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Permits Online: Customer User Guide

Tips for Permits Online

 

What is Permits Online?

Permits Online (PONL) is a secure, web-based system that will facilitate and streamline the online submission, routing, and internal processing of Original and Amended applications to the Alcohol and Tobacco Tax and Trade Bureau (TTB). PONL users apply by answering a series of questions and PONL completes the necessary TTB forms. Customers receive automated email notification of application status changes from start to finish. Applicants will find step-by-step guidance within each application section and specific field-by-field help.

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Self-Registration

PONL has a self-registration feature which allows users to register online. Just click on the "Register For An Account" link in the top-right corner of the PONL Home Page. Registered users may create new applications, and track the progress of submitted applications. Be sure to notate your username and password so that you can successfully login to the system.

Your password must meet the following requirements:

  • Minimum of 8 characters
  • Must contain each of the following:
    • At least 1 upper-case letter (A, B, C, . . .)
    • At least 1 number (1, 2, 3, . . .)
    • At least 1 special character except for ', ", _, =, &, @
  • Must not contain the following:
    • Your user ID
    • The following characters: ', ", _, =, &, @
  • Cannot start with a number or special character
  • Cannot be any of your previous 10 password(s)
  • Cannot be a password that you have used in the last 48 hours

Important! Be sure to use a valid email address when completing the Contact information. You will receive an email at that address which contains the information necessary to activate your account. If you are unable to access the initial registration email you will not be able to complete your registration.

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Forgotten UserName and/or Password

If you forget your password, select the link, "I've forgotten my password" and correctly answer the security questions. Permits Online will send you an email with a reset password. Log in using the emailed password, and immediately change your password.

If you forget your User Name, log in using the email address that you used to set up your account. You will see your User Name on the next screen.

 

Applications Currently Available for Electronic Submission through Permits Online

Click here for a description of application types currently available for electronic submission through PONL. Applications for other TTB regulated business operations will be available in the future. If you are applying for an application that is not currently available please click here for application information.

Before starting one of the commodity (winery, wholesaler, brewery, etc.) applications, complete an Application for Owner and Officer Information (OOI) for EACH of the following persons related to the applicant business:

  • Owner
  • Partner
  • Director
  • Member
  • Managing Member
  • Stockholder/Interestholder of 10% or more stock/interest in the business

The Owner Officer Information must be completed for all Officers, Directors, Members, Managing Members. Also for Stockholders/Interest holders that have 10% or more stock/interest.

Each of these individuals may create an account, log into Permits Online, complete their own OOI application, and provide the resulting OOI Tracking Number to the person filing the commodity Application.

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Completing an Application for Owner and Officer Information (OOI)

Step 1: Log in and Select 'Create a New Application' from your home window

Step 2: Select the checkbox accepting the penalties of perjury statement, and select the Continue Application button.

Step 3: Select 'Owner Officer Information' from the dropdown menu, and select the Continue Application button. Complete the entire application.

PONL will generate a unique OOI Tracking Number for each one.   You will need these OOI Tracking Numbers during the application process. For applicants who are familiar with TTB forms, this application replaces certain questions on Form 5000.9, Personnel Questionnaire, as well as questions found on other TTB forms.  Please note that once all required OOI Applications are submitted, you should proceed with submitting your commodity (permit / registration / notice related) application or amendment which is to be filed in conjunction with these OOIs.  You should not wait for the OOI application to be processed.

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Inserting the OOI Tracking Number in the Commodity Application

Step 1: Insert the OOI Tracking Number in Step 2 of the original application process.

Step 2: In the Officer/Ownership Information section, select the 'Add row' button.

Step 3: Select 'Electronically via Permits Online' from the dropdown, and enter the OOI Tracking Number in the Officer/Owner Info Tracking No.: field and continue until completed.

Be prepared to identify whether or not the 'person' is a Company, Individual or a Trust; provide their full name (no abbreviation); their primary title and additional tiles with the applicant business; duties they will perform for the applicant business; percentage of voting stock or interest; the amount invested in the applicant business, if any; the source of those funds; and the method used to submit the source of funds documentation.

Add a row for each owner, officers, directors, members, managing members, and each stockholders/interest holders of 10% or more stock/interest. Failure to do so will delay your application.

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Required Attachments

For each Original Application, a combination of application type (Winery, Wholesaler/Importer, etc) and business entity type (Corporation, LLC, Sole Proprietorship, Partnership) determines which attachments are required in addition to your application.

Other documents may be required depending on your proposed operations. Visit https://test.ttbonline.gov/permitsonline/h/ReqdDocs.htm, to determine what you must submit with your application. TTB may consider an incomplete application for abandonment after a short period, usually 15 days. To prevent this action, list each required attachment and the method of submission for each in the Statements and Documents section of your application. Click here for a detailed description of each Document Type. You must submit bond forms, Change of Bond (Consent of Surety) Forms, and Power of Attorney Forms by mail, if they are required.

During the application process, you will have the opportunity to upload an electronic copy of all other required documents. If you are unable to upload the attachments, you may submit them by mail or fax. Please note that this may delay the processing of your application.

Within the application you are completing, there is a Statements and Documents section. You need to list each supplemental document (based on the Required Documents above) that you are submitting and the method of submission for each in this section. Failure to fully and accurately complete this section of the application may delay the processing of your application, as this informs TTB of what documents we should be expecting and where we should be looking for each document.

Once you submit an application, a page will be shown acknowledging that the application has been successfully submitted and directing you to print out a Cover Sheet. This Cover Sheet uses the information you provided in the Statements and Documents section and will assist you if you will be mailing or faxing any of the required documents. If you fail to print out your Cover Sheet upon submission, you may also access it later. To access and print the Cover Sheet after you have submitted the application and left the submission acknowledgment page, follow these steps:

  • Login to Permits Online
  • Use the “Search Your Applications” button to find your application
  • Click on the underlined application tracking number
  • Click on the Print Cover Sheet button if one appears OR click on the “Reports” button at the top of the screen and choose the TTB Cover Sheet for the type of application you have filed
  • You may view, print, or save the document

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Uploading or Making Changes / Additions After Application Submission
Once an application has been submitted, you are not able to make any changes to the application data.   If you need to change something, please contact your Specialist once the application has been “Accepted” or call the Permits Online Help Desk at 1-855-882-7665.  However, you can still upload documents to your application after initial submission.  To do so, please follow the below steps:

  • Use the “Search Your Applications” button to find your application
  • Click on the application tracking number
  • Click on the triangle next to Supporting Documents and Attachments
  • Click on “Upload A New Attachment”
  • Select the Document Type from the dropdown list
  • Click “Browse” and find your document you wish to upload
  • Enter a brief description of the document
  • Click “Upload”

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General Help

At the top of every page in the application information section, there is general guidance that will explain the reason for the requested information and supply useful guidance on completing the associated fields. Read this help and follow the instructions provided.

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Help Buttons

Throughout each application, there are numerous Help Buttons represented by a Question Mark inside a circle. Select these buttons for field-specific instructions and guidance. This help can assist you in avoiding routine mistakes. Submitting an accurate and complete application helps us process your application in the most efficient and timely manner possible. Read this help and follow the instructions provided.

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Navigation

Do not use the back button. If you need to edit something from a previous page, you will have the opportunity to do so at the end of the application, prior to submission.

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System Timeout

There is a 2-hour inactivity timeout. Permits Online does not automatically save your work before implementing the inactivity timeout, so you will lose any information you have not saved if you are inactive for more than 120 minutes. If you will be away or inactive for two hours or more, please use the system's "Save and Resume Later" feature.

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Foreign Place of Birth

If you are completing an Application for Owner Officer Information and were born in another country, please enter both the city and country of your birth in the "Place of Birth City" field and then choose FR (for "foreign") in the "Place of Birth State" field.

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Application Contacts and Addresses

Within various Permits Online applications, there are five different types of Application Contacts, which identify addresses and primary contact persons associated with each application.

  • Officer-Owner – This contact refers to an owner or officer of an applicant company.  This contact information is provided in the Application for Owner Officer Information.
  • Application Contact - This contact is the primary person with whom TTB will discuss application information and who will receive email notifications from TTB about the submitted application.  This may be a consultant or an owner, officer, or other employee representing the applicant company.
  • Business Headquarters - This contact includes information about the primary person within the applicant company with whom TTB will, if necessary, conduct a phone interview about the proposed operations. 
    • This contact must submit a legible photocopy of the driver’s license or other official State ID card as an attachment if this is an original application or a change of proprietorship. 
    • This person must have signing authority on behalf of the applicant business, and cannot be a consultant. 
    • In this section, you will also provide the applicant’s official company name and Employer Identification Number.  If the applicant company is a corporation or limited liability company, enter its name exactly as it appears on the organizational documents registered with the State, including punctuation and any abbreviations.
  • Mailing Address – This contact includes information about the address where you would like to receive your mail from TTB.
  • Premises Address – This contact includes information about the address where the proposed operations will take place. 

In many cases, these contacts and addresses will be the same, and the option for auto-fill is available in some instances. The auto-fill option uses the information from your PONL user registration.

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Adding Additional Application Contacts

When an application is submitted using Permits Online, a single individual must be designated as the Application Contact.  This person must be registered in Permits Online and should have either Power of Attorney or Signing Authority with the applicant.   If a customer wishes to have any other individuals added as additional Application Contacts, they must follow the below steps to create a new application in the Request Access – Existing Data category.  

  • Click on the “Create A New Application”
  • Select “Request  Access – Existing Data”
  • Enter the information for the new Application Contact
  • Identify the Application Tracking Number, Permit / Registry Number, or EIN of the application(s)/record(s) to which you wish to be linked
  • Check the box for the Penalties of Perjury statement
  • Review and Submit

This person must also be registered within Permits Online and be listed as having Signing Authority or Power of Attorney with the record or application to which they are being added.  If you do not have existing authorization on file, DO NOT use this application.  EXIT and have a person with authority submit an amendment to the original application to Add Signing Authority (for employees) or to Add Power of Attorney (for non-employees) for the new Application Contact and then return to this application.  The submission of this application will show up as a record with a Tracking ID in the format of 2010-LINK-00000 (YEAR-LINK-#####).

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Required Fields and Non-Applicable Fields

Within each application, there are required fields which you must complete. These required fields are marked with a red asterisk *. Certain fields can become "required" based on your answers to previous questions. Likewise, certain questions will become unavailable, or "grayed out" based on your answers to previous questions.

Be sure to read the general help for each application information section, as some sections may not be required based on your proposed operations. This is especially true of the "Application Tables" page of the Application for Owner Officer Information.

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Application Statuses

Your Application will go through a number of steps while being processed and analyzed for eligibility by TTB.  Some steps are mandatory and some are situational.  Below is a brief description of some of the more common Application Statuses:

  • Initial Review – application is being reviewed for completeness
  • Application Incomplete – application is missing required documents; see “Communication From TTB” on how to see comments regarding this status
  • Accepted – application has been deemed complete and has been moved on to a Specialist for review of eligibility and accuracy
  • Corrections Made – application data has been corrected
  • Corrections Requested – the Specialist has determined that additional information or documentation is needed
  • Abandoned – application has been abandoned due to TTB’s inability to contact you or due to a lack of timely response for additional information
Approved – application has been approved; see “Printing / Accessing Approval Documents” on how to get copies of approved documents

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Tracking Numbers

PONL generates several types of tracking numbers.

If you begin an application and save it prior to submission, you will receive a Temporary Tracking Number. You may reopen the application, and complete and submit it at a later time. An example of a Temporary Tracking Number is 2010TMP-003245.

Once an application has been submitted, you will receive an email providing you with an Initial Tracking Number. If you previously received a Temporary Tracking Number by saving an incomplete application, that number is no longer valid once the application is submitted. An example of an Initial Tracking Number is IW-2010-00165.

The IW stands for Importer/Wholesaler. In this example, a customer completed a New Importer/Wholesaler (IW) application, and could have applied for approval to become an importer, a wholesaler, or both.

For some submissions, including most original applications, you will receive a second email providing you with one or more new Application Tracking Numbers after TTB initially reviews the application and accepts it as complete enough for further processing. Examples of Application Tracking Numbers include 2010-IMP-00248-O and 2010-WHL-00317-O.

In this example, the customer applied for both an importer and a wholesaler's Basic Permit, and the Initial Application was separated into two individual applications. If you received one or more Application Tracking Numbers, they replace the Initial Tracking Number and the Initial Tracking Number is no longer needed.

For an Application for Owner and Officer Information, as well as most Amendments, the Initial Tracking Number you receive is also your Application Tracking Number.

You may check the status of your application 7 days a week, 24 hours a day using these tracking numbers.

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Samples of Tracking Numbers

OOI-2011-00000

Owner or Officer Information Application Tracking Number

(Is associated with the related commodity application)

2010TMP-003245

Temporary Application Tracking Number

(Is replaced by the commodity application after it is submitted)

IW-2011-00000

Parent Importer/Wholesaler Application Tracking Number

2011-IMP-00000-O

Child Importer Original Application Tracking Number

2011-WHL-00000-O

Child Wholesaler Original Application Tracking Number

TF-2011-00000

Parent Tax-free Alcohol User Application Tracking Number

2011-TFA-00000-O

Child Tax-free Alcohol User Original Application Tracking Number

SU-2010-00165

Parent Specially Denatured Spirits User Application Tracking Number

2010-SDSU-00248-O

Child Specially Denatured Spirits User Original Application Tracking Number

SD-2010-00165

Parent Specially Denatured Spirits Dealer Application Tracking Number

2010-SDSD-00248-O

Child Specially Denatured Spirits Dealer Original Application Tracking Number

US-2010-00165

Parent United States Government Application Tracking Number

2010-USTFA-00248-O

Child United States Government Tax-free Alcohol User Original Application Tracking Number

2010-USSDS-00248-O

Child United States Government Specially Denatured Spirits User Original Application Tracking Number

AF-2011-00000

Parent Alcohol Fuel Plant Application Tracking Number

2011-AFP-00000-O

Child Alcohol Fuel Plant (Medium /  Large) Original Application Tracking Number

2011-AFPS-00000-O

Child Alcohol Fuel Plant (Small) Original Application Tracking Number

2011-AFPS-00000-O

Child Alcohol Fuel Plant (Small) Original Application Tracking Number

2011-BRE-00000-O

Child Importer Original Application Tracking Number 		 

DS-2011-00000

Parent Distilled Spirits Plant Application Tracking Number

2011-DSPB-00000-O

Child DSP Beverage Original Application Tracking Number

2011-DSPI-00000-O

Child DSP Industrial Original Application Tracking Number
 

2011-DSPBI-00000-O

Child DSP Beverage and Industrial Original Application Tracking Number		  

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Amendments

Industry members who did not receive their initial approval through Permits Online cannot yet file amendments through the system.  We expect this functionality to be available by the end of the summer of 2012.   Customers who did have their original applications approved through Permits Online should file any amendments through the system as well.   Click here to find out more about the available amendments and the required documents associated with the filing of amendments through Permits Online.  

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Save and Resume Later

While completing an application in PONL, you may choose to click "Save and Resume Later" in the bottom right-hand corner of the page, if you run out of time or find that you don't have all of the information necessary to complete the application at that time.

The "Save and Resume Later" option works only if you have completed all of the required fields (and related information sections and tables) up to the point where you leave the application. Once you click "Save and Resume Later", you will be taken to the "Search For Applications" screen. The application (with a Temporary Tracking Number) at the top of the page will be the application you just saved for later completion. Write down the Temporary Tracking Number of that application.

To resume the application later, you must select "Search Your Applications" from the Permits Online Home page. Next, select "Resume Application" at the end of the row for the correct Temporary Tracking Number. The system will take you to the first page of the application. You must select "Continue Application" to page through to the page where you left the application so you can continue completing the application information.

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Communication from TTB

TTB will email you at various steps in the application process. These emails will contain will contain status updates and communicate actions you must take before we can continue to process your application. Status changes may include, "Received", "Incomplete", "Pending", "Review in Progress", "Abandoned", "Withdrawn", "Denied", or "Approved". In certain instances, you must log into Permits Online to view additional information such as comments or instructions.

Comments will be sent to you (if applicable) which to pertain to missing required documentation and an Incomplete Status (Initial Review), application data that we corrected via a Correction Made Status (Specialist Review), or specific instructions or limitations regarding an approval or denial of your application (Manager Disposition). To view these additional Comments about your application, use the following steps:

  • Login to Permits Online
  • Use the “Search Your Applications” button to find your application
  • Click on the application tracking number
  • Click on the arrow next to the Status bar
  • Click on the arrow button next to either “Initial Review”, “Specialist Review”, or “Manager Disposition”
  • Click on the plus sign (+) box next to one of the above categories to reveal the specific comments

TTB may attach certain documents to your application after its final disposition. This may include an approval letter, permit, registration, and other approval documents (as applicable) or information regarding a denial, withdrawal, or abandonment. To access these documents, click on the arrow next to Supporting Documents and Attachments. Then, click on the name of the document, and select "Open" to view, print, or save the TTB attachment.

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Printing / Accessing Approval Documents

If you receive an email stating that you have been Approved, you should visit your record within Permits Online to access or print your approval documents such as a permit, registration, notice, or approval letter.  General Steps are:

  • Use the “Search Your Applications” button to find your application
  • Click on the application tracking number
  • Click on the triangle next to Supporting Documents and Attachments
  • Click on the Document name of the document you wish to open
  • Select "Open" to view, print, or save the TTB attachment

Collections

If you file multiple applications within PONL, you may choose to organize their applications using a feature called 'Collections'. This will be especially useful if you are a consultant or if your company has multiple regulated operations or locations. Once you have created more than one application, you may create Collections.

After selecting "Search Your Applications" from the Home screen, select the boxes next to the applications you wish to organize together in a collection and then click "Add To Collection". You may either create a new Collection or choose an existing Collection.

After your collection is created you may select the "Collections" button at the top of the screen, to open a collection folder and review all of the applications within that Collection. Please note, however, that all applications remain in the primary Records list even if they have also been selected as part of a Collection. There is no limit to the number of Collection folders you can create.  Please click here for additional information on the Collections feature.

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Viewing Your Application Data and Attachments

To view your application data and attachments after you have submitted the application or after you have saved the application prior to submission, you will need to login, use the "Search Your Applications" button to find your application, and then click on the tracking number of the application.

First click on the arrow next to View Details within the "Record/Application Details" section. You may then open various subsections of your application by clicking on the plus sign (+) next to each subsection.

To access and view any documents you have attached to your application, click on the arrow next to Supporting Documents and Attachments. Click on the name of the document and select "Open" to view the attachment.

To see the tracking numbers of any other applications (Initial Application, official Commodity-Specific Application, or Application for Owner Officer Information) related to the one you have selected, click on the arrow next to Related Records/Applications. You can switch to one of those related applications by clicking on View to the right of the application.

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Recreating Application Data on TTB Forms

You may view your information as completed TTB forms. To do this, select "Search Your Applications" from the PONL Home screen. Then, select the Tracking Number of the application you wish to open and view.

Next, click the "Reports" button at the top of the screen and select the form which you wish to complete. Please note that forms for all applications, including those forms not applicable to your application, are available in this list. If you select a form that does not apply to your application, it will appear blank.

Please note that at this time, some forms such as all bond forms, TTB Form 5000.18, Change of Bond (Consent of Surety), and TTB Form 5000.8, Power of Attorney, must be submitted with original signatures by mail.

However, you can create partially completed versions of these forms by completing the online application first and then accessing them and printing them from this screen. Also, certain forms which contain personnel data such as Date of Birth and Social Security Number aren't available for recreation for privacy reasons. These include TTB Form 5000.9, Personnel Questionnaire, and TTB Form 5100.24, Application for Basic Permit.

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Exceptions

Due to certain system limitations, there are a few restrictions on what can be filed using PONL. For instance, an amendment for a Change in Location from one state to another state cannot be processed through Permits Online. Customers should file an original application for the appropriate commodity instead.

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Page last reviewed/updated: 04/08/2011

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