0.5% BHA)
0.2 lbs. Orris Concrete (21 CFR 172.510)
0.1 lbs. Ethyl butyrate and other artificial
esters (approved for use without
limitation by USFDA or FEMA GRAS)
2.5 lbs. Maltol (21 CFR 172.515)
10 lbs b Cloud Emulsion #65 (3% BVO 21 CFR
180.30, 7.5% Ester Gum 21 CFR 172.735,
and citrus oils)
0.1 lbs. Sodium benzoate (21 CFR 184.1733)
Q.S. Strawberry shade (FD&C Red #4 and FD&C
Yellow #5)
Q.S. Elderberry Extract (for Color)
100 lbs. Yield (12.0 Gallons)
Alcohol content = 0
This flavor does not contain vanillin, ethyl vanillin or
ethyl maltol.
All ingredients used are GRAS by FEMA and/or approved for
use in alcohol beverages by the USFDA.
Modifier Flavor #25
ATF is able to develop the following information from this
flavor formulation:
1. Intermediate flavor #212 is an all natural flavor with no
coloring material added and with no limited ingredients.
2. This flavor is all natural.
3. This flavor contains caramel color.
4. This flavor contains the following limited ingredients:
Maximum use rate
Ingredient Level of the flavor
Tannic acid 5,991 mg/1 2.50%
Propylene glycol 100,000 mg/1 50%
Nat. & Art. Strawberry Flavor #3501
ATF is able to develop the following information from this flavor
formulation:
1. It is a natural and artificial flavor with 0.1% artificial
topnote. (Natural for alcohol beverage labeling purposes.)
2. The flavor contains the named fruit (strawberry).
3. The flavor contains the following colors: FD&C Red 40,
FD&C Yellow 5 and elderberry extract.
4. The flavor contains the following limited or restricted
ingredients:
Maximum use rate
Ingredient Level of the flavor
Sodium benzoate 1,000 mg/1 No limit
BHA less than 0.5% No limit
of the essential
oil content
Maltol 25,000 mg/1 1.0%
BVO 3,000 mg/1 0.5%
Ester gum 7,500 mg/1 1.33%
Inquiries. Inquiries concerning this circular should
refer to its number and be addressed to: Associate
Director (Compliance Operations), Bureau of Alcohol,
Tobacco and Firearms, 1200 Pennsylvania Avenue NW,
Washington, DC 20226.
Director |
