Navigating amendments to the TTB federal basic permit can be daunting. Questions like altering bonds, relocating a distillery, or changing LLC members are common as businesses evolve. Working with an attorney well-versed in the types of permits as well as with Permits Online is crucial. The amendment process demands meticulous attention to detail. Lindsey Zahn P.C. can guide you, addressing potential issues before submission. Unseen issues can lead to significant delays after TTB specialist reviews, sometimes spanning weeks or months.
That said, let’s delve into common amendments applicable to federal basic TTB permits for distilled spirits, wineries, brewer’s notices, importer permits, and wholesaler permits. The eligibility for these amendments may depend on your specific TTB permit. Distinct amendments may apply to, for instance, distilled spirits plants as opposed to wineries, or to manufacturer-tier permits and not to wholesalers or importers. It is crucial to discern these differences.
The First Question to Ask: Do You Have a Permits Online Account?
The first question you should ask is whether or not you have a TTB Permits Online account. As of the date of this article, TTB only accepts amendment applications online. To file most amendment applications with TTB, the permit files must be on the account of the filer (and the account holder must have Signing Authority or Power of Attorney on file with TTB). If the permit is not on the account, it will need to be added to the account through a link request.
If your initial permit submission dates back several years, it is possible that it was completed through a paper application. The National Revenue Center (“NRC”) of the TTB has transferred paper records to its online system and a link request will need to be filed to access any of the prior paper records. The link must be approved before the amendment can be filed.
What Types of Amendments Can be Filed with TTB?
TTB has several different types of amendments that can be filed. Some amendments are tied to the entity record (such as changes to LLC members, managers, or managing members or changes to officers and directors) whereas other amendments are tied to the commodity record (such as changes to the physical premises or the location).
Below is a list of some types of changes that can be made to one of the TTB records:
- Change in premises location
- Change to the premises (i.e., the bonded premises)
- Change in mailing address
- Add or remove Signing Authority or Power of Attorney
- Change in operations
- Change in business name
- Addition or removal of a doing business as (“DBA”) name, trade name, or bottling on account for name
- Change in ownership
- Change in control
- Addition or removal of non-contiguous premises
- Addition or removal of alternating proprietor or alternating premises
- Transfer in bond (for Distilled Spirits Plants)
The above are just a few examples of amendments that can be filed with TTB for federal basic permit holders. Summaries for certain types of amendments are included below.
Change in TTB Premises Location
The change in TTB premises location is the change to the physical location of the TTB federal basic permit. It is effectively a change to the address that is listed on the TTB federal basic permit.
The critical constraint here revolves around the new location of the premise. If your relocation involves crossing state lines, this particular amendment isn’t viable, necessitating the submission of an entirely new application to the TTB. For instance, if your distilled spirits plant holds a license in New York, and you’re relocating to Connecticut, a change in premise location amendment won’t suffice; you must initiate a new application for a distilled spirits plant with the TTB. However, if your move remains within the same state as the current premise, filing a change in premise location amendment is generally permissible.
A comparable amendment to the change in premise alteration is the change in premise address due to a modification in the address designated by the United States Postal Service (USPS). This amendment is relevant if the company undergoes a change in the USPS postal address without a physical relocation.
Change to the TTB Premises
A change to the TTB premises should not be confused with a change in the premises location. A change to the TTB premises is generally a change to the TTB permitted space. This could include increasing or decreasing the portion of the space that is devoted to the TTB permit (typically called the “bonded premises”). It may also entail other physical changes, such as removing or building walls, adding doors, adding windows, or similar (not an exhaustive list).
Change in Mailing Address
In contrast to the alteration in premises location, the modification of the mailing address can transcend state boundaries. The original mailing address might exist in an entirely different state than the premises location — this pertains specifically to the mailing address. An adjustment in the mailing address can be either voluntary or involuntary. Occasionally, the USPS initiates changes to the mailing address, necessitating an update with the TTB. Alternatively, the permittee might wish to redirect TTB-related correspondence to a specific address, distinct from the one on record with the TTB.
Change in Operations
Submit a change in operations amendment to TTB if your business has altered its method or process. The nature of this amendment varies based on the specific change and the original permit, such as distillery versus importer. Wholesalers can use this amendment to declare their intention to add importation privileges; importers can use this amendment to add distribution privileges. However, DSP, winery, and brewery permittees may face more complex challenges depending on the nature of the change.
For instance, if you’re a licensed DSP wanting to produce wine at the same location and space as your DSP, you’d need to submit an original winery permit application to TTB and likely file a change in operations for your DSP permit, with additional amendments depending on the specifics of the change. The nature of these changes significantly influences the type of permit amendments necessary. It is ideal to work with a professional to determine what reporting may be required when making these types of changes.
Change to Business Name
An amendment will need to be submitted in case of a business name change. Typically, you should provide supporting documents, like amended Articles of Organization or equivalent, demonstrating the name change. It is essential to note that this amendment does not cover changes in business entities, such as a shift from an LLC to a corporation.
Addition or Removal of a Trade Name
TTB allows permittees to add or remove trade names, including DBA names and bottling on account for names. This modification might demand evidence of state registration for the trade name’s use. If engaged in “bottling on account for,” a letter granting permission for your company to bottle under the trade name may be necessary. Remember that state approval of the trade name is a prerequisite for TTB approval.
Change in Control
Submit a change in control amendment to TTB if your business experiences a shift in actual or legal control, like changes in stock ownership, LLC membership ownership, or significant alterations to corporate officers or directors. This amendment pertains to scenarios where the legal entity operating your business remains intact and continues to control and operate it. This is distinct from situations where, for instance, a corporation is dissolved, and the legal entity ceases to exist. This type of change typically must be filed within thirty (30) days of the change in control.
It is worth noting that it is important to notify TTB of changes to your permit in a timely manner. Some changes mentioned above require approval from TTB before they may be enacted. Other changes have filing timeline requirements. Failure to timely report changes can present issues for businesses down the line, such as during and audit or an investigation.
Moreover, if your business has evolved but TTB hasn’t been notified of these changes, it’s time for an update! Or if you are thinking about making these changes, it is important to determine a strategy and pathway forward to limit interruption to your business as much as possible. Reach out to us at info@zahnlawpc.com for comprehensive guidance on how Lindsey Zahn P.C. can assist you in this process.