Navigating the complexities of the Alcohol and Tobacco Tax and Trade Bureau’s (“TTB“) federal basic permit amendments can be a daunting task. Questions abound, such as how to modify a bond, what is required for the relocation of an alcohol business, or the process for altering the LLC members or directors and officers of a corporation. More importantly, what is the difference between a change in proprietorship versus a change in operations? These are common queries that arise as businesses evolve and change.
Partnering with a professional familiar with TTB federal permit amendment applications is crucial. The amendment process is intricate and ofter demands strategy, attention to detail, and precise information. An experienced alcohol beverage attorney can streamline the process and help identify potential issues before the application heads to review. This is vital as issues identified post-submission may lead to significant delays in processing time.
How does one amendment a TTB federal basic permit?
TTB offers a number of permit amendments that can be filed by businesses holding a federal basic permit. Some amendments are offered for a specific type of business (e.g., a distilled spirits plant) whereas other amendments may be filed by any type of permittee (e.g., importer, wholesaler, winery, brewery, or distilled spirits plant).
As of the date of this article, TTB requires original and amended permit applications to be filed online through its Permits Online portal (“PONL”). PONL is an online portal controlled by TTB specifically for original TTB permit applications and amendment filings. It should not be confused with COLAs Online or Formulas Online, which are portals used to file TTB label and formula applications (respectively).
If your company has never filed an application on PONL and previously submitted its application and/or amendments via paper, your company may need to first request access to its permit files online via PONL before an amendment can be filed. Note that folks with signing authority or Power of Attorney are the only individuals who can request access to TTB permit files.
What types of permit amendments can be filed with TTB?
TTB offers a number of different permit amendments. Some of the amendments include the following (not an exhaustive list):
- Change in Premise Location: This type of amendment is applicable if a currently permitted business is moving within the same state but not across state lines.
- Change in Mailing Address: This type of amendment should be filed if the industry member has a change in mailing address.
- Add or Remove Signing Authority or Power of Attorney: An amendment for signing authority or Power of Attorney can be added or revoked to authorize or remove individuals from signing roles or Power of Attorney.
- Change in Operations: Necessary for altering the method or process of operations. Note that this type of amendment should be filed prior to engaging in a change of operations.
- Change in Business Name: Essential if the business undergoes a name change (typically will require the business entity name to be changed with the state authority, such as the Secretary of State).
- Add or Remove Trade Name: This type of amendment can be filed to add or remove trade names, doing business as names, or bottling on account for names.
- Change in Control: TTB generally must be alerted about changes in stock ownership, LLC membership, or corporate officers. Changes in legal or actual control generally must be reported to TTB. Additionally, it is important to note that TTB sees a difference between a change in control versus a change in proprietorship. To determine how TTB may view your change and to develop a strategy on permit filing, contact Lindsey Zahn P.C. for an initial consultation at info@zahnlawpc.com to schedule an initial consultation.
- Add or Remove Non-Contiguous Premises: A non-contiguous premises amendment may need to be filed to authorize operations at a separate location under the same permit. To determine determine whether or not your proposed operation may qualify as a non-contiguous premises for TTB purposes, contact Lindsey Zahn P.C. for an initial consultation at info@zahnlawpc.com to schedule an initial consultation.
- Change in Bond (Superseding or Strengthening): For modifying the bond amount, address, or surety company. An amendment typically also needs to be filed if a company needs to remove a bond from their federal TTB permit application.
- Add or Remove Alternating Premises or Alternation of Proprietor: An amendment typically needs to be filed with TTB when a current industry member wishes to bring on an alternating proprietor at their premises. Similarly, an amendment must be filed to alter the premises (such as between a winery and brewery under the same ownership).
- Termination of Business: This type of amendment is filed when discontinuing alcohol beverage operations.
How often should a permit amendment be filed?
This is a good question and it often stems on the specifics of the change. However, generally speaking, most federal amendments should be filed within thirty (30) days of a change. There are some limitations, however, that may require permission from TTB prior to a change.
If your business has undergone a change without reporting it to TTB, the business could face potential violations. It is ideal to work with an attorney experienced with alcohol beverage law to discuss potential risks and possible solutions.
For more specific information about your company’s specific needs and proposed change, reach out to Lindsey Zahn P.C. to schedule an initial consultation at info@zahnlawpc.com.
Why should you hire an attorney to handle a TTB amendment application?
While this is a general guide, how a company approaches an amendment application will invariably depend on the company’s permit as well as the specifics of the changes. Mistakes when filing amendments could delay processing time or potentially cause compliance problems down the line.
Collaborating with an alcohol beverage lawyer for the amendment of your TTB permit is a strategic choice that can help safeguard your business interests and potentially streamline a complex regulatory process. TTB permits involve intricate legal nuances, and a seasoned lawyer brings comprehensive knowledge of alcohol laws, regulations, and industry practices. An alcohol beverage attorney can provide invaluable insights into the specific requirements of your permit type, ensuring that your amendments align with regulatory standards. Moreover, an experienced alcohol beverage lawyer can foresee potential pitfalls, offer strategic advice on navigating regulatory hurdles, and prevent delays that might arise from oversights or errors.
Lindsey Zahn P.C. focuses on alcohol beverage law, has handled dozens of permit amendment applications, and has worked closely with the TTB and its specialists. Our firm can guide you through the amendment process and help you fulfill state-level requirements. Reach out to info@zahnlawpc.com to explore how we can assist your specific business needs.