[Title 27 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2022 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 27
Alcohol, Tobacco Products and Firearms
________________________
Parts 1 to 39
Revised as of April 1, 2022
Containing a codification of documents of general
applicability and future effect
As of April 1, 2022
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 27:
Chapter I--Alcohol and Tobacco Tax and Trade Bureau,
Department of the Treasury 3
Finding Aids:
Table of CFR Titles and Chapters........................ 1027
Alphabetical List of Agencies Appearing in the CFR...... 1047
List of CFR Sections Affected........................... 1057
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 27 CFR 1.1 refers to
title 27, part 1, section
1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
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Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
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[[Page vi]]
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
April 1, 2022
[[Page ix]]
THIS TITLE
Title 27--Alcohol, Tobacco Products and Firearms is composed of
three volumes: Parts 1-39, parts 40-399, and part 400 to end. The
contents of these volumes represent all current regulations codified
under this title by the Alcohol and Tobacco Tax and Trade Bureau,
Department of the Treasury, and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives, Department of Justice, as of April 1, 2022.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of the
John Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS
(This book contains parts 1 to 39)
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Part
chapter i--Alcohol and Tobacco Tax and Trade Bureau,
Department of the Treasury................................ 1
Abbreviations Used in This Chapter:
ATF = Alcohol, Tobacco and Firearms. T.D. = Treasury Decision. TTB =
Alcohol and Tobacco Tax and Trade Bureau.
[[Page 3]]
CHAPTER I--ALCOHOL AND TOBACCO TAX AND TRADE BUREAU, DEPARTMENT OF THE
TREASURY
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Editorial Note: 1. Nomenclature changes to chapter I appear by T.D.
TTB-44, 71 FR 16920, Apr. 4, 2006.
SUBCHAPTER A--ALCOHOL
Part Page
1 Basic permit requirements under the Federal
Alcohol Administration Act,
nonindustrial use of distilled spirits
and wine, bulk sales and bottling of
distilled spirits....................... 5
4 Labeling and advertising of wine............ 13
5 Labeling and advertising of distilled
spirits................................. 50
6 ``Tied-House''.............................. 98
7 Labeling and advertising of malt beverages.. 109
8 Exclusive outlets........................... 139
9 American viticultural areas................. 143
10 Commercial bribery.......................... 425
11 Consignment sales........................... 429
12 Foreign nongeneric names of geographic
significance used in the designation of
wines................................... 432
13 Labeling proceedings........................ 435
16 Alcoholic beverage health warning statement. 445
17 Drawback on taxpaid distilled spirits used
in manufacturing nonbeverage products... 447
18 Production of volatile fruit-flavor
concentrate............................. 467
19 Distilled spirits plants.................... 478
20 Distribution and use of denatured alcohol
and rum................................. 624
21 Formulas for denatured alcohol and rum...... 663
22 Distribution and use of tax-free alcohol.... 691
24 Wine........................................ 711
25 Beer........................................ 802
26 Liquors and articles from Puerto Rico and
the Virgin Islands...................... 854
27 Importation of distilled spirits, wines, and
beer.................................... 914
28 Exportation of alcohol...................... 937
[[Page 4]]
29 Stills and miscellaneous regulations........ 985
30 Gauging manual.............................. 988
31 Alcohol beverage dealers.................... 1001
32-39
[Reserved]
[[Page 5]]
SUBCHAPTER A_ALCOHOL
PART 1_BASIC PERMIT REQUIREMENTS UNDER THE FEDERAL ALCOHOL
ADMINISTRATION ACT, NONINDUSTRIAL USE OF DISTILLED SPIRITS AND WINE,
BULK SALES AND BOTTLING OF DISTILLED SPIRITS--Table of Contents
Subpart A_Scope
Sec.
1.1 General.
1.2 Territorial extent.
1.3 Forms prescribed.
1.4 Delegations of the Administrator.
Subpart B_Definitions
1.10 Meaning of terms.
Subpart C_Basic Permits
When Required
1.20 Importers.
1.21 Domestic producers, rectifiers, blenders, and warehousemen.
1.22 Wholesalers.
1.23 State agencies.
Persons Entitled to Basic Permits
1.24 Qualifications of applicants.
Applications for Permits
1.25 General.
1.26 Incomplete or incorrectly executed applications.
1.27 Change in ownership, management, or control of the applicant.
1.29 Individual plant or premises.
1.30 Power of attorney; Form 5000.8 (1534).
1.31 Denial of permit applications.
Authorization
1.35 Authority to issue, amend, deny, suspend, revoke, or annul basic
permits.
Amendment and Duration of Basic Permits
1.40 Change of name.
1.41 Change of address.
1.42 Change in ownership, management, or control of business.
1.43 Duration of permits.
1.44 Automatic termination of permits.
Revocation, Suspension, or Annulment of Basic Permits
1.50 Revocation or suspension.
1.51 Annulment.
1.52 Disposition of stocks of alcoholic beverages upon revocation,
annulment, or automatic termination of basic permit.
Miscellaneous
1.55 Recalling permits for correction.
1.56 Oaths and affirmations.
1.57 Procedure.
1.58 Filing of permits.
1.59 Public information as to applications acted upon.
Subpart D_Nonindustrial Use of Distilled Spirits and Wine
Uses Regarded as Industrial
1.60 Use of distilled spirits.
1.61 Use of wine.
1.62 Use of distilled spirits or wine for experimental purposes and in
manufacture of nonbeverage products.
Uses Classed as Nonindustrial
1.70 General.
1.71 Distilled spirits in containers of a capacity of one gallon or
less.
Subpart E_Bulk Sales and Bottling of Distilled Spirits
Bulk Sales and Bottling
1.80 Sales of distilled spirits in bulk.
1.81 Importation of distilled spirits in bulk.
1.82 Acquiring or receiving distilled spirits in bulk for
redistillation, processing, rectification, warehousing, or
warehousing and bottling.
1.83 Acquiring or receiving distilled spirits in bulk for addition to
wine.
1.84 Acquisition of distilled spirits in bulk by Government agencies.
Warehouse Receipts
1.90 Distilled spirits in bulk.
1.91 Bottled distilled spirits.
Sales of Distilled Spirits for Industrial Use
1.95 General.
Authority: 27 U.S.C. 203, 204, 206, 211 unless otherwise noted.
Source: T.D. ATF-373, 61 FR 26098, May 24, 1996, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 1 appear by T.D. ATF-
463, 66 FR 42733, Aug. 15, 2001.
[[Page 6]]
Subpart A_Scope
Sec. 1.1 General.
(a) The regulations in this part relate to requirements governing
the issuance, amendment, denial, revocation, suspension, automatic
termination, and annulment of basic permits and the duration of permits,
except that the provisions of part 71, Rules of Practice in Permit
Proceedings, of this chapter are hereby made applicable to
administrative proceedings with respect to the application for, and to
the suspension, revocation, or annulment of, basic permits under the
Federal Alcohol Administration Act.
(b) The regulations in this part also specify what uses of distilled
spirits and wine are ``nonindustrial,'' as that term is used in section
117 of the Federal Alcohol Administration Act (27 U.S.C. 211). Finally,
this part, in accordance with section 106 of the Federal Alcohol
Administration Act (27 U.S.C. 206), contains the substantive
requirements relative to bulk sales and bottling of distilled spirits
under the Federal Alcohol Administration Act, including the terms of
warehouse receipts for distilled spirits in bulk. No procedural
requirements are prescribed.
Sec. 1.2 Territorial extent.
The provisions of this part are applicable to the several States of
the United States, the District of Columbia and Puerto Rico.
Sec. 1.3 Forms prescribed.
(a) The appropriate TTB officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms prescribed by this part are available for printing through
the TTB Web site (http://www.ttb.gov) or by mailing a request to the
Alcohol and Tobacco Tax and Trade Bureau, National Revenue Center, 550
Main Street, Room 1516, Cincinnati, OH 45202.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999; T.D. TTB-44, 71 FR 16920, Apr. 4, 2006]
Sec. 1.4 Delegations of the Administrator.
Most of the regulatory authorities of the Administrator contained in
this part are delegated to appropriate TTB officers. These TTB officers
are specified in TTB Order 1135.1, Delegation of the Administrator's
Authorities in 27 CFR Part 1, Basic Permit Requirements Under the
Federal Alcohol Administration Act, Nonindustrial Use of Distilled
Spirits and Wine, Bulk Sales and Bottling of Distilled Spirits. You may
obtain a copy of this order by accessing the TTB Web site (http://
www.ttb.gov) or by mailing a request to the Alcohol and Tobacco Tax and
Trade Bureau, National Revenue Center, 550 Main Street, Room 1516,
Cincinnati, OH 45202.
[T.D. TTB-44, 71 FR 16920, Apr. 4, 2006]
Subpart B_Definitions
Sec. 1.10 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
shall have the meaning ascribed in this part.
Act. The Federal Alcohol Administration Act.
Administrator. The Administrator, Alcohol and Tobacco Tax and Trade
Bureau, Department of the Treasury, Washington, DC.
Alcohol. Ethyl alcohol distilled at or above 190[deg] proof.
Applicant. Any person who has filed an application for a basic
permit under the Federal Alcohol Administration Act with the appropriate
TTB officer.
Appropriate TTB officer. An officer or employee of the Alcohol and
Tobacco Tax and Trade Bureau (TTB) authorized to perform any functions
relating to the administration or enforcement of this part by TTB Order
1135.1, Delegation of the Administrator's Authorities in 27 CFR Part 1,
Basic Permit Requirements Under the Federal Alcohol Administration Act,
Nonindustrial Use of Distilled Spirits and Wine, Bulk Sales and Bottling
of Distilled Spirits.
[[Page 7]]
Basic permit. A document issued under the Act authorizing a person
to engage in activities at a particular location.
Brandy. Brandy or wine spirits for addition to wines as permitted by
internal revenue law.
Distilled spirits. Section 117(a) of the Federal Alcohol
Administration Act (27 U.S.C. 211(a)) defines ``distilled spirits'' as
ethyl alcohol, hydrated oxide of ethyl, spirits of wine, whiskey, rum,
brandy, gin, and other distilled spirits, including all dilutions and
mixtures thereof for nonindustrial use.
In bulk. Distilled spirits in containers having a capacity in excess
of one wine gallon.
Malt beverage. A beverage made by the alcoholic fermentation of an
infusion or decoction, or combination of both, in potable brewing water,
of malted barley with hops, or their parts, or their products, and with
or without other malted cereals, and with or without the addition of
unmalted or prepared cereals, other carbohydrates or products prepared
therefrom, and with or without the addition of carbon dioxide, and with
or without other wholesome products suitable for human food consumption.
Standards applying to the use of processing methods and flavors in malt
beverage production appear in Sec. 7.11 of this chapter.
Other term. Any other term defined in the Federal Alcohol
Administration Act and used in this part shall have the same meaning
assigned to it by the Act.
Permittee. Any person holding a basic permit issued under the
Federal Alcohol Administration Act.
Person. Any individual, partnership, joint-stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver, trustee, or liquidating agent.
Resale at wholesale. A sale to any trade buyer.
Trade buyer. Any person who is a wholesaler or retailer of distilled
spirits, wine, or malt beverages.
Wine. Section 117(a) of the Federal Alcohol Administration Act (27
U.S.C. 211(a)) defines ``wine'' as any of the following products for
nonindustrial use that contain not less than 7 percent and not more than
24 percent alcohol by volume:
(1) Wine as defined in section 610 and section 617 of the Revenue
Act of 1918 (26 U.S.C. 5381-5392); and
(2) Other alcoholic beverages not so defined, but made in the manner
of wine, including sparkling and carbonated wine, wine made from
condensed grape must, wine made from other agricultural products than
the juice of sound, ripe grapes, imitation wine, compounds sold as wine,
vermouth, cider, perry, and sake.
Wine gallon. The liquid measure equivalent to the volume of 231
cubic inches.
[T.D. ATF-373, 61 FR 26098, May 24, 1996. Redesignated and amended by
T.D. ATF-416, 64 FR 49985, Sept. 15, 1999; T.D. TTB-44, 71 FR 16920,
Apr. 4, 2006; T.D. TTB-91, 76 FR 5476, Feb. 1, 2011; T.D. TTB-145, 81 FR
94196, Dec. 22, 2016]
Subpart C_Basic Permits
Editorial Note: Nomenclature changes to subpart C of part 1 appear
by T.D. ATF-416, 64 FR 49985, Sept. 15, 1999.
When Required
Sec. 1.20 Importers.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of importing into the United States
distilled spirits, wine, or malt beverages; or
(b) While so engaged, sell, offer or deliver for sale, contract to
sell, or ship, in interstate or foreign commerce, directly or indirectly
or through an affiliate, distilled spirits, wine, or malt beverages so
imported.
Sec. 1.21 Domestic producers, rectifiers, blenders, and warehousemen.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of distilling distilled spirits,
producing wine, rectifying or blending distilled spirits or wine, or
bottling, or warehousing and bottling, distilled spirits; or
(b) While so engaged, sell, offer or deliver for sale, contract to
sell, or ship,
[[Page 8]]
in interstate or foreign commerce, directly or indirectly or through an
affiliate, distilled spirits or wine so distilled, produced, rectified,
blended, or bottled, or warehoused and bottled.
Sec. 1.22 Wholesalers.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of purchasing for resale at wholesale,
distilled spirits, wine, or malt beverages; or,
(b) While so engaged, receive, sell, offer or deliver for sale,
contract to sell, or ship in interstate or foreign commerce, directly or
indirectly or through an affiliate, distilled spirits, wine, or malt
beverages so purchased.
Sec. 1.23 State agencies.
This subpart shall not apply to any agency of a State or political
subdivision thereof or to any officer or employee of any such agency,
and no such agency or officer or employee thereof shall be required to
obtain a basic permit under this subpart.
Persons Entitled to Basic Permits
Sec. 1.24 Qualifications of applicants.
The application of any person shall be granted and the permit issued
by the appropriate TTB officer if the applicant proves to the
satisfaction of the appropriate TTB officer that:
(a) Such person (or in case of a corporation, any of its officers,
directors, or principal stockholders) has not, within 5 years prior to
the date of application, been convicted of a felony under Federal or
State law, and has not, within 3 years prior to date of application,
been convicted of a misdemeanor under any Federal law relating to
liquor, including the taxation thereof; and
(b) Such person, by reason of the person's business experience,
financial standing or trade connections, is likely to commence
operations as a distiller, warehouseman and bottler, rectifier, wine
producer, wine blender, importer, or wholesaler, as the case may be,
within a reasonable period and to maintain such operations in conformity
with Federal law; and
(c) The operations proposed to be conducted by such person are not
in violation of the law of the State in which they are to be conducted.
Applications for Permits
Sec. 1.25 General.
Applications for basic permits to engage in any of the operations
set forth in Sec. Sec. 1.20 to 1.22 must be made on TTB Form 5100.24,
or 5100.18, verified as required by Sec. 1.56, and will be accompanied
by such affidavits, documents, and other supporting data, as the
appropriate TTB officer may require. The application will include all
data, written statements, affidavits, documents, or other evidence
submitted in support of the application, or upon a hearing.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999; T.D. ATF-416a, 64 FR 54776,
Oct. 8, 1999]
Sec. 1.26 Incomplete or incorrectly executed applications.
Incomplete or incorrectly executed applications will not be acted
upon, but the applicant shall be entitled to file a new application
without prejudice, or to complete the application already filed.
Sec. 1.27 Change in ownership, management, or control of the applicant.
In the event of any change in the ownership, management, or control
of the applicant (in case of a corporation, any change in the officers,
directors, or persons holding more than 10 percent of the corporate
stock), after the date of filing of any application for a basic permit
and prior to final action on such application, the applicant shall
notify the appropriate TTB officer immediately of such change.
Sec. 1.29 Individual plant or premises.
An application for a basic permit must be filed, and permit issued,
to cover each individual plant or premises where any of the businesses
specified in section 103 of the Act is engaged in.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Sec. 1.30 Power of attorney; Form 5000.8 (1534).
If the application and other documents in support of such
application
[[Page 9]]
are signed by an attorney in fact of an individual, partnership,
association, or corporation, or by one of the members of a copartnership
or association, or, in the case of a corporation by an officer or other
person not authorized by the corporation's bylaws or by its board of
directors to sign such applications and supporting documents, the
applications must be supported by a duly authenticated copy of the power
of attorney conferring authority upon the person signing the documents
to execute the same. Such powers of attorney will be executed on Form
5000.8 (1534).
(Approved by the Office of Management and Budget under control number
1512-0079)
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Sec. 1.31 Denial of permit applications.
If, upon examination of any application for a basic permit, the
appropriate TTB officer has reason to believe that the applicant is not
entitled to such a permit, the appropriate TTB officer shall institute
proceedings for the denial of the application in accordance with the
procedure set forth in part 71 of this chapter.
Authorization
Sec. 1.35 Authority to issue, amend, deny, suspend, revoke,
or annul basic permits.
The authority and power of issuing, amending, or denying basic
permits, or amendments thereof, is conferred upon the appropriate TTB
officer except as to agency initiated curtailment. The Administrator,
upon consideration of appeals on petitions for review in part 71 of this
chapter, may order the appropriate TTB officer to issue, deny, suspend,
revoke, or annul basic permits.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Amendment and Duration of Basic Permits
Sec. 1.40 Change of name.
In the event of any change in the name (trade or corporate name) of
a permittee, or, in the event a permittee desires to engage in
operations under an additional trade name, such permittee must file
application Form 5100.18 for an amended basic permit, which application
must be approved, and amended permit issued, before operations may be
commenced under the new name.
(Approved by the Office of Management and Budget under control number
1512-0090)
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Sec. 1.41 Change of address.
In the event of a change in address the permittee must file
application Form 5100.18 for an amended basic permit.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Sec. 1.42 Change in ownership, management, or control of business.
In the event of any change in the ownership, management, or control
of any business operated pursuant to a basic permit (if the permittee is
a corporation, if any change occurs in the officers, directors, or
persons owning or controlling more than 10 percent of the voting stock
of said corporation) the permittee shall immediately notify the
appropriate TTB officer of such change, giving the names and addresses
of all new persons participating in the ownership, management, or
control of such business, or in the case of a corporation, the names and
addresses of such new officers, directors, or persons owning or
controlling more than 10 percent of the voting stock. Notice to the
appropriate TTB officer of any such change shall be accompanied or
supplemented by such data in reference to the personal or business
history of such persons as the appropriate TTB officer may require.
Sec. 1.43 Duration of permits.
A basic permit shall continue in effect until suspended, revoked,
annulled, voluntarily surrendered, or automatically terminated, as
provided in the Act and in this part.
Sec. 1.44 Automatic termination of permits.
No basic permit shall be leased, sold, or otherwise voluntarily
transferred,
[[Page 10]]
and, in the event of such lease, sale, or other voluntary transfer, such
basic permit shall automatically terminate thereupon. If any basic
permit is transferred by operation of law or if actual or legal control
of the permittee is acquired, directly or indirectly whether by stock
ownership or in any other manner, by any person, then such permit shall
be automatically terminated at the expiration of 30 days thereafter:
Provided, That if within such 30-day period application for a new basic
permit is made by the transferee or permittee, respectively, then the
outstanding basic permit shall continue in effect until such time as the
application is finally acted upon.
Revocation, Suspension, or Annulment of Basic Permits
Sec. 1.50 Revocation or suspension.
Whenever the appropriate TTB officer has reason to believe that any
permittee has willfully violated any of the conditions of the
permittee's basic permit or has not engaged in the operations authorized
by the permit for a period of more than two years, the appropriate TTB
officer shall institute proceedings for the revocation or suspension of
such permit, in accordance with the procedure set forth in part 71 of
this chapter, which part is made applicable to such proceedings.
Sec. 1.51 Annulment.
Whenever the appropriate TTB officer has reason to believe that any
basic permit was procured through fraud, or misrepresentation or
concealment of material fact, the appropriate TTB officer shall
institute proceedings for the annulment of such permit in accordance
with the procedure set forth in part 71 of this chapter, which part is
made applicable to such proceedings.
Sec. 1.52 Disposition of stocks of alcoholic beverages upon revocation,
annulment, or automatic termination of basic permit.
In the event of the revocation or annulment of a basic permit,
pursuant to part 71 of this chapter, or in the event such permit is
automatically terminated by operation of law (27 U.S.C. 204(g) and Sec.
1.44 of this part), the appropriate TTB officer may authorize the
orderly disposition of stocks of distilled spirits, wines, or malt
beverages then held by the permittee or former permittee upon such
conditions as may be considered proper.
Miscellaneous
Sec. 1.55 Recalling permits for correction.
Whenever it shall be discovered that any basic permit has been
issued authorizing acts, or combinations of acts, which may not
properly, under the law and regulations, as of now or hereafter in
force, be authorized, or that any material mistake has occurred in the
issuance thereof, the holder of such permit shall forthwith surrender
the same for correction or amendment upon demand of the appropriate TTB
officer.
Sec. 1.56 Oaths and affirmations.
A document must be verified by an oath or affirmation taken before a
person authorized by the laws of the United States or by State or local
law to administer oaths or affirmations in the jurisdiction where the
document is executed when required by:
(a) Regulation; or
(b) An appropriate TTB officer.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Sec. 1.57 Procedure.
The procedures prescribed by the rules of practice in permit
proceedings (part 71 of this chapter) are applicable to administrative
proceedings for the issuance, amendment, denial, revocation, suspension,
or annulment of basic permits, the issuance of subpoenas and the taking
of depositions under the Act.
Sec. 1.58 Filing of permits.
Every person receiving a basic permit under the provisions of this
part must maintain the permit at the place of business covered by the
permit and make it available upon the request of the appropriate TTB
officer. Every person required to obtain a basic permit as an importer
under Sec. 1.20 must, when importing distilled spirits, wine, or malt
beverages under that permit and filing TTB data electronically, file the
[[Page 11]]
number of the permit with U.S. Customs and Border Protection (CBP) along
with the filing of the customs entry. Regardless of the method of
filing, every importer must make the permit available upon request by
the appropriate TTB officer or a customs officer.
[T.D. TTB-145, 81 FR 94196, Dec. 22, 2016]
Sec. 1.59 Public information as to applications acted upon.
The appropriate TTB officer shall cause to be maintained currently
in the appropriate TTB officer's office for public inspection, until the
expiration of one year following final action on the application, the
following information with respect to each application for basic permit
filed:
(a) The name, including trade name or names, if any, and the address
of the applicant; the kind of permit applied for and the location of the
business; whether the applicant is an individual, a partnership or a
corporation; if a partnership, the name and address of each partner; if
a corporation, the name and address of each of the principal officers
and of each stockholder owning 10 percent or more of the corporate
stock.
(b) The time and place set for any hearing on the application.
(c) The final action taken on the application. In the event a
hearing is held upon an application for a basic permit, the appropriate
TTB officer shall make available for inspection at the appropriate TTB
officer's office, upon request therefor: The transcript of the hearing,
a copy of the administrative law judge's recommended decision, a copy of
the appropriate TTB officer's decision and, in the event of an appeal to
the Administrator, the decision on appeal with the reasons given in
support thereof.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Subpart D_Nonindustrial Use of Distilled Spirits and Wine
Uses Regarded as Industrial
Sec. 1.60 Use of distilled spirits.
The following uses of distilled spirits are regarded as
``industrial'' and will be excluded from any application of the term
``nonindustrial use.'' The use of distilled spirits:
(a) Free of tax by, and for the use of, the United States or any
governmental agency thereof, any State, any political subdivision of a
State, or the District of Columbia, for nonbeverage purposes; or
(b) Free of tax for nonbeverage purposes and not for resale or use
in the manufacture of any product for sale:
(1) For the use of any educational organization described in 26
U.S.C. 170(b)(1)(A)(ii) which is exempt from income tax under 26 U.S.C.
501(a), or for the use of any scientific university or college of
learning;
(2) For any laboratory for use exclusively in scientific research;
(3) For use at any hospital, blood bank, or sanitarium (including
use in making analysis or test at such hospital, blood bank, or
sanitarium), or at any pathological laboratory exclusively engaged in
making analyses, or tests, for hospitals or sanitariums; or
(4) For the use of any clinic operated for charity and not for
profit (including use in compounding of bona fide medicines for
treatment outside of such clinics of patients thereof); or
(c) Free of tax, after denaturation of such spirits in the manner
prescribed by law for:
(1) Use in the manufacture of ether, chloroform, or other definite
chemical substance where such distilled spirits are changed into some
other chemical substance and do not appear in the finished product; or
(2) Any other use in the arts and industries (except for uses
prohibited by 26 U.S.C. 5273 (b) or (d)) and for fuel, light, and power.
Sec. 1.61 Use of wine.
The following uses of wine are regarded as ``industrial'' and will
be excluded from any application of the term ``nonindustrial''. The use
of wine:
[[Page 12]]
(a) Without payment of tax for use in the production of vinegar; or
(b) Free of tax for experimental or research purposes by any
scientific university, college of learning, or institution of scientific
research; or
(c) Free of tax for use by the United States or any agency thereof,
and for use for analysis, testing, research, or experimentation by the
governments of the several States and the District of Columbia or of any
political subdivision thereof or by any agency of such governments; or
(d) Which has been rendered unfit for beverage use.
Sec. 1.62 Use of distilled spirits or wine for experimental purposes
and in manufacture of nonbeverage products.
The use of distilled spirits or wine for experimental purposes and
in the manufacture of (a) medicinal, pharmaceutical, or antiseptic
products, including prescriptions compounded by retail druggists; (b)
toilet preparations; (c) flavoring extracts, syrups, or food products;
or (d) scientific, chemical, mechanical, or industrial products,
provided such products are unfit for beverage use, is regarded as
``industrial,'' and will be excluded from any application of the term
``nonindustrial use.''
Uses Classed as Nonindustrial
Sec. 1.70 General.
All uses of distilled spirits and wines, except as provided in
Sec. Sec. 1.60, 1.61, and 1.62 of this part, are regarded as
``nonindustrial.'' Such ``nonindustrial'' use shall include, but not be
limited to, distilled spirits or wine used for beverage purposes, or in
the manufacture, rectification, or blending of alcoholic beverages; or
in the preparation of food or drink by a hotel, restaurant, tavern, or
similar establishment; or for sacramental purposes; or as a medicine.
Sec. 1.71 Distilled spirits in containers of a capacity of
one gallon or less.
Distilled spirits in containers of a capacity of one wine gallon or
less, except anhydrous alcohol and alcohol which may be withdrawn free
of tax under the internal revenue laws, will be deemed to be for
nonindustrial use.
Subpart E_Bulk Sales and Bottling of Distilled Spirits
Bulk Sales and Bottling
Sec. 1.80 Sales of distilled spirits in bulk.
It is unlawful for any person to sell, offer to sell, contract to
sell, or otherwise dispose of distilled spirits in bulk, for
nonindustrial use, except for export or to the classes of persons
enumerated in Sec. Sec. 1.82, 1.83, and 1.84.
Sec. 1.81 Importation of distilled spirits in bulk.
It is unlawful for any person to import distilled spirits in bulk,
for nonindustrial use, except for sale to or for use by the classes of
persons enumerated in Sec. Sec. 1.82, 1.83 and 1.84.
Sec. 1.82 Acquiring or receiving distilled spirits in bulk
for redistillation, processing, rectification, warehousing,
or warehousing and bottling.
(a) Proprietors of distilled spirits plants. Persons holding basic
permits (issued under subpart B of this part) authorizing the
distilling, processing, rectifying, or warehousing and bottling of
distilled spirits, or operating permits (issued under Sec. 19.91 and
succeeding sections of this chapter) may acquire or receive in bulk and
redistill, warehouse, or process distilled spirits, so far as permitted
by law.
(b) Proprietors of class 8 customs bonded warehouses. If the
permittee operates a class 8 customs bonded warehouse, the permittee may
acquire or receive in bulk, and warehouse and bottle, imported distilled
spirits, so far as permitted by the customs laws.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. TTB-92, 76
FR 9090, Feb. 16, 2011]
Sec. 1.83 Acquiring or receiving distilled spirits in bulk
for addition to wine.
Persons holding permits as producers and blenders of wine, may,
pursuant to such permit, acquire or receive in bulk alcohol or brandy
for addition to wines.
[[Page 13]]
Sec. 1.84 Acquisition of distilled spirits in bulk by Government agencies.
Any agency of the United States, or of any State or political
subdivision thereof, may acquire or receive in bulk, and warehouse and
bottle, imported and domestic distilled spirits in conformity with the
internal revenue laws.
Warehouse Receipts
Sec. 1.90 Distilled spirits in bulk.
By the terms of the Act (27 U.S.C. 206), all warehouse receipts for
distilled spirits in bulk must require that the warehouseman shall
package such distilled spirits, before delivery, in bottles labeled and
marked in accordance with law, or deliver such distilled spirits in bulk
only to persons to whom it is lawful to sell or otherwise dispose of
distilled spirits in bulk.
Sec. 1.91 Bottled distilled spirits.
The provisions of the Act, which forbid any person to sell, offer to
sell, contract to sell, or otherwise dispose of warehouse receipts for
distilled spirits in bulk, do not apply to warehouse receipts for
bottled distilled spirits.
Cross Reference: For labeling of distilled spirits, see part 5 of
this chapter.
Sales of Distilled Spirits for Industrial Use
Sec. 1.95 General.
Distillers, rectifiers, and other permittees engaged in the sale or
other disposition of distilled spirits for nonindustrial use shall not
sell or otherwise dispose of distilled spirits in bulk (other than
alcohol) for industrial use, unless such distilled spirits are shipped
or delivered directly to the industrial user thereof.
PART 4_LABELING AND ADVERTISING OF WINE--Table of Contents
Subpart A_Scope
Sec.
4.1 General.
4.2 Territorial extent.
4.3 Forms prescribed.
4.4 Delegations of the Administrator.
4.5 Related regulations.
4.6 Wines covered by this part.
4.7 Products produced as wine that are not covered by this part.
Subpart B_Definitions
4.10 Meaning of terms.
Subpart C_Standards of Identity for Wine
4.20 Application of standards.
4.21 The standards of identity.
4.22 Blends, cellar treatment, alteration of class or type.
4.23 Varietal (grape type) labeling.
4.24 Generic, semi-generic, and non-generic designations of geographic
significance.
4.25 Appellations of origin.
4.26 Estate bottled.
4.27 Vintage wine.
4.28 Type designations of varietal significance.
Subpart D_Labeling Requirements for Wine
4.30 General.
4.32 Mandatory label information.
4.32a Voluntary disclosure of major food allergens.
4.32b Petitions for exemption from major food allergen labeling.
4.33 Brand names.
4.34 Class and type.
4.35 Name and address.
4.36 Alcoholic content.
4.37 Net contents.
4.38 General requirements.
4.38a Bottle cartons, booklets and leaflets.
4.39 Prohibited practices.
Subpart E_Requirements for Withdrawal of Wine From Customs Custody
4.40 Label approval and release.
4.45 Certificates of origin, identity and proper cellar treatment.
Subpart F_Requirements for Approval of Labels of Wine Domestically
Bottled or Packed
4.50 Certificates of label approval.
4.51 Exhibiting certificates to Government officials.
4.52 Photoprints.
4.53 Retention of certificates.
4.54 Personalized labels.
Subpart G_Advertising of Wine
4.60 Application.
4.61 Definitions.
4.62 Mandatory statements.
4.63 Legibility of mandatory information.
4.64 Prohibited practices.
4.65 Comparative advertising.
[[Page 14]]
Subpart H_Standards of Fill for Wine
4.70 Application.
4.71 Standard wine containers.
4.72 Metric standards of fill.
Subpart I_General Provisions
4.80 Exports.
Subpart J_American Grape Variety Names
4.91 List of approved prime names.
4.92 Alternative names permitted for temporary use.
4.93 Approval of grape variety names.
Subpart K_Use of the Term ``Organic''
4.101 Use of the term ``organic.''
Authority: 27 U.S.C. 205, unless otherwise noted.
Source: T.D. 6521, 25 FR 13835, Dec. 29, 1960, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 4 appear by T.D. ATF-
425, 65 FR 11890, Mar. 7, 2000.
Subpart A_Scope
Sec. 4.1 General.
The regulations in this part relate to the labeling and advertising
of wine.
Sec. 4.2 Territorial extent.
This part applies to the several States of the United States, the
District of Columbia, and Puerto Rico.
Sec. 4.3 Forms prescribed.
(a) The appropriate TTB officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms prescribed by this part are available for printing through
the TTB Web site (http://www.ttb.gov) or by mailing a request to the
Alcohol and Tobacco Tax and Trade Bureau, National Revenue Center, 550
Main Street, Room 1516, Cincinnati, OH 45202.
[T.D. ATF-92, 46 FR 46911, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5955, Feb. 27, 1987; T.D. 372, 61 FR 20723, May 8, 1996; T.D. ATF-
425, 65 FR 11890, Mar. 7, 2000; T.D. TTB-44, 71 FR 16920, Apr. 4, 2006]
Sec. 4.4 Delegations of the Administrator.
Most of the regulatory authorities of the Administrator contained in
this part are delegated to appropriate TTB officers. These TTB officers
are specified in TTB Order 1135.4, Delegation of the Administator's
Authorities in 27 CFR Part 4, Labeling and Advertising of Wine. You may
obtain a copy of this order by accessing the TTB Web site (http://
www.ttb.gov) or by mailing a request to the Alcohol and Tobacco Tax and
Trade Bureau, National Revenue Center, 550 Main Street, Room 1516,
Cincinnati, OH 45202.
[T.D. TTB-44, 71 FR 16920, Apr. 4, 2006]
Sec. 4.5 Related regulations.
The following regulations also relate to this part:
7 CFR Part 205--National Organic Program
27 CFR Part 1--Basic Permit Requirements Under the Federal Alcohol
Administration Act, Nonindustrial Use of Distilled Spirits and Wine,
Bulk Sales and Bottling of Distilled Spirits
27 CFR Part 5--Labeling and Advertising of Distilled Spirits
27 CFR Part 7--Labeling and Advertising of Malt Beverages
27 CFR Part 9--American Viticultural Areas
27 CFR Part 12--Foreign Nongeneric Names of Geographic Significance Used
in the Designation of Wines
27 CFR Part 13--Labeling Proceedings
27 CFR Part 16--Alcoholic Beverage Health Warning Statement
27 CFR Part 24--Wine
27 CFR Part 26--Liquors and Articles From Puerto Rico and the Virgin
Islands
27 CFR Part 27--Importation of Distilled Spirits, Wines, and Beer
27 CFR Part 28--Exportation of Alcohol
27 CFR Part 71--Rules of Practice in Permit Proceedings
[T.D. ATF-483, 67 FR 62857, Oct. 8, 2002, as amended by T.D. TTB-8, 69
FR 3829, Jan. 27, 2004; T.D. TTB-91, 76 FR 5476, Feb. 1, 2011]
Sec. 4.6 Wines covered by this part.
The regulations in this part apply to wine containing not less than
7 percent
[[Page 15]]
and not more than 24 percent alcohol by volume.
[T.D. TTB-158, 85 FR 18721, Apr. 2, 2020]
Sec. 4.7 Products produced as wine that are not covered by this part.
Certain wine products do not fall within the definition of a
``wine'' under the FAA Act and are thus not subject to this part. They
may, however, also be subject to other labeling requirements. See 27 CFR
parts 24 and 27 for labeling requirements applicable to ``wine'' as
defined by the IRC. See 27 CFR part 16 for health warning statement
requirements applicable to ``alcoholic beverages'' as defined by the
Alcoholic Beverage Labeling Act.
(a) Products containing less than 7 percent alcohol by volume. The
regulations in this part do not cover products that would otherwise meet
the definition of wine except that they contain less than 7 percent
alcohol by volume. Bottlers and importers of alcohol beverages that do
not fall within the definition of malt beverages, wine, or distilled
spirits under the FAA Act should refer to the applicable labeling
regulations for foods issued by the U.S. Food and Drug Administration.
See 21 CFR part 101.
(b) Products containing more than 24 percent alcohol by volume.
Products that would otherwise meet the definition of wine except that
they contain more than 24 percent alcohol by volume are classified as
distilled spirits and must be labeled in accordance with part 5 of this
chapter.
[T.D. TTB-158, 85 FR 18721, Apr. 2, 2020]
Subpart B_Definitions
Sec. 4.10 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
shall have the meaning ascribed in this part.
Act. The Federal Alcohol Administration Act.
Added brandy. Brandy or wine spirits for use in fortification of
wine as permitted by internal revenue law.
Administrator. The Administrator, Alcohol and Tobacco Tax and Trade
Bureau, Department of the Treasury, Washington, DC.
Advertisement. See Sec. 4.61 for meaning of term as used in subpart
G of this part.
Alcohol. Ethyl alcohol distilled at or above 190[deg] proof.
American. The several States, the District of Columbia, and Puerto
Rico; ``State'' includes the District of Columbia and Puerto Rico.
Appropriate TTB officer. An officer or employee of the Alcohol and
Tobacco Tax and Trade Bureau (TTB) authorized to perform any functions
relating to the administration or enforcement of this part by TTB Order
1135.4, Delegation of the Administrator's Authorities in 27 CFR Part 4,
Labeling and Advertising of Wine.
Bottler. Any person who places wine in containers of four liters or
less. (See meaning for ``containers'' and ``packer''.)
Brand label. The label carrying, in the usual distinctive design,
the brand name of the wine.
Certificate of label approval (COLA). A certificate issued on form
TTB F 5100.31 that authorizes the bottling of wine, distilled spirits,
or malt beverages, or the removal of bottled wine, distilled spirits, or
malt beverages from customs custody for introduction into commerce, as
long as the product bears labels identical to the labels appearing on
the face of the certificate, or labels with changes authorized by TTB on
the certificate or otherwise (such as through the issuance of public
guidance available on the TTB website at www.ttb.gov).
Container. Any bottle, barrel, cask, or other closed receptacle
irrespective of size or of the material from which made for use for the
sale of wine at retail. (See meaning for ``bottler'' and ``packer''.)
Customs officer. An officer of U.S. Customs and Border Protection
(CBP) or any agent or other person authorized by law to perform the
duties of such an officer.
Gallon. A U.S. gallon of 231 cubic inches of alcoholic beverages at
60 [deg]F.
Interstate or foreign commerce. Commerce between any State and any
place outside thereof, or commerce within any Territory or the District
of Columbia, or between points within the same
[[Page 16]]
State but through any place outside thereof.
Liter or litre. (a) A metric unit of capacity equal to 1,000 cubic
centimeters and equivalent to 33.814 U.S. fluid ounces. For purposes of
this part, a liter is subdivided into 1,000 milliliters (ml).
(b) For purposes of regulation, one liter of wine is defined as that
quantity (mass) of wine occupying a one-liter volume at 20 [deg]Celsius
(68 [deg]F).
Packer. Any person who places wine in containers in excess of four
liters. (See meaning for ``container'' and ``bottler''.)
Percent or percentage. Percent by volume.
Permittee. Any person holding a basic permit under the Federal
Alcohol Administration Act.
Person. Any individual, partnership, joint-stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver, trustee, or liquidating agent, and including an
officer or employee of any agency of a State or political subdivision
thereof.
Pure condensed must. The dehydrated juice or must of sound, ripe
grapes, or other fruit or agricultual products, concentrated to not more
than 80[deg] (Balling), the composition thereof remaining unaltered
except for removal of water.
Restored pure condensed must. Pure condensed must to which has been
added an amount of water not exceeding the amount removed in the
dehydration process.
Sugar. Pure cane, beet, or dextrose sugar in dry for containing,
respectively, not less than 95 percent of actual sugar calculated on a
dry basis.
Total solids. The degrees Brix of the dealcoholized wine restored to
its original volume.
Trade buyer. Any person who is a wholesaler or retailer.
United States. The several States, the District of Columbia, and
Puerto Rico; the term ``State'' includes the District of Columbia and
Puerto Rico.
Use of other terms. Any other term defined in the Federal Alcohol
Administration Act and used in this part shall have the same meaning
assigned to it by the Act.
Wine. (1) Wine as defined in section 610 and section 617 of the
Revenue Act of 1918 (26 U.S.C. 5381-5392), only if for nonindustrial use
and containing not less than 7 percent and not more than 24 percent of
alcohol by volume; and
(2) Other alcoholic beverages not so defined, but made in the manner
of wine, including sparkling and carbonated wine, wine made from
condensed grape must, wine made from other agricultural products than
the juice of sound, ripe grapes, imitation wine, compounds sold as wine,
vermouth, cider, perry, and sake, only if for nonindustrial use and
containing not less than 7 percent and not more than 24 percent of
alcohol by volume.
[T.D. ATF-48, 43 FR 13532, Mar. 31, 1978, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-53, 43 FR 37675, Aug. 23, 1978; 44 FR
55838, Sept. 29, 1979; T.D. ATF-66, 45 FR 40544, June 13, 1980; T.D.
ATF-94, 46 FR 55095, Nov. 6, 1981; T.D. ATF-299, 55 FR 24988, June 19,
1990; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000; T.D. TTB-44, 71 FR 16921,
Apr. 4, 2006; T.D. TTB-91, 76 FR 5476, Feb. 1, 2011; T.D. TTB-145, 81 FR
94196, Dec. 22, 2016; T.D. TTB-158, 85 FR 18721, Apr. 2, 2020]
Subpart C_Standards of Identity for Wine
Sec. 4.20 Application of standards.
The standards of identity for the several classes and types of wine
set forth herein shall be applicable to all regulations and permits
issued under the act. Whenever any term for which a standard of identity
has been established herein is used in any such regulation or permit,
such term shall have the meaning assigned to it by such standard of
identity.
Sec. 4.21 The standards of identity.
Standards of identity for the several classes and types of wine set
forth in this part shall be as follows:
(a) Class 1; grape wine-- (1) Grape wine is wine produced by the
normal alcoholic fermentation of the juice of sound, ripe grapes
(including restored or unrestored pure condensed grape must), with or
without the addition, after fermentation, of pure condensed grape must
and with or without added spirits of the type authorized for natural
wine under 26 U.S.C. 5382, but
[[Page 17]]
without other addition or abstraction except as may occur in cellar
treatment of the type authorized for natural wine under 26 U.S.C. 5382.
(2) Still grape wine may be ameliorated, or sweetened, before,
during, or after fermentation, in a way that is consistent with the
limits set forth in 26 U.S.C. 5383 for natural grape wine.
(3) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide is 0.14 gram per 100 mL (20 degrees Celsius)
for red wine and 0.12 gram per 100 mL (20 degrees Celsius) for other
grape wine, provided that the maximum volatile acidity for wine produced
from unameliorated juice of 28 or more degrees Brix is 0.17 gram per 100
mL for red wine and 0.15 gram per 100 mL for white wine.
(4) Grape wine deriving its characteristic color or lack of color
from the presence or absence of the red coloring matter of the skins,
juice, or pulp of grapes may be designated as ``red wine,'' ``pink (or
rose) wine,'' ``amber wine,'' or ``white wine'' as the case may be. Any
grape wine containing no added grape brandy or alcohol may be further
designated as ``natural.''
(5) Table wine is grape wine having an alcoholic content not in
excess of 14 percent by volume. Such wine may also be designated as
``light wine,'' ``red table wine,'' ``light white wine,'' ``sweet table
wine,'' etc., as the case may be.
(6) Dessert wine is grape wine having an alcoholic content in excess
of 14 percent but not in excess of 24 percent by volume. Dessert wine
having the taste, aroma and characteristics generally attributed to
sherry and an alcoholic content, derived in part from added grape brandy
or alcohol, of not less than 17 percent by volume, may be designated as
``sherry''. Dessert wines having the taste, aroma and characteristics
generally attributed to angelica, madeira, muscatel and port and an
alcoholic content, derived in part from added grape brandy or alcohol,
of not less than 18 percent by volume, may be designated as
``angelica,'' ``madeira,'' ``muscatel,'' or ``port'' respectively.
Dessert wines having the taste, aroma, and characteristics generally
attributed to any of the above products and an alcoholic content,
derived in part from added grape brandy or alcohol, in excess of 14
percent by volume but, in the case of sherry, less than 17 percent, or,
in other cases, less than 18 percent by volume, may be designated as
``light sherry,'' ``light angelica,'' ``light madeira,'' ``light
muscatel'' or ``light port,'' respectively.
(b) Class 2; sparkling grape wine. (1) Sparkling grape wine
(including ``sparkling wine,'' ``sparkling red wine'' and ``sparkling
white wine'') is grape wine made effervescent with carbon dioxide
resulting solely from the fermentation of the wine within a closed
container, tank or bottle.
(2) Champagne is a type of sparkling light wine which derives its
effervescence solely from the secondary fermentation of the wine within
glass containers of not greater than one gallon capacity, and which
possesses the taste, aroma, and other characteristics attributed to
champagne as made in the champagne district of France.
(3)(i) A sparkling light wine having the taste, aroma, and
characteristics generally attributed to champagne but not otherwise
conforming to the standard for ``champagne'' may, in addition to but not
in lieu of the class designation ``sparkling wine,'' be further
designated as:
(A) ``Champagne style;'' or
(B) ``Champagne type;'' or
(C) ``American (or New York State, Napa Valley, etc.) champagne,''
along with one of the following terms: ``Bulk process,'' ``fermented
outside the bottle,'' ``secondary fermentation outside the bottle,''
``secondary fermentation before bottling,'' ``not fermented in the
bottle,'' or ``not bottle fermented.'' The term ``charmat method'' or
``charmat process'' may be used as additional information.
(ii) Labels shall be so designed that all the words in such further
designation are readily legible under ordinary conditions and are on a
contrasting background. In the case of paragraph (b)(3)(i)(C) of this
section, TTB will consider whether the label as a whole provides the
consumer with adequate information about the method of production and
origin of the wine. TTB will evaluate each label for legibility and
clarity, based on such factors as
[[Page 18]]
type size and style for all components of the further designation and
the optional term ``charmat method'' or ``charmat process,'' as well as
the contrast between the lettering and its background, and the placement
of information on the label.
(iii) Notwithstanding the provisions of paragraphs (b)(3)(i)(A), (B)
and (C) of this section, the appropriate TTB officer may authorize the
use of a term on sparkling wine labels, as an alternative to those terms
authorized in paragraph (b)(3)(i) of this section, but not in lieu of
the required class designation ``sparkling wine,'' upon a finding that
such term adequately informs the consumer about the method of production
of the sparkling wine.
(4) Crackling wine, petillant wine, frizzante wine (including
cremant, perlant, reciotto, and other similar wine) is sparkling light
wine normally less effervescent than champagne or other similar
sparkling wine, but containing sufficient carbon dioxide in solution to
produce, upon pouring under normal conditions, after the disappearance
of air bubbles, a slow and steady effervescence evidenced by the
formation of gas bubbles flowing through the wine. Crackling wine which
derives its effervescence from secondary fermentation in containers
greater than 1-gallon capacity shall be designated ``crackling wine--
bulk process,'' and the words ``bulk process'' shall appear in lettering
of substantially the same size as the words ``crackling wine.''
(c) Class 3; carbonated grape wine. ``Carbonated grape wine''
(including ``carbonated wine,'' ``carbonated red wine,'' and
``carbonated white wine'') is grape wine made effervescent with carbon
dioxide other than that resulting solely from the secondary fermentation
of the wine within a closed container, tank or bottle.
(d) [Reserved]
(e) Class 5; fruit wine.
(1) Fruit wine is wine produced by the normal alcoholic fermentation
of the juice of sound, ripe fruit (including restored or unrestored pure
condensed fruit must) other than grapes, with or without the addition,
after fermentation, of pure condensed fruit must and, with or without
added spirits of the type authorized for natural wine under 26 U.S.C.
5382, but without other addition or abstraction except as may occur in
cellar treatment of the type authorized for natural wine under 26 U.S.C.
5382.
(2) Fruit wine may be ameliorated, or sweetened, before, during, or
after fermentation, in a way that is consistent with the limits set
forth in 26 U.S.C. 5384 for natural fruit wine.
(3) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide, shall not be, for fruit wine that does not
contain added brandy or wine spirits, more than 0.14 gram, and for other
fruit wine, more than 0.12 gram, per 100 milliliters (20 degrees
Celsius).
(4) Any fruit wine containing no added grape brandy or alcohol may
be further designated as ``natural.''
(5) Berry wine is fruit wine produced from berries.
(6) Fruit table wine or berry table wine is fruit or berry wine
having an alcoholic content not in excess of 14 percent by volume. Such
wine may also be designated ``light fruit wine,'' or ``light berry
wine.''
(7) Fruit dessert wine or berry dessert wine is fruit or berry wine
having an alcoholic content in excess of 14 percent but not in excess of
24 percent by volume.
(8) Fruit wine derived wholly (except for sugar, water, or added
alcohol) from one kind of fruit shall be designated by the word ``wine''
qualified by the name of such fruit, e.g., ``peach wine,'' ``blackberry
wine,'' ``orange wine.'' Fruit wine not derived wholly from one kind of
fruit shall be designated as ``fruit wine'' or ``berry wine,'' as the
case may be, qualified by a truthful and adequate statement of
composition appearing in direct conjunction therewith. If the fruit wine
is derived wholly (except for sugar, water, or added alcohol) from more
than one citrus fruit, the designation ``citrus wine'' or ``citrus fruit
wine'' may, but is not required to, be used instead of ``fruit wine,''
and the designation must also be qualified by a truthful and adequate
statement of composition appearing in direct conjunction therewith.
Fruit wines which are derived wholly (except for sugar, water, or added
alcohol) from apples or pears may be designated
[[Page 19]]
``cider'' and ``perry,'' respectively, and shall be so designated if
lacking in vinous taste, aroma, and characteristics. Fruit wine rendered
effervescent by carbon dioxide resulting solely from the secondary
fermentation of the wine within a closed container, tank, or bottle
shall be further designated as ``sparkling''; and fruit wine rendered
effervescent by carbon dioxide otherwise derived shall be further
designated as ``carbonated.''
(f) Class 6; wine from other agricultural products. (1)(i) Wine of
this class is wine (other than grape wine, citrus wine, or fruit wine)
made by the normal alcoholic fermentation of sound fermentable
agricultural products, either fresh or dried, or of the restored or
unrestored pure condensed must thereof, with the addition before or
during fermentation of a volume of water not greater than the minimum
necessary to correct natural moisture deficiencies in such products,
with or without the addition, after fermentation, of pure condensed
must, and with or without added alcohol or such other spirits as will
not alter the character of the product, but without other addition or
abstraction except as may occur in cellar treatment: Provided, That a
domestic product may be ameliorated or sweetened in accordance with part
24, of this chapter, and any product other than domestic may be
ameliorated before, during, or after fermentation by adding, separately
or in combination, dry sugar or such an amount of sugar and water
solution as will not increase the volume of the resulting product more
than 35 percent, but in no event shall any product so ameliorated have
an alcoholic content, derived by fermentation of more than 14 percent by
volume, or a natural acid content, if water has been added, of less than
5 parts per thousand, or a total solids content of more than 22 grams
per 100 cubic centimeters.
(ii) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide, shall not be, for natural wine of this
class, more than 0.14 gram, and for other wine of this class, more than
0.12 gram, per 100 milliliters (20 [deg]C.).
(iii) Wine of this class containing no added alcohol or other
spirits may be further designated as ``natural''.
(2) Table wine of this class is wine having an alcoholic content not
in excess of 14 percent by volume. Such wine may also be designated as
``light''.
(3) Dessert wine of this class is wine having an alcoholic content
in excess of 14 percent but not in excess of 24 percent by volume.
(4) Raisin wine is wine of this class made from dried grapes.
(5) Sake is wine of this class produced from rice in accordance with
the commonly accepted method of manufacture of such product.
(6) Wine of this class derived wholly (except for sugar, water, or
added alcohol) from one kind of agricultural product shall except in the
case of ``sake,'' be designated by the word ``wine'' qualified by the
name of such agricultural product, e.g., ``honey wine,'' ``raisin
wine,'' ``dried blackberry wine.'' Wine of this class not derived wholly
from one kind of agricultural product shall be designated as ``wine''
qualified by a truthful and adequate statement of composition appearing
in direct conjunction therewith. Wine of this class rendered
effervescent by carbon dioxide resulting solely from the secondary
fermentation of wine within a closed container, tank, or bottle shall be
further designated as ``sparkling''; and wine of this class rendered
effervescent by carbon dioxide otherwise derived shall be further
designated as ``carbonated.''
(g) Class 7; aperitif wine. (1) Aperitif wine is wine having an
alcoholic content of not less than 15 percent by volume, compounded from
grape wine containing added brandy or alcohol, flavored with herbs and
other natural aromatic flavoring materials, with or without the addition
of caramel for coloring purposes, and possessing the taste, aroma, and
characteristics generally attributed to aperitif wine and shall be so
designated unless designated as ``vermouth'' under paragraph (g)(2) of
this section.
(2) Vermouth is a type of aperitif wine compounded from grape wine,
having the taste, aroma, and characteristics generally attributed to
vermouth, and shall be so designated.
[[Page 20]]
(h) Class 8; imitation and substandard or other than standard wine.
(1) ``Imitation wine'' shall bear as a part of its designation the word
``imitation,'' and shall include:
(i) Any wine containing synthetic materials.
(ii) Any wine made from a mixture of water with residue remaining
after thorough pressing of grapes, fruit, or other agricultural
products.
(iii) Any class or type of wine the taste, aroma, color, or other
characteristics of which have been acquired in whole or in part, by
treatment with methods or materials of any kind (except as permitted in
Sec. 4.22(c)(6)), if the taste, aroma, color, or other characteristics
of normal wines of such class or type are acquired without such
treatment.
(iv) Any wine made from must concentrated at any time to more than
80[deg] (Balling).
(2) ``Substandard wine'' or ``other than standard wine'' shall bear
as a part of its designation the words ``substandard'' or ``other than
standard,'' and shall include:
(i) Any wine having a volatile acidity in excess of the maximum
prescribed therefor in Sec. Sec. 4.20 to 4.25.
(ii) Any wine for which no maximum volatile acidity is prescribed in
Sec. Sec. 4.20 to 4.25, inclusive, having a volatile acidity,
calculated as acetic acid and exclusive of sulfur dioxide, in excess of
0.14 gram per 100 milliliters (20 [deg]C.).
(iii) Any wine for which a standard of identity is prescribed in
this Sec. Sec. 4.20 to 4.25, inclusive, which, through disease,
decomposition, or otherwise, fails to have the composition, color, and
clean vinous taste and aroma of normal wines conforming to such
standard.
(iv) Any ``grape wine'' ``citrus wine,'' ``fruit wine,'' or ``wine
from other agricultural products'' to which has been added sugar and
water solution in an amount which is in excess of the limitations
prescribed in the standards of identity for these products, unless, in
the case of ``citrus wine,'' ``fruit wine'' and ``wine from other
agricultural products'' the normal acidity of the material from which
such wine is produced is 20 parts or more per thousand and the volume of
the resulting product has not been increased more than 60 percent by
such addition.
(i) Class 9; retsina wine. ``Retsina wine'' is grape table wine
fermented or flavored with resin.
Cross Reference: For regulations relating to the use of spirits in
wine, see part 24 of this chapter.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960]]
Editorial Note: For Federal Register citations affecting Sec. 4.21,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Sec. 4.22 Blends, cellar treatment, alteration of class or type.
(a) If the class or type of any wine shall be altered, and if the
product as so altered does not fall within any other class or type
either specified in Sec. Sec. 4.20 through 4.25 or known to the trade,
then such wine shall, unless otherwise specified in this section, be
designated with a truthful and adequate statement of composition in
accordance with Sec. 4.34.
(b) Alteration of class or type shall be deemed to result from any
of the following occurring before, during, or after production.
(1) Treatment of any class or type of wine with substances foreign
to such wine which remain therein: Provided, That the presence in
finished wine of not more than 350 parts per million of total sulfur
dioxide, or sulphites expressed as sulfur dioxide, shall not be
precluded under this paragraph.
(2) Treatment of any class or type of wine with substances not
foreign to such wine but which remain therein in larger quantities than
are naturally and normally present in other wines of the same class or
type not so treated.
(3) Treatment of any class or type of wine with methods or materials
of any kind to such an extent or in such manner as to affect the basic
composition of the wine so treated by altering any of its characteristic
elements.
(4) Blending of wine of one class with wine of another class or the
blending of wines of different types within the same class.
(5) Treatment of any class or type of wine for which a standard of
identity is prescribed in this subpart with sugar or
[[Page 21]]
water in excess of the quantities specifically authorized by such
standards:
Provided, That the class or type thereof shall not be deemed to be
altered:
(i) Where such wine (other than grape wine) is derived from fruit or
other agricultural products having a high normal acidity, if the total
solids content is not more than 22 grams per 100 cubic centimeters and
the content of natural acid is not less than 7.69 grams per liter, and
(ii) Where such wine is derived exclusively from fruit or other
agricultural products the normal acidity of which is 20 parts or more
per thousand, if the volume of the resulting product has been increased
not more than 60 percent by the addition of sugar and water solution for
the sole purpose of correcting natural deficiencies due to such acidity
and (except in the case of such wine when produced from fruit or berries
other than grapes) there is stated as part of the class and type
designation the phrase ``Made with over 35 percent sugar solution.''
(c) Nothing in this section shall preclude the treatment of wine of
any class or type in the manner hereinafter specified, provided such
treatment does not result in the alteration of the class or type of the
wine under the provisions of paragraph (b) of this section.
(1) Treatment with filtering equipment, and with fining or
sterilizing agents.
(2) Treatment with pasteurization as necessary to perfect the wines
to commercial standards in accordance with acceptable cellar practice
but only in such a manner and to such an extent as not to change the
basic composition of the wine nor to eliminate any of its characteristic
elements.
(3) Treatment with refrigeration as necessary to perfect the wine to
commercial standards in accordance with acceptable cellar practice but
only in such a manner and to such an extent as not to change the basic
composition of the wine nor to eliminate any of its characteristic
elements.
(4) Treatment with methods and materials to the minimum extent
necessary to correct cloudiness, precipitation, or abnormal color, odor,
or flavor developing in wine.
(5) Treatment with constituents naturally present in the kind of
fruit or other agricultural product from which the wine is produced for
the purpose of correcting deficiencies of these constituents, but only
to the extent that such constituents would be present in normal wines of
the same class or type not so treated.
(6) Treatment of any class or type of wine involving the use of
volatile fruit-flavor concentrates in the manner provided in section
5382 of the Internal Revenue Code.
(7) Notwithstanding the provisions of Sec. 4.21(b) (1), (2) and
(4), (c), (d)(4), (e)(5), and (f)(6) carbon dioxide may be used to
maintain counterpressure during the transfer of finished sparkling wines
from (i) bulk processing tanks to bottles, or (ii) bottle to bottle:
Provided, That the carbon dioxide content of the wine shall not be
increased by more than 0.009 gm. per 100 ml. during the transfer
operation.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. 6776, 29 FR
16985, Dec. 11, 1964; T.D. 7185, 37 FR 7976, Apr. 22, 1972; T.D. ATF-
403, 64 FR 50253, Sept. 16, 1999; T.D. ATF-458, 66 FR 37578, July 19,
2001; T.D. ATF-953, 68 FR 39455, July 2, 2003]
Sec. 4.23 Varietal (grape type) labeling.
(a) General. The names of one or more grape varieties may be used as
the type designation of a grape wine only if the wine is also labeled
with an appellation of origin as defined in Sec. 4.25.
(b) One variety. Except as provided in paragraph (c) of this
section, the name of a single grape variety may be used as the type
designation if not less than 75 percent of the wine is derived from
grapes of that variety, the entire 75 percent of which was grown in the
labeled appellation of origin area.
(c) Exceptions. (1) Wine made from any Vitis labrusca variety
(exclusive of hybrids with Vitis labrusca parentage) may be labeled with
the variety name if:
(i) Not less than 51 percent of the wine is derived from grapes of
the named variety;
(ii) The statement ``contains not less than 51 percent (name of
variety)'' is shown on the brand label, back label, or a separate strip
label, (except that this statement need not appear if 75
[[Page 22]]
percent or more of the wine is derived from grapes of the named
variety); and
(iii) The entire qualifying percentage of the named variety was
grown in the labeled appellation of origin area.
(2) Wine made from any variety of any species found by the
appropriate TTB officer upon appropriate application to be too strongly
flavored at 75 percent minimum varietal content may be labeled with the
varietal name if:
(i) Not less than 51 percent of the wine is derived from grapes of
that variety;
(ii) The statement ``contains not less than 51 percent (name of
variety)'' is shown on the brand label, back label, or a separate strip
label (except that this statement need not appear if 75 percent or more
of the wine is derived from grapes of the named variety); and
(iii) The entire qualifying percentage of the named variety was
grown in the labeled appellation of origin area.
(d) Two or more varieties. The names of two or more grape varieties
may be used as the type designation if:
(1) All of the grapes used to make the wine are of the labeled
varieties;
(2) The percentage of the wine derived from each variety is shown on
the label (with a tolerance of plus or minus 2 percent); and
(3)(i) If labeled with a multicounty appellation of origin, the
percentage of the wine derived from each variety from each county is
shown on the label; or
(ii) If labeled with a multistate appellation of origin, the
percentage of the wine derived from each variety from each state is
shown on the label.
(e) List of approved variety names. Effective February 7, 1996, the
name of a grape variety may be used as a type designation for an
American wine only if that name has been approved by the Administrator.
A list of approved grape variety names appears in subpart J of this
part.
[T.D. ATF-370, 61 FR 538, Jan. 8, 1996, as amended by T.D. TTB-91, 76 FR
5476, Feb. 1, 2011]
Sec. 4.24 Generic, semi-generic, and non-generic designations
of geographic significance.
(a)(1) A name of geographic significance which is also the
designation of a class or type of wine, shall be deemed to have become
generic only if so found by the Administrator.
(2) Examples of generic names, originally having geographic
significance, which are designations for a class or type of wine are:
Vermouth, Sake.
(b)(1) A name of geographic significance, which is also the
designation of a class or type of wine, shall be deemed to have become
semi-generic only if so found by the Administrator. Semi-generic
designations may be used to designate wines of an origin other than that
indicated by such name only if there appears in direct conjunction
therewith an appropriate appellation of origin disclosing the true place
of origin of the wine, and if the wine so designated conforms to the
standard of identity, if any, for such wine contained in the regulations
in this part or, if there be no such standard, to the trade
understanding of such class or type. See Sec. 24.257(c) of this chapter
for exceptions to the Administrator's authority to remove names from
paragraph (b)(2) of this section.
(2) Examples of semi-generic names which are also type designations
for grape wines are Angelica, Burgundy, Claret, Chablis, Champagne,
Chianti, Malaga, Marsala, Madeira, Moselle, Port, Rhine Wine (syn.
Hock), Sauterne, Haut Sauterne, Sherry, Tokay.
(c)(1) A name of geographic significance, which has not been found
by the Administrator to be generic or semi-generic may be used only to
designate wines of the origin indicated by such name, but such name
shall not be deemed to be the distinctive designation of a wine unless
the Administrator finds that it is known to the consumer and to the
trade as the designation of a specific wine of a particular place or
region, distinguishable from all other wines.
(2) Examples of nongeneric names which are not distinctive
designations of specific grape wines are: American, California, Lake
Erie, Napa Valley, New York State, French, Spanish. Additional examples
of foreign nongeneric
[[Page 23]]
names are listed in subpart C of part 12 of this chapter.
(3) Examples of nongeneric names which are also distinctive
designations of specific grape wines are: Bordeaux Blanc, Bordeaux
Rouge, Graves, Medoc, Saint-Julien, Chateau Yquem, Chateau Margaux,
Chateau Lafite, Pommard, Chambertin, Montrachet, Rhone, Liebfraumilch,
Rudesheimer, Forster, Deidesheimer, Schloss Johannisberger, Lagrima, and
Lacryma Christi. A list of foreign distinctive designations, as
determined by the Administrator, appears in subpart D of part 12 of this
chapter.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-296, 55
FR 17967, Apr. 30, 1990; T.D. ATF-398, 63 FR 44783, Aug. 21, 1998; T.D.
ATF-425, 65 FR 11890, 11891, Mar. 7, 2000]
Sec. 4.25 Appellations of origin.
(a) Definition--(1) American wine. An American appellation of origin
is: (i) The United States; (ii) a State; (iii) two or no more than three
States which are all contiguous; (iv) a county (which must be identified
with the word ``county'', in the same size of type, and in letters as
conspicuous as the name of the county); (v) two or no more than three
counties in the same State; or (vi) a viticultural area (as defined in
paragraph (e) of this section).
(2) Imported wine. An appellation of origin for imported wine is:
(i) A country;
(ii) A state, province, territory, or similar political subdivision
of a country equivalent to a state or county;
(iii) Two or no more than three states, provinces, territories, or
similar political subdivisions of a country equivalent to a state which
are all contiguous; or
(iv) A viticultural area (as defined in paragraph (e) of this
section).
(b) Qualification--(1) American wine. An American wine is entitled
to an appellation of origin other than a multicounty or multistate
appellation, or a viticultural area, if:
(i) At least 75 percent of the wine is derived from fruit or
agricultural products grown in the appellation area indicated; (ii) it
has been fully finished (except for cellar treatment pursuant to Sec.
4.22(c), and blending which does not result in an alteration of class or
type under Sec. 4.22(b)) in the United States, if labeled ``American'';
or, if labeled with a State appellation, within the labeled State or an
adjacent State; or if labeled with a county appellation, within the
State in which the labeled county is located; and (iii) it conforms to
the laws and regulations of the named appellation area governing the
composition, method of manufacture, and designation of wines made in
such place.
(2) Imported wine. An imported wine is entitled to an appellation of
origin other than a multistate appellation, or a viticultural area, if:
(i) At least 75 percent of the wine is derived from fruit or
agricultural products grown in the area indicated by the appellation of
origin; and (ii) The wine conforms to the requirements of the foreign
laws and regulations governing the composition, method of production,
and designation of wines available for consumption within the country of
origin.
(c) Multicounty appellations. An appellation of origin comprising
two or no more than three counties in the same State may be used if all
of the fruit or other agricultural products were grown in the counties
indicated, and the percentage of the wine derived from fruit or other
agricultural products grown in each county is shown on the label with a
tolerance of plus or minus two percent.
(d) Multistate appellations. (1) American wine. An appellation of
origin comprising two or no more than three States which are all
contiguous may be used, if:
(i) All of the fruit or other agricultural products were grown in
the States indicated, and the percentage of the wine derived from fruit
or other agricultural products grown in each State is shown on the label
with a tolerance of plus or minus 2 percent;
(ii) The wine has been fully finished (except for cellar treatment
pursuant to Sec. 4.22(c), and blending that does not result in an
alteration of class or type under Sec. 4.22(b)) in one of the labeled
appellation States; and
[[Page 24]]
(iii) The wine conforms to the laws and regulations governing the
composition, method of manufacture, and designation of wines in all of
the States listed in the appellation.
(2) Imported wine. An appellation of origin comprising two or no
more than three states, provinces, territories, or similar political
subdivisions of a country equivalent to a state which are all contiguous
may be used if:
(i) All of the fruit or other agricultural products were grown in
the states, provinces, territories, or similar political subdivisions of
a country equivalent to a state indicated, and the percentage of the
wine derived from fruit or other agricultural products grown in each
state, province, territory, or political subdivision equivalent to a
state is shown on the label with a tolerance of plus or minus 2 percent;
and
(ii) The wine conforms to the requirements of the foreign laws and
regulations governing the composition, method of production, and
designation of wines available for consumption within the country of
origin.
(e) Viticultural area--(1) Definition--(i) American wine. A
delimited grape-growing region having distinguishing features as
described in part 9 of this chapter and a name and a delineated boundary
as established in part 9 of this chapter.
(ii) Imported wine. A delimited place or region (other than an
appellation defined in paragraph (a)(2)(i), (a)(2)(ii), or (a)(2)(iii))
the boundaries of which have been recognized and defined by the country
of origin for use on labels of wine available for consumption within the
country of origin.
(2) Establishment of American viticultural areas. A petition for the
establishment of an American viticultural area may be made to the
Administrator by any interested party, pursuant to part 9 and Sec.
70.701(c) of this chapter. The petition must be made in written form and
must contain the information specified in Sec. 9.12 of this chapter.
(3) Requirements for use. A wine may be labeled with a viticultural
area appellation if:
(i) The appellation has been approved under part 9 of this title or
by the appropriate foreign government;
(ii) Not less than 85 percent of the wine is derived from grapes
grown within the boundaries of the viticultural area;
(iii) In the case of foreign wine, it conforms to the requirements
of the foreign laws and regulations governing the composition, method of
production, and designation of wines available for consumption within
the country of origin; and
(iv) In the case of American wine, it has been fully finished within
the State, or one of the States, within which the labeled viticultural
area is located (except for cellar treatment pursuant to Sec. 4.22(c),
and blending which does not result in an alteration of class and type
under Sec. 4.22(b)).
(4) Overlap viticultural area appellations. An appellation of origin
comprised of more than one viticultural area may be used in the case of
overlapping viticultural areas if not less than 85 percent of the volume
of the wine is derived from grapes grown in the overlapping area.
[T.D. ATF-53, 43 FR 37675, Aug. 23, 1978]
Editorial Note: For Federal Register citations affecting Sec. 4.25,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Sec. 4.26 Estate bottled.
(a) Conditions for use. The term Estate bottled may be used by a
bottling winery on a wine label only if the wine is labeled with a
viticultural area appellation of origin and the bottling winery:
(1) Is located in the labeled viticultural area; (2) grew all of the
grapes used to make the wine on land owned or controlled by the winery
within the boundaries of the labeled viticultural area; (3) crushed the
grapes, fermented the resulting must, and finished, aged, and bottled
the wine in a continuous process (the wine at no time having left the
premises of the bottling winery).
(b) Special rule for cooperatives. Grapes grown by members of a
cooperative bottling winery are considered grown by the bottling winery.
[[Page 25]]
(c) Definition of ``Controlled''. For purposes of this section,
Controlled by refers to property on which the bottling winery has the
legal right to perform, and does perform, all of the acts common to
viticulture under the terms of a lease or similar agreement of at least
3 years duration.
(d) Use of other terms. No term other than Estate bottled may be
used on a label to indicate combined growing and bottling conditions.
[T.D. ATF-53, 43 FR 37676, Aug. 23, 1978, as amended by T.D. ATF-201, 50
FR 12533, Mar. 29, 1985]
Sec. 4.27 Vintage wine.
(a) General. Vintage wine is wine labeled with the year of harvest
of the grapes and made in accordance with the standards prescribed in
classes 1, 2, or 3 of Sec. 4.21. The wine must be labeled with an
appellation of origin. The appellation must be shown in direct
conjunction with the designation required by Sec. 4.32(a)(2), in
lettering substantially as conspicuous as that designation. In no event
may the quantity of wine removed from the producing winery, under labels
bearing a vintage date, exceed the volume of vintage wine produced in
that winery during the year indicated by the vintage date. The following
additional rules apply to vintage labeling:
(1) If an American or imported wine is labeled with a viticultural
area appellation of origin (or its foreign equivalent), at least 95
percent of the wine must have been derived from grapes harvested in the
labeled calendar year; or
(2) If an American or imported wine is labeled with an appellation
of origin other than a viticultural area (or its foreign equivalent), at
least 85 percent of the wine must have been derived from grapes
harvested in the labeled calendar year.
(b) American wine. A permittee who produced and bottled or packed
the wine, or a person other than the producer who repackaged the wine
may show the year of vintage upon the label if the person possesses
appropriate records from the producer substantiating the year of vintage
and the appellation of origin; and if the wine is made in compliance
with the provisions of paragraph (a) of this section.
(c) Imported wine. Imported wine may bear a vintage date if all of
the following conditions are met:
(1) It is made in compliance with the provisions of paragraph (a) of
this section; and
(2) The wine is of the vintage shown, the laws of the country of
origin regulate the appearance of vintage dates upon the labels of wine
produced for consumption within the country of origin, the wine has been
produced in conformity with those laws, and the wine would be entitled
to bear the vintage date if it had been sold within the country of
origin. The importer of the wine imported in bottles or the domestic
bottler of wine imported in bulk and bottled in the United States must
be able to demonstrate, upon request by the appropriate TTB officer or a
customs officer, that the wine is entitled to be labeled with the
vintage date.
[T.D. ATF-53, 43 FR 37676, Aug. 23, 1978, as amended by T.D. ATF-195, 50
FR 763, Jan. 7, 1985; T.D. TTB-45, 71 FR 25752, May 2, 2006; T.D. TTB-
105, 77 FR 56541, Sept. 13, 2012; T.D. TTB-145, 81 FR 94196, Dec. 22,
2016; T.D. TTB-158, 85 FR 18722, Apr. 2, 2020]
Sec. 4.28 Type designations of varietal significance.
The following are type designations of varietal significance for
American wine. These names may be used as type designations for American
wines only if the wine is labeled with an appellation of origin as
defined in Sec. 4.25.
(a) Muscadine. An American wine which derives at least 75 percent of
its volume from Muscadinia rotundifolia grapes.
(b) Muscatel. An American wine which derives its predominant taste,
aroma, characteristics and at least 75 percent of its volume from any
Muscat grape source, and which meets the requirements of Sec.
4.21(a)(3).
(c) Muscat or Moscato. An American wine which derives at least 75
percent of its volume from any Muscat grape source.
(d) Scuppernong. An American wine which derives at least 75 percent
of its volume from bronze Muscadinia rotundifolia grapes.
[[Page 26]]
(e)(1) Gamay Beaujolais. An American wine which derives at least 75
percent of its volume from Pinot noir grapes, Valdigui[eacute] grapes,
or a combination of both.
(2) For wines bottled on or after January 1, 1999, and prior to
April 9, 2007, the name ``Gamay Beaujolais'' may be used as a type
designation only if there appears in direct conjunction therewith, but
on a separate line and separated by the required appellation of origin,
the name(s) of the grape variety or varieties used to satisfy the
requirements of paragraph (e)(1) of this section. Where two varietal
names are listed, they shall appear on the same line, in order of
predominance. The appellation of origin shall appear either on a
separate line between the name ``Gamay Beaujolais'' and the grape
variety name(s) or on the same line as the grape variety name(s) in a
manner that qualifies the grape variety name(s). The following statement
shall also appear on the brand or back label: ``Gamay Beaujolais is made
from at least 75 percent Pinot noir and/or Valdigui[eacute] grapes.''
(3) The designation ``Gamay Beaujolais'' may not be used on labels
of American wines bottled on or after April 9, 2007.
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-388, 62
FR 16490, Apr. 7, 1997; T.D. ATF-388a, 62 FR 33747, June 23, 1997; T.D.
TTB-91, 76 FR 5476, Feb. 1, 2011]
Subpart D_Labeling Requirements for Wine
Sec. 4.30 General.
(a) Application. No person engaged in business as a producer,
rectifier, blender, importer, or wholesaler, directly or indirectly or
through an affiliate, shall sell or ship or deliver for sale or
shipment, or otherwise introduce in interstate or foreign commerce, or
receive therein, or remove from customs custody, any wine in containers
unless such wine is packaged, and such packages are marked, branded, and
labeled in conformity with this subpart. Wine domestically bottled or
packed prior to Dec. 15, 1936, and imported wine entered in customs bond
in containers prior to that date shall be regarded as being packaged,
marked, branded and labeled in accordance with this subpart, if the
labels on such wine (1) bear all the mandatory label information
required by Sec. 4.32, even though such information is not set forth in
the manner and form as required by Sec. 4.32 and other sections of this
title referred to therein, and (2) bear no statements, designs, or
devices which are false or misleading.
(b) Alteration of labels. (1) It shall be unlawful for any person to
alter, mutilate, destroy, obliterate or remove any mark, brand, or label
upon wine held for sale in interstate or foreign commerce or after
shipment therein, except as authorized by Federal law, or except as
provided in paragraph (b)(2) of this section: Provided, That the
appropriate TTB officer may, upon written application, permit additional
labeling or relabeling of wine for purposes of compliance with the
requirements of this part or of State law.
(2) No application for permission to relabel wine need be made in
any case where there is added to the container, after removal from
customs custody or from the premises where bottled or packed, a label
identifying the wholesale or retail distributor thereof, and containing
no reference whatever to the characteristics of the product.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-425, 65
FR 11891, Mar. 7, 2000; T.D. ATF-953, 68 FR 39455, July 2, 2003]
Cross Reference: For customs warehouses and control of merchandise
therein, see 19 CFR part 19.
Sec. 4.32 Mandatory label information.
(a) There shall be stated on the brand label:
(1) Brand name, in accordance with Sec. 4.33.
(2) Class, type, or other designation, in accordance with Sec.
4.34.
(3) [Reserved]
(4) On blends consisting of American and foreign wines, if any
reference is made to the presence of foreign wine, the exact percentage
by volume.
(b) There shall be stated on any label affixed to the container:
(1) Name and address, in accordance with Sec. 4.35.
(2) Net contents, in accordance with Sec. 4.37. If the net contents
is a standard
[[Page 27]]
of fill other than an authorized metric standard of fill as prescribed
in Sec. 4.72, the net contents statement shall appear on a label
affixed to the front of the bottle.
(3) Alcohol content, in accordance with Sec. 4.36.
(c) There shall be stated on the brand label or on a back label a
statement that the product contains FD&C Yellow No. 5, where that
coloring material is used in a product bottled on or after October 6,
1984.
(d) Declaration of cochineal extract or carmine. There shall be
stated on a front label, back label, strip label, or neck label a
statement that the product contains the color additive cochineal extract
or the color additive carmine, prominently and conspicuously, using the
respective common or usual name (``cochineal extract'' or ``carmine''),
where either of the coloring materials is used in a product that is
removed on or after April 16, 2013. (For example: ``Contains Cochineal
Extract'' or ``Contains Carmine'' or, if applicable, ``Contains
Cochineal Extract and Carmine'').
(e) Declaration of sulfites. There shall be stated on a front label,
back label, strip label or neck label, the statement ``Contains
sulfites'' or ``Contains (a) sulfiting agent(s)'' or a statement
identifying the specific sulfiting agent where sulfur dioxide or a
sulfiting agent is detected at a level of 10 or more parts per million,
measured as total sulfur dioxide. The provisions of this paragraph shall
apply to:
(1) Any certificate of label approval issued on or after January 9,
1987;
(2) Any wine bottled on or after July 9, 1987, regardless of the
date of issuance of the certificate of label approval; and,
(3) Any wine removed on or after January 9, 1988.
(Paragraph (e) approved by the Office of Management and Budget under
Control Number 1512-0469)
[T.D. 6521, 25 FR 13835, Dec. 29, 1960]
Editorial Note: For Federal Register citations affecting Sec. 4.32,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Sec. 4.32a Voluntary disclosure of major food allergens.
(a) Definitions. For purposes of this section the following terms
have the meanings indicated.
(1) Major food allergen. Major food allergen means any of the
following:
(i) Milk, egg, fish (for example, bass, flounder, or cod),
Crustacean shellfish (for example, crab, lobster, or shrimp), tree nuts
(for example, almonds, pecans, or walnuts), wheat, peanuts, and
soybeans; or
(ii) A food ingredient that contains protein derived from a food
specified in paragraph (a)(1)(i) of this section, except:
(A) Any highly refined oil derived from a food specified in
paragraph (a)(1)(i) of this section and any ingredient derived from such
highly refined oil; or
(B) A food ingredient that is exempt from major food allergen
labeling requirements pursuant to a petition for exemption approved by
the Food and Drug Administration (FDA) under 21 U.S.C. 343(w)(6) or
pursuant to a notice submitted to FDA under 21 U.S.C. 343(w)(7),
provided that the food ingredient meets the terms or conditions, if any,
specified for that exemption.
(2) Name of the food source from which each major food allergen is
derived. Name of the food source from which each major food allergen is
derived means the name of the food as listed in paragraph (a)(1)(i) of
this section, except that:
(i) In the case of a tree nut, it means the name of the specific
type of nut (for example, almonds, pecans, or walnuts);
(ii) In the case of Crustacean shellfish, it means the name of the
species of Crustacean shellfish (for example, crab, lobster, or shrimp);
and
(iii) The names ``egg'' and ``peanuts'', as well as the names of the
different types of tree nuts, may be expressed in either the singular or
plural form, and the term ``soy'', soybean'', or ``soya'' may be used
instead of ``soybeans''.
(b) Voluntary labeling standards. Major food allergens (defined in
paragraph (a)(1) of this section) used in the production of a wine may,
on a voluntary basis, be declared on any label affixed to the container.
However, if
[[Page 28]]
any one major food allergen is voluntarily declared, all major food
allergens used in production of the wine, including major food allergens
used as fining or processing agents, must be declared, except when
covered by a petition for exemption approved by the appropriate TTB
officer under Sec. 4.32b. The major food allergens declaration must
consist of the word ``Contains'' followed by a colon and the name of the
food source from which each major food allergen is derived (for example,
``Contains: egg'').
(c) Cross reference. For mandatory labeling requirements applicable
to wines containing FD&C Yellow No. 5 and sulfites, see Sec. Sec.
4.32(c) and (e).
[T.D. TTB-53, 71 FR 42267, July 26, 2006]
Sec. 4.32b Petitions for exemption from major food allergen labeling.
(a) Submission of petition. Any person may petition the appropriate
TTB officer to exempt a particular product or class of products from the
labeling requirements of Sec. 4.32a. The burden is on the petitioner to
provide scientific evidence (including the analytical method used to
produce the evidence) that demonstrates that the finished product or
class of products, as derived by the method specified in the petition,
either:
(1) Does not cause an allergic response that poses a risk to human
health; or
(2) Does not contain allergenic protein derived from one of the
foods identified in Sec. 4.32a(a)(1)(i), even though a major food
allergen was used in production.
(b) Decision on petition. TTB will approve or deny a petition for
exemption submitted under paragraph (a) of this section in writing
within 180 days of receipt of the petition. If TTB does not provide a
written response to the petitioner within that 180-day period, the
petition will be deemed denied, unless an extension of time for decision
is mutually agreed upon by the appropriate TTB officer and the
petitioner. TTB may confer with the Food and Drug Administration (FDA)
on petitions for exemption, as appropriate and as FDA resources permit.
TTB may require the submission of product samples and other additional
information in support of a petition; however, unless required by TTB,
the submission of samples or additional information by the petitioner
after submission of the petition will be treated as the withdrawal of
the initial petition and the submission of a new petition. An approval
or denial under this section will constitute a final agency action.
(c) Resubmission of a petition. After a petition for exemption is
denied under this section, the petitioner may resubmit the petition
along with supporting materials for reconsideration at any time. TTB
will treat this submission as a new petition for purposes of the time
frames for decision set forth in paragraph (b) of this section.
(d) Availability of information--(1) General. TTB will promptly post
to its public Web site, http://www.ttb.gov, all petitions received under
this section as well as TTB's responses to those petitions. Any
information submitted in support of the petition that is not posted to
the TTB Web site will be available to the public pursuant to 5 U.S.C.
552, except where a request for confidential treatment is granted under
paragraph (d)(2) of this section.
(2) Requests for confidential treatment of business information. A
person who provides trade secrets or other commercial or financial
information in connection with a petition for exemption under this
section may request that TTB give confidential treatment to that
information. A failure to request confidential treatment at the time the
information in question is submitted to TTB will constitute a waiver of
confidential treatment. A request for confidential treatment of
information under this section must conform to the following standards:
(i) The request must be in writing;
(ii) The request must clearly identify the information to be kept
confidential;
(iii) The request must relate to information that constitutes trade
secrets or other confidential commercial or financial information
regarding the business transactions of an interested person, the
disclosure of which would cause substantial harm to the competitive
position of that person;
(iv) The request must set forth the reasons why the information
should
[[Page 29]]
not be disclosed, including the reasons the disclosure of the
information would prejudice the competitive position of the interested
person; and
(v) The request must be supported by a signed statement by the
interested person, or by an authorized officer or employee of that
person, certifying that the information in question is a trade secret or
other confidential commercial or financial information and that the
information is not already in the public domain.
[T.D. TTB-53, 71 FR 42267, July 26, 2006]
Sec. 4.33 Brand names.
(a) General. The product shall bear a brand name, except that if not
sold under a brand name, then the name of the person required to appear
on the brand label shall be deemed a brand name for the purpose of this
part.
(b) Misleading brand names. No label shall contain any brand name,
which, standing alone, or in association with other printed or graphic
matter creates any impression or inference as to the age, origin,
identity, or other characteristics of the product unless the appropriate
TTB officer finds that such brand name, either when qualified by the
word ``brand'' or when not so qualified, conveys no erroneous
impressions as to the age, origin, identity, or other characteristics of
the product.
(c) Trade name of foreign origin. This section shall not operate to
prohibit the use by any person of any trade name or brand of foreign
origin not effectively registered in the United States Patent Office on
August 29, 1935, which has been used by such person or his predecessors
in the United States for a period of at least five years immediately
preceding August 29, 1935: Provided, That if such trade name or brand is
used, the designation of the product shall be qualified by the name of
the locality in the United States in which produced, and such
qualifications shall be in script, type, or printing as conspicuous as
the trade name or brand.
Sec. 4.34 Class and type.
(a) The class of the wine shall be stated in conformity with subpart
C of this part if the wine is defined therein, except that ``table''
(``light'') and ``dessert'' wines need not be designated as such. In the
case of still grape wine there may appear, in lieu of the class
designation, any varietal (grape type) designation, type designation of
varietal significance, semigeneric geographic type designation, or
geographic distinctive designation, to which the wine may be entitled.
In the case of champagne, or crackling wines, the type designation
``champagne'' or ``crackling wine'' (``petillant wine'', ``frizzante
wine'') may appear in lieu of the class designation ``sparkling wine''.
In the case of wine which has a total solids content of more than 17
grams per 100 cubic centimeters the words ``extra sweet'', ``specially
sweetened'', ``specially sweet'' or ``sweetened with excess sugar''
shall be stated as a part of the class and type designation. The last of
these quoted phrases shall appear where required by part 24 of this
chapter, on wines sweetened with sugar in excess of the maximum
quantities specified in such regulations. If the class of the wine is
not defined in subpart C, a truthful and adequate statement of
composition shall appear upon the brand label of the product in lieu of
a class designation. In addition to the mandatory designation for the
wine, there may be stated a distinctive or fanciful name, or a
designation in accordance with trade understanding. The statement of
composition will not include any reference to a varietal (grape type)
designation, type designation of varietal significance, semi-generic
geographic type designation, or geographic distinctive designation. All
parts of the designation of the wine, whether mandatory or optional,
shall be in direct conjunction and in lettering substantially of the
same size and kind.
(b) An appellation of origin such as ``American,'' ``New York,''
``Napa Valley,'' or ``Chilean,'' disclosing the true place of origin of
the wine, shall appear in direct conjunction with and in lettering
substantially as conspicuous as the class and type designation if:
(1) A varietal (grape type) designation is used under the provisions
of Sec. 4.23;
(2) A type designation of varietal significance is used under the
provisions of Sec. 4.28;
[[Page 30]]
(3) A semi-generic type designation is employed as the class and
type designation of the wine pursuant to Sec. 4.24(b);
(4) A product name is qualified with the word ``Brand'' under the
requirements of Sec. 4.39 (j); or
(5) The wine is labeled with the year of harvest of the grapes, and
otherwise conforms with the provisions of Sec. 4.27.
[T.D. ATF-53, 43 FR 37677, Aug. 23, 1978; T.D. ATF-48, 44 FR 55839,
Sept. 28, 1979, as amended by T.D. ATF-195, 50 FR 763, Jan. 7, 1985;
T.D. ATF-229, 51 FR 20482, June 5, 1986; T.D. ATF-312, 56 FR 31077, July
9, 1991; T.D. ATF-370, 61 FR 539, Jan. 8, 1996; T.D. ATF-431, 65 FR
59724, Oct. 6, 2000; T.D. TTB-105, 77 FR 56541, Sept. 13, 2012]
Sec. 4.35 Name and address.
(a) American wine--(1) Mandatory statement. A label on each
container of American wine shall state either ``bottled by'' or ``packed
by'' followed by the name of the bottler or packer and the address (in
accordance with paragraph (c)) of the place where the wine was bottled
or packed. Other words may also be stated in addition to the required
words ``bottled by'' or ``packed by'' and the required name and address
if the use of such words is in accordance with paragraph (a)(2) of this
section.
(2) Optional statements. (i) In addition to the statement required
by paragraph (a)(1), the label may also state the name and address of
any other person for whom the wine was bottled or packed, immediately
preceded by the words ``bottled for'' or ``packed for'' or ``distributed
by.''
(ii) The words defined in paragraphs (a)(2)(iii)-(a)(2)(vi) may be
used, in accordance with the definitions given, in addition to the name
and address statement required by paragraph (a)(1). Use of these words
may be conjoined, using the word ``and'', and with the words ``bottled
by'' or ``packed by'' only if the same person performed the defined
operation at the same address. More than one name is necessary if the
defined operation was performed by a person other than the bottler or
packer and more than one address statement is necessary if the defined
operation was performed at a different address.
(iii) Produced or Made means that the named winery:
(A) Fermented not less than 75% of such wine at the stated address,
or
(B) Changed the class or type of the wine by addition of alcohol,
brandy, flavors, colors, or artificial carbonation at the stated
address, or
(C) Produced sparkling wine by secondary fermentation at the stated
address.
(iv) Blended means that the named winery mixed the wine with other
wines of the same class and type at the stated address.
(v) Cellared, Vinted or Prepared means that the named winery, at the
stated address, subjected the wine to cellar treatment in accordance
with Sec. 4.22(c).
(b) Imported wine--(1) Mandatory statements. (i) A label on each
container of imported wine shall state ``imported by'' or a similar
appropriate phrase, followed immediately by the name of the importer,
agent, sole distributor, or other person responsible for the
importation, followed immediately by the address of the principal place
of business in the United States of the named person.
(ii) If the wine was bottled or packed in the United States, the
label shall also state one of the following:
(A) ``Bottled by'' or ``packed by'' followed by the name of the
bottler or packer and the address (in accordance with paragraph (c)) of
the place where the wine was bottled or packed; or
(B) If the wine was bottled or packed for the person responsible for
the importation, the words ``imported by and bottled (packed) in the
United States for'' (or a similar appropriate phrase) followed by the
name and address of the principal place of business in the United States
of the person responsible for the importation; or
(C) If the wine was bottled or packed by the person responsible for
the importation, the words ``imported and bottled (packed) by'' followed
by the name and address of the principal place of business in the United
States of the person responsible for the importation.
(iii) If the wine was blended, bottled or packed in a foreign
country other than the country of origin, and the label identifies the
country of origin, the label shall state ``blended by,''
[[Page 31]]
``bottled by,'' or ``packed by,'' or other appropriate statement,
followed by the name of the blender, bottler or packer and the place
where the wine was blended, bottled or packed.
(2) Optional statements. In addition to the statements required by
paragraph (b) (1), the label may also state the name and address of the
principal place of business of the foreign producer. Other words, or
their English-language equivalents, denoting winemaking operations may
be used in accordance with the requirements of the country of origin,
for wines sold within the country of origin.
(c) Form of address. The ``place'' stated shall be the post office
address shown on the basic permit or other qualifying document of the
premises at which the operations took place; and there shall be shown
the address for each operation which is designated on the label. An
example of such use would be ``Produced at Gilroy, California, and
bottled at San Mateo, California, by XYZ Winery,'' except that the
street address may be omitted. No additional places or addresses shall
be stated for the same person unless:
(1) Such person is actively engaged in the conduct of an additional
bona fide and actual alcoholic beverage business at such additional
place or address, and
(2) The label also contains in direct conjunction therewith,
appropriate descriptive material indicating the function occurring at
such additional place or address in connection with the particular
product.
(d) Trade or operating names. The trade or operating name of any
person appearing upon any label shall be identical with a name appearing
on the basic permit or other qualifying document.
(e) Cross reference--country of origin statement. For U.S. Customs
and Border Protection (CBP) rules regarding country of origin marking
requirements, see the CBP regulations at 19 CFR parts 102 and 134.
[T.D. ATF-328, 57 FR 33114, July 27, 1992; 57 FR 37591, Aug. 19, 1992.
Redesignated by T.D. ATF-953, 68 FR 39455, July 2, 2003; T.D. TTB-158,
85 FR 18722, Apr. 2, 2020]
Sec. 4.36 Alcoholic content.
(a) Alcoholic content shall be stated in the case of wines
containing more than 14 percent of alcohol by volume. In the case of
wine containing 14 percent or less of alcohol by volume, the alcohol
content may be stated, but need not be stated if the type designation
``table'' wine (or ``light'' wine) appears on the brand label as
prescribed in Sec. 4.32(a)(2). Any statement of alcoholic content shall
be made as prescribed in paragraph (b) of this section.
(b) Alcoholic content shall be stated in terms of percentage of
alcohol by volume, and not otherwise, as provided in either paragraph
(b)(1) or (2) of this section:
(1) ``Alcohol __ % by volume,'' or similar appropriate phrase;
Provided, that if the word ``alcohol'' and/or ``volume'' are
abbreviated, they shall be shown as ``alc.'' (alc) and/or ``vol.''
(vol), respectively. Except as provided in paragraph (c) of this
section, a tolerance of 1 percent, in the case of wines containing more
than 14 percent of alcohol by volume, and of 1.5 percent, in the case of
wines containing 14 percent or less of alcohol by volume, will be
permitted either above or below the stated percentage.
(2) ``Alcohol __ % to __ % by volume,'' or similar appropriate
phrase; Provided, that if the word ``alcohol'' and/or ``volume'' are
abbreviated, they shall be shown as ``alc.'' (alc) and/or ``vol.''
(vol), respectively. Except as provided in paragraph (c) of this
section, a range of not more than 2 percent, in the case of wines
containing more than 14 percent of alcohol by volume, and of not more
than 3 percent, in the case of wines containing 14 percent or less of
alcohol by volume, will be permitted between the minimum and maximum
percentages stated, and no tolerances will be permitted either below
such minimum or above such maximum.
(c) Regardless of the type of statement used and regardless of
tolerances normally permitted in direct statements and ranges normally
permitted in maximum and minimum statements, alcoholic content
statements, whether required or optional, shall definitely and correctly
indicate the class, type and taxable grade of the
[[Page 32]]
wine so labeled and nothing in this section shall be construed as
authorizing the appearance upon the labels of any wine of an alcoholic
content statement in terms of maximum and minimum percentages which
overlaps a prescribed limitation on the alcoholic content of any class,
type, or taxable grade of wine, or a direct statement of alcoholic
content which indicates that the alcoholic content of the wine is within
such a limitation when in fact it is not.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-275, 53
FR 27046, July 18, 1988; T.D. TTB-114, 78 FR 34568, June 10, 2013]
Sec. 4.37 Net contents.
(a) Statement of net contents. The net contents of wine for which a
standard of fill is prescribed in Sec. 4.72 shall be stated in the same
manner and form as set forth in the standard of fill. The net content of
wine for which no standard of fill is prescribed in Sec. 4.72 shall be
stated in the metric system of measure as follows:
(1) If more than one liter, net contents shall be stated in liters
and in decimal portions of a liter accurate to the nearest one-hundredth
of a liter.
(2) If less than one liter, net contents shall be stated in
milliliters (ml).
(b) Statement of U.S. equivalent net contents. When net contents of
wine are stated in metric measure, the equivalent volume in U.S. measure
may also be shown. If shown, the U.S. equivalent volume will be shown as
follows:
(1) For the metric standards of fill: 3 liters (101 fl. oz.); 1.5
liters (50.7 fl. oz.); 1 liter (33.8 fl. oz.); 750 ml (25.4 fl. oz.);
500 ml (16.9 fl. oz.); 375 ml (12.7 fl. oz.); 187 ml (6.3 fl. oz.); 100
ml (3.4 fl. oz.); and 50 ml (1.7 fl. oz.).
(2) Equivalent volumes of less than 100 fluid ounces will be stated
in fluid ounces only, accurate to the nearest one-tenth of a fluid
ounce; for example, 700 ml (23.7 fl. oz.).
(3) Equivalent volumes of 100 fluid ounces or more will be stated in
fluid ounces only, accurate to the nearest whole fluid ounce; for
example, 6 liters (203 fl. oz.).
(c) Net contents marked in bottle. The net contents need not be
stated on any label if the net contents are displayed by having the same
blown, etched, sand-blasted, marked by underglaze coloring, or otherwise
permanently marked by any method approved by the appropriate TTB
officer, in the sides, front, or back of the bottle, in letters and
figures in such manner as to be plainly legible under ordinary
circumstances, and such statement is not obscured in any manner in whole
or in part.
(d) Tolerances. Statement of net contents shall indicate exactly the
volume of wine within the container, except that the following
tolerances shall be allowed:
(1) Discrepancies due exclusively to errors in measuring which occur
in filling conducted in compliance with good commercial practice.
(2) Discrepancies due exclusively to differences in the capacity of
containers, resulting solely from unavoidable difficulties in
manufacturing such containers so as to be of uniform capacity: Provided,
That no greater tolerance shall be allowed in case of containers which,
because of their design, cannot be made of approximately uniform
capacity than is allowed in case of containers which can be manufactured
so as to be of approximately uniform capacity.
(3) Discrepancies in measure due to differences in atmospheric
conditions in various places and which unavoidably result from the
ordinary and customary exposure of alcoholic beverages in containers to
evaporation. The reasonableness to discrepancies under this paragraph
shall be determined on the facts in each case.
(e) Unreasonable shortages. Unreasonable shortages in certain of the
containers in any shipment shall not be compensated by overages in other
containers in the same shipment.
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981; T.D. ATF-
303, 55 FR 42713, Oct. 23, 1990; T.D. TTB-91, 76 FR 5476, Feb. 1, 2011]
Sec. 4.38 General requirements.
(a) Legibility. All labels shall be so designed that all the
statements thereon required by Sec. Sec. 4.30 through 4.39 are readily
legible under ordinary conditions,
[[Page 33]]
and all such statement shall be on a contrasting background.
(b) Size of type. (1) Containers of more than 187 milliliters. All
mandatory information required on labels by this part, except the
alcoholic content statement, shall be in script, type, or printing not
smaller than 2 millimeters; except that if contained among other
descriptive or explanatory information, the script, type, or printing of
the mandatory information shall be of a size substantially more
conspicuous than that of the descriptive or explanatory information.
(2) Containers of 187 milliliters or less. All mandatory information
required on labels by this part, except the alcoholic content statement,
shall not be smaller than 1 millimeter, except that if contained among
other descriptive or explanatory information, the script, type, or
printing of the mandatory information shall be of a size substantially
more conspicuous than that of the descriptive or explanatory
information.
(3) Alcoholic content statements shall not appear in script, type,
or printing larger or more conspicuous than 3 millimeters nor smaller
than 1 millimeter on labels of containers having a capacity of 5 liters
or less and shall not be set off with a border or otherwise accentuated.
(c) English language. All mandatory label information shall be
stated on labels in the English language, except that the brand name,
the place of production, and the name of the manufacturer, producer,
blender, bottler, packer, or shipper appearing on the label need not be
in the English language if the words ``product of'' immediately precede
the name of the country of origin stated in accordance with customs
requirements. Additional statements in foreign languages may be made on
labels, if they do not in any way conflict with, or contradict the
requirements of Sec. Sec. 4.30 through 4.39.
(d) Location of label. Labels shall not obscure Government stamps
nor be obscured thereby.
(e) Labels firmly affixed. All labels shall be affixed to containers
of wine in such manner that they cannot be removed without thorough
application of water or other solvents.
(f) Additional information on labels. Labels may contain information
other than the mandatory label information required by Sec. Sec. 4.30
through 4.39, if such information complies with the requirements of such
sections and does not conflict with, nor in any manner qualify
statements required by this part. In addition, information which is
truthful, accurate, and specific, and which is neither disparaging nor
misleading may appear on wine labels.
(g) Representations as to materials. If any representation (other
than representations or information required by Sec. Sec. 4.30 through
4.39 or percentage statements required or permitted by this part) is
made as to the presence, excellence, or other characteristic of any
ingredient in any wine, or used in its production, the label containing
such representation shall state, in print, type, or script,
substantially as conspicuous as such representation, the name and amount
in percent by volume of each such ingredient.
(h) Statement of contents of containers. Upon request of the
appropriate TTB officer, there shall be submitted a full and accurate
statement of the contents of the containers to which labels are to be or
have been affixed.
[T.D. ATF-53, 43 FR 37677, Aug. 23, 1978, as amended by T.D. ATF-66, 45
FR 40544, June 13, 1980; T.D. ATF-94, 46 FR 55095, Nov. 6, 1981; T.D.
ATF-249, 52 FR 5955, Feb. 27, 1987; T.D. ATF-275, 53 FR 27046, July 18,
1988; T.D. ATF-312, 56 FR 31077, July 9, 1991]
Sec. 4.38a Bottle cartons, booklets and leaflets.
(a) General. An individual covering, carton, or other container of
the bottle used for sale at retail (other than a shipping container), or
any written, printed, graphic, or other matter accompanying the bottle
to the consumer buyer shall not contain any statement, design, device,
or graphic, pictorial, or emblematic representation that is prohibited
by Sec. Sec. 4.30 through 4.39 on labels.
(b) Sealed cartons. If bottles are enclosed in sealed opaque
coverings, cartons, or other containers used for sale at retail (other
than a shipping container), such coverings, cartons, or other containers
must bear all mandatory label information.
[[Page 34]]
(c) Other cartons. (1) If an individual covering, carton, or other
container of the bottle used for sale at retail (other than a shipping
container) is so designed that the bottle is readily removable, it may
display any information which is not in conflict with the label on the
bottle contained therein.
(2) Cartons displaying brand names and/or designations must display
such names and designations in their entirety--brand names required to
be modified, e.g. by ``Brand'' or ``Product of U.S.A.'', must also
display such modification.
(3) Wines for which a truthful and adequate statement of composition
is required must display such statement.
[T.D. ATF-36, 41 FR 47425, Oct. 29, 1976]
Sec. 4.39 Prohibited practices.
(a) Statements on labels. Containers of wine, or any label on such
containers, or any individual covering, carton, or other wrapper of such
container, or any written, printed, graphic, or other matter
accompanying such container to the consumer shall not contain:
(1) Any statement that is false or untrue in any particular, or
that, irrespective of falsity, directly, or by ambiguity, omission, or
inference, or by the addition of irrelevant, scientific or technical
matter, tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's products.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards, or tests, irrespective of falsity, which the
appropriate TTB officer finds to be likely to mislead the consumer.
(5) Any statement, design, device or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate TTB
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) A trade or brand name that is the name of any living individual
of public prominence, or existing private or public organization, or is
a name that is in simulation or is an abbreviation thereof, or any
graphic, pictorial, or emblematic representation of any such individual
or organization, if the use of such name or representation is likely
falsely to lead the consumer to believe that the product has been
endorsed, made, or used by, or produced for, or under the supervision
of, or in accordance with the specifications of, such individual or
organization; Provided, That this paragraph shall not apply to the use
of the name of any person engaged in business as a producer, blender,
rectifier, importer, wholesaler, retailer, bottler, or warehouseman of
wine, nor to the use by any person of a trade or brand name that is the
name of any living individual of public prominence or existing private
or public organization, provided such trade or brand name was used by
him or his predecessors in interest prior to August 29, 1935.
(7) Any statement, design, device, or representation (other than a
statement of alcohol content in conformity with Sec. 4.36), which tends
to create the impression that a wine:
(i) Contains distilled spirits;
(ii) Is comparable to a distilled spirit; or
(iii) Has intoxicating qualities.
However, if a statement of composition is required to appear as the
designation of a product not defined in these regulations, such
statement of composition may include a reference to the type of
distilled spirits contained therein.
(8) Any coined word or name in the brand name or class and type
designation which simulates, imitates, or which tends to create the
impression that the wine so labeled is entitled to bear, any class,
type, or permitted designation recognized by the regulations in this
part unless such wine conforms to the requirements prescribed with
respect to such designation and is in fact so designated on its labels.
(9) Any word in the brand name or class and type designation which
is the name of a distilled spirits product or which simulates, imitates,
or created the impression that the wine so labeled is, or is similar to,
any product customarily made with a distilled spirits base. Examples of
such words are: ``Manhattan,'' ``Martini,'' and ``Daquiri'' in a class
and type designation or brand name of a wine cocktail;
[[Page 35]]
``Cuba Libre,'' ``Zombie,'' and ``Collins'' in a class and type
designation or brand name of a wine specialty or wine highball;
``creme,'' ``cream,'' ``de,'' or ``of'' when used in conjunction with
``menthe,'' ``mint,'' or ``cacao'' in a class and type designation or a
brand name of a mint or chocolate flavored wine specialty.
(b) Statement of age. No statement of age or representation relative
to age (including words or devices in any brand name or mark) shall be
made, except (1) for vintage wine, in accordance with the provisions of
Sec. 4.27; (2) references relating to methods of wine production
involving storage or aging in accordance with Sec. 4.38(f); or (3) use
of the word ``old'' as part of a brand name.
(c) Statement of bottling dates. The statement of any bottling date
shall not be deemed to be a representation relative to age, if such
statement appears in lettering not greater than 8-point Gothic caps and
in the following form: ``Bottled in __'' (inserting the year in which
the wine was bottled).
(d) Statement of miscellaneous dates. No date, except as provided in
paragraphs (b) and (c) of this section with respect to statement of
vintage year and bottling date, shall be stated on any label unless in
addition thereto and in direct conjunction therewith in the same size
and kind of printing, there shall be stated an explanation of the
significance thereof such as ``established'' or ``founded in''. If any
such date refers to the date of establishment of any business or brand
name, it shall not be stated, in the case of containers of a capacity of
5 liters or less, in any script, type, or printing larger than 2
millimeters, and shall be stated in direct conjunction with the name of
the person, company, or brand name to which it refers if the appropriate
TTB officer finds that this is necessary in order to prevent confusion
as to the person, company, or brand name to which the establishment date
is applicable.
(e) Simulation of Government stamps. (1) No labels shall be of such
design as to resemble or simulate a stamp of the United States
Government or any State or foreign government. No label, other than
stamps authorized or required by the United States Government or any
State or foreign government, shall state or indicate that the wine
contained in the labeled container is produced, blended, bottled,
packed, or sold under, or in accordance with, any municipal, State or
Federal Government authorization, law, or regulation, unless such
statement is required or specifically authorized by Federal, State or
municipal law or regulation, or is required or specifically authorized
by the laws or regulations of a foreign country. If the municipal,
State, or Federal Government permit number is stated upon a label, it
shall not be accompanied by any additional statement relating thereto.
(2) Bonded wine cellar and bonded winery numbers may be stated but
only in direct conjunction with the name and address of the person
operating such wine cellar or winery. Statement of bonded wine cellar or
winery numbers may be made in the following form: ``Bonded Wine Cellar
No. __'', ``Bonded Winery No. __'', ``B. W. C. No. __'', ``B. W. No.
__''. No additional reference thereto shall be made, nor shall any use
be made of such statement that may convey the impression that the wine
has been made or matured under Government supervision or in accordance
with Government specifications or standards.
(3) If imported wines are covered by a certificate of origin and/or
a certificate of vintage date issued by a duly authorized official of
the appropriate foreign government, the label, except where prohibited
by the foreign government, may refer to such certificate or the fact of
such certification, but shall not be accompanied by any additional
statements relating thereto. The reference to such certificate or
certification shall be substantially in the following form:
This product accompanied at the time of the importation by a
certificate issued by the
________________________________________________________________________
(Name of government)
government indicating that the product is
________________________________________________________________________
(Class and type as stated on the label)
and (if label bears a statement of vintage date) that the wine is of
the vintage of
[[Page 36]]
________________________________________________________________________
(Year of vintage stated on the label)
(f) Use of the word ``Importer'', or similar words. The word
Importer, or similar words, shall not be stated on labels on containers
of domestic wine except as part of the bona fide name of a permittee for
or by whom, or of a retailer for whom, such wine is bottled, packed or
distributed: Provided, That in all cases where such words are used as
part of such name, there shall be stated on the same label the words
``Product of the United States'', or similar words to negative any
impression that the product is imported, and such negative statement
shall appear in the same size and kind of printing as such name.
(g) Flags, seals, coats of arms, crests, and other insignia. Labels
shall not contain, in the brand name or otherwise, any statement,
design, device, or pictorial representation which the appropriate TTB
officer finds relates to, or is capable of being construed as relating
to, the armed forces of the United States, or the American flag, or any
emblem, seal, insignia, or decoration associated with such flag or armed
forces; nor shall any label contain any statement, design, device, or
pictorial representation of or concerning any flag, seal, coat of arms,
crest or other insignia, likely to mislead the consumer to believe that
the product has been endorsed, made, or used by, or produced for, or
under the supervision of, or in accordance with the specifications of
the government, organization, family, or individual with whom such flag,
seal, coat of arms, crest, or insignia is associated.
(h) Health-related statements--(1) Definitions. When used in this
paragraph (h), terms are defined as follows:
(i) Health-related statement means any statement related to health
(other than the warning statement required by Sec. 16.21 of this
chapter) and includes statements of a curative or therapeutic nature
that, expressly or by implication, suggest a relationship between the
consumption of alcohol, wine, or any substance found within the wine,
and health benefits or effects on health. The term includes both
specific health claims and general references to alleged health benefits
or effects on health associated with the consumption of alcohol, wine,
or any substance found within the wine, as well as health-related
directional statements. The term also includes statements and claims
that imply that a physical or psychological sensation results from
consuming the wine, as well as statements and claims of nutritional
value (e.g., statements of vitamin content). Statements concerning
caloric, carbohydrate, protein, and fat content do not constitute
nutritional claims about the product.
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
wine, alcohol, or any substance found within the wine, to a disease or
health-related condition. Implied specific health claims include
statements, symbols, vignettes, or other forms of communication that
suggest, within the context in which they are presented, that a
relationship exists between wine, alcohol, or any substance found within
the wine, and a disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of wine or
alcohol consumption.
(2) Rules for labeling--(i) Health-related statements. In general,
labels may not contain any health-related statement that is untrue in
any particular or tends to create a misleading impression as to the
effects on health of alcohol consumption. TTB will evaluate such
statements on a case-by-case basis and may require as part of the
health-related statement a disclaimer or some other qualifying statement
to dispel any misleading impression conveyed by the health-related
statement.
(ii) Specific health claims. (A) TTB will consult with the Food and
Drug Administration (FDA), as needed, on the use of a specific health
claim on a wine label. If FDA determines that the use of such a labeling
claim is a drug claim that is not in compliance with the requirements of
the Federal Food, Drug, and Cosmetic Act, TTB will not approve the use
of that specific health claim on a wine label.
[[Page 37]]
(B) TTB will approve the use of a specific health claim on a wine
label only if the claim is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health
claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of wine or alcohol consumption is
presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of wine or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement
the following disclaimer: ``This statement should not encourage you to
drink or to increase your alcohol consumption for health reasons;'' or
(2) Includes as part of the health-related directional statement
some other qualifying statement that the appropriate TTB officer finds
is sufficient to dispel any misleading impression conveyed by the
health-related directional statement.
(i) Geographic brand names. (1) Except as provided in subparagraph
2, a brand name of viticultural significance may not be used unless the
wine meets the appellation of origin requirements for the geographic
area named.
(2) For brand names used in existing certificates of label approval
issued prior to July 7, 1986:
(i) The wine shall meet the appellation of origin requirements for
the geographic area named; or
(ii) The wine shall be labeled with an appellation of origin in
accordance with Sec. 4.34(b) as to location and size of type of either:
(A) A county or a viticultural area, if the brand name bears the
name of a geographic area smaller than a state, or;
(B) A state, county or a viticultural area, if the brand name bears
a state name; or
(iii) The wine shall be labeled with some other statement which the
appropriate TTB officer finds to be sufficient to dispel the impression
that the geographic area suggested by the brand name is indicative of
the origin of the wine.
(3) A name has viticultural significance when it is the name of a
state or county (or the foreign equivalents), when approved as a
viticultural area in part 9 of this chapter, or by a foreign government,
or when found to have viticultural significance by the appropriate TTB
officer.
(j) Product names of geographical significance (not mandatory before
January 1, 1983). The use of product names with specific geographical
significance is prohibited unless the appropriate TTB officer finds that
because of their long usage, such names are recognized by consumers as
fanciful product names and not representations as to origin. In such
cases the product names shall be qualified with the word ``brand''
immediately following the product name, in the same size of type, and as
conspicuous as the product name itself. In addition, the label shall
bear an appellation of origin under the provisions of Sec. 4.34(b),
and, if required by the appropriate TTB officer, a statement disclaiming
the geographical reference as a representation as to the origin of the
wine.
(k) Other indications of origin. Other statements, designs, devices
or representations which indicate or infer an origin other than the true
place of origin of the wine are prohibited.
(l) Foreign terms. Foreign terms which: (1) Describe a particular
condition of the grapes at the time of harvest (such as ``Auslese,''
``Eiswein,'' and ``Trockenbeerenauslese''); or (2) denote quality under
foreign law (such as ``Qualitatswein'' and ``Kabinett'') may not be used
on the labels of American wine.
(m) Use of a vineyard, orchard, farm or ranch name. When used in a
brand name, a vineyard, orchard, farm or ranch name having geographical
or viticultural significance is subject to the requirements of
Sec. Sec. 4.33(b) and 4.39(i)
[[Page 38]]
of this part. Additionally, the name of a vineyard, orchard, farm or
ranch shall not be used on a wine label, unless 95 percent of the wine
in the container was produced from primary winemaking material grown on
the named vineyard, orchard, farm or ranch.
(n) Use of a varietal name, type designation of varietal
significance, semi-generic name, or geographic distinctive designation.
Labels that contain in the brand name, product name, or distinctive or
fanciful name, any varietal (grape type) designation, type designation
of varietal significance, semi-generic geographic type designation, or
geographic distinctive designation, are misleading unless the wine is
made in accordance with the standards prescribed in classes 1, 2, or 3
of Sec. 4.21. Any other use of such a designation on other than a class
1, 2, or 3 wine is presumed misleading.
[T.D. 6521, 25 FR 13841, Dec. 29, 1960]
Editorial Note: For Federal Register citations affecting Sec. 4.39,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Subpart E_Requirements for Withdrawal of Wine From Customs Custody
Sec. 4.40 Label approval and release.
(a) Certificate of label approval. Wine, imported in containers, is
not eligible for release from customs custody for consumption, and no
person may remove such wine from customs custody for consumption, unless
the person removing the wine has obtained and is in possession of a
certificate of label approval (COLA) and the containers bear labels
identical to the labels appearing on the face of the certificate, or
labels with changes authorized by the form. Any person removing wine in
containers from customs custody for consumption must first apply for and
obtain a COLA covering the wine from the appropriate TTB officer, or
obtain authorization to use the COLA from the person to whom the COLA is
issued. Products imported under another person's COLA are eligible for
release only if each bottle or individual container to be imported bears
the name (or trade name) and address of the person to whom the COLA was
issued by TTB, and only if the importer using the COLA to obtain release
of a shipment can substantiate that the person to whom the COLA was
issued has authorized its use by the importer. If filing electronically,
the importer must file with U.S. Customs and Border Protection (CBP), at
the time of filing the customs entry, the TTB-assigned number of the
valid COLA that corresponds to the label on the brand or lot of wine to
be imported. If the importer is not filing electronically, the importer
must provide a copy of the COLA to CBP at time of entry. In addition,
the importer must provide a copy of the applicable COLA, and proof of
the COLA holder's authorization if applicable, upon request by the
appropriate TTB officer or a customs officer. The COLA requirement
imposed by this section applies only to wine that is removed for sale or
any other commercial purpose. See 27 CFR 27.49, 27.74 and 27.75 for
labeling exemptions applicable to certain imported samples of wine.
(b) [Reserved]
(c) Relabeling. Imported wine in U.S. Customs custody which is not
labeled in conformity with certificates of label approval issued by the
appropriate TTB officer must be relabeled prior to release under the
supervision and direction of customs officers of the port at which the
wine is located.
(d) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval, as well as appeal
procedures, see part 13 of this chapter.
(Approved by the Office of Management and Budget under control numbers
1513-0020 and 1513-0064)
[T.D. ATF-66, 45 FR 40546, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55095, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-359, 59 FR 42160, Aug. 17, 1994; T.D. ATF-406, 64 FR 2128, Jan. 13,
1999; T.D. TTB-145, 81 FR 94197, Dec. 22, 2016]
Sec. 4.45 Certificates of origin, identity and proper cellar treatment.
(a) Certificate of origin and identity. Wine imported in containers
is not eligible for release from customs custody for consumption, and no
person may
[[Page 39]]
remove such wine from customs custody for consumption, unless that
person has obtained, and is in possession of an invoice accompanied by a
certificate of origin issued by the appropriate foreign government if
that country requires the issuance of such a certificate for wine
exported from that country. The certificate must have been issued by an
official duly authorized by the foreign government, and it must certify
as to the identity of the wine and that the wine has been produced in
compliance with the laws of the foreign country regulating the
production of the wine for home consumption.
(b) Certification of proper cellar treatment of natural wine--(1)
General. An importer of wine may be required to have in his or her
possession at the time of release of the wine from customs custody a
certification or may have to comply with other conditions prescribed in
Sec. 27.140 of this chapter regarding proper cellar treatment. If
imported wine requires a certification under Sec. 27.140, the importer
must provide a copy of that certification to TTB as follows:
(i) The importer must attach a copy of the certification to the
application for a certificate of label approval for the wine in question
submitted under Sec. 13.21 of this chapter; or
(ii) If a certification for the wine in question was not available
when the importer submitted the application for label approval, the
importer must submit a copy of the certification to the appropriate TTB
officer prior to release from customs custody of the first shipment of
the wine.
(2) Validity of certification. A certification submitted under
paragraph (b)(1) of this section is valid as long as the wine is of the
same brand and class or type, was made by the same producer, was
subjected to the same cellar treatment, and conforms to the statements
made on the certification. Accordingly, if the cellar treatment of the
wine changes and a new certification under Sec. 27.140 is required, an
importer is required to submit a new certification for the wine even
though it is subject to the same label approval.
(3) Use of certification. TTB may use the information from a
certification for purposes of verifying the appropriate class and type
designation of the wine under the labeling provisions of this part. TTB
will make certifications submitted under paragraph (b)(1) of this
section available to the public on the TTB Internet Web site at
www.ttb.gov.
(c) Retention of certificates. The importer of wine imported in
containers must retain for five years following the date of the removal
of the bottled wine from customs custody copies of the certificates (and
accompanying invoices, if required) required by paragraphs (a) and (b)
of this section, and must provide them upon request of the appropriate
TTB officer or a customs officer.
(Approved by the Office of Management and Budget under control numbers
1513-0064 and 1513-0119)
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. TTB-31, 70 FR
49482, Aug. 24, 2005; T.D. TTB-145, 81 FR 94197, Dec. 22, 2016]
Subpart F_Requirements for Approval of Labels of Wine Domestically
Bottled or Packed
Sec. 4.50 Certificates of label approval.
(a) No person shall bottle or pack wine, other than wine bottled or
packed in U.S. Customs custody, or remove such wine from the plant where
bottled or packed, unless an approved certificate of label approval, TTB
Form 5100.31, is issued by the appropriate TTB officer.
(b) Any bottler or packer of wine shall be exempt from the
requirements of this section if upon application the bottler or packer
shows to the satisfaction of the appropriate TTB officer that the wine
to be bottled or packed is not to be sold, offered for sale, or shipped
or delivered for shipment, or otherwise introduced in interstate or
foreign commerce. Application for exemption shall be made on TTB Form
5100.31 in accordance with instructions on the form. If the application
is approved, a certificate of exemption will be issued on the same form.
(c) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval, and certificates of
exemption
[[Page 40]]
from label approval, as well as appeal procedures, see part 13 of this
chapter.
[T.D. ATF-66, 45 FR 40546, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55095, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-344, 58 FR 40354, July 28, 1993; T.D. ATF-406, 64 FR 2128, Jan. 13,
1999; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Sec. 4.51 Exhibiting certificates to Government officials.
Any bottler or packer holding an original or duplicate original of a
certificate of label approval or a certificate of exemption shall, upon
demand, exhibit such certificate to a duly authorized representative of
the United States Government.
Sec. 4.52 Photoprints.
Photoprints or other reproductions of certificates of label approval
or certificates of exemption are not acceptable, for the purposes of
Sec. Sec. 4.50 through 4.52, as substitutes for an original or
duplicate original of a certificate of label approval, or a certificate
of exemption. The appropriate TTB officer will, upon the request of the
bottler or packer, issue duplicate originals of certificates of label
approval or of certificates of exemption if wine under the same brand is
bottled or packed at more than one plant by the same person, and if the
necessity for the duplicate originals is shown and there is listed with
the appropriate TTB officer the name and address of the additional
bottling or packing plant where the particular label is to be used.
Sec. 4.53 Retention of certificates.
Wine that would be required under Sec. 4.45 to be covered by a
certificate of origin and identity and/or a certification of proper
cellar treatment and that is imported in bulk for bottling in the United
States may be removed for consumption from the premises where bottled
only if the bottler possesses a certificate of origin and identity and/
or a certification of proper cellar treatment of natural wine applicable
to the wine, issued by the appropriate entity as set forth in Sec. Sec.
4.45 and 27.140 of this chapter respectively, that provides the same
information as a certificate required under Sec. 4.45(a) and (b) would
provide for like wine imported in bottles. The bottler of wine imported
in bulk must retain for five years following the removal of such wine
from the bonded wine cellar where bottled copies of the certificates
required by Sec. 4.45(a) and (b), and must provide them upon request of
the appropriate TTB officer.
(Approved by the Office of Management and Budget under control number
1513-0064)
[T.D. TTB-145, 81 FR 94197, Dec. 22, 2016]
Sec. 4.54 Personalized labels.
(a) General. Applicants for label approval may obtain permission
from TTB to make certain changes in order to personalize labels without
having to resubmit labels for TTB approval. A personalized label is an
alcohol beverage label that meets the minimum mandatory label
requirements and is customized for customers. Personalized labels may
contain a personal message, picture, or other artwork that is specific
to the consumer who is purchasing the product. For example, a winery may
offer individual or corporate customers labels that commemorate an event
such as a wedding or grand opening.
(b) Application. Any person who intends to offer personalized labels
must submit a template for the personalized label as part of the
application for label approval required under Sec. Sec. 4.40 or 4.50 of
this part, and must note on the application a description of the
specific personalized information that may change.
(c) Approval of personalized label. If the application complies with
the regulations, TTB will issue a certificate of label approval (COLA)
with a qualification allowing the personalization of labels. The
qualification will allow the certificate holder to add or change items
on the personalized label such as salutations, names, graphics, artwork,
congratulatory dates and names, or event dates without applying for a
new COLA. All of these items on personalized labels must comply with the
regulations of this part.
(d) Changes not allowed to personalized labels. Approval of an
application to personalize labels does not authorize the addition of any
information that discusses either the alcohol beverage or
characteristics of the alcohol beverage
[[Page 41]]
or that is inconsistent with or in violation of the provisions of this
part or any other applicable provision of law or regulations.
[T.D. TTB-158, 85 FR 18722, Apr. 2, 2020]
Subpart G_Advertising of Wine
Sec. 4.60 Application.
No person engaged in the business as a producer, rectifier, blender,
importer, or wholesaler of wine, directly or indirectly or through an
affiliate, shall publish or disseminate or cause to be published or
disseminated by radio or television broadcast, or in any newspaper,
periodical, or any publication, by any sign or outdoor advertisement, or
any other printed or graphic matter, any advertisement of wine, if such
advertising is in, or is calculated to induce sale in, interstate or
foreign commerce, or is disseminated by mail, unless such advertisement
is in conformity with Sec. Sec. 4.60-4.65 of this part. Provided, that
such sections shall not apply to outdoor advertising in place on
September 7, 1984, but shall apply upon replacement, restoration, or
renovation of any such advertising; and provided further, that such
sections shall not apply to a retailer or the publisher of any
newspaper, periodical, or other publication, or radio or television
broadcast, unless such retailer or publisher or radio or television
broadcaster is engaged in business as a producer, rectifier, blender,
importer, or wholesaler of wine, directly or indirectly, or through an
affiliate.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984]
Sec. 4.61 Definitions.
As used in Sec. Sec. 4.60 through 4.65 of this part, the term
advertisement includes any written or verbal statement, illustration, or
depiction which is in, or calculated to induce sales in, interstate or
foreign commerce, or is disseminated by mail, whether it appears in a
newspaper, magazine, trade booklet, menu, wine card, leaflet, circular,
mailer, book insert, catalog, promotional material, sales pamphlet, or
any written, printed, graphic, or other matter accompanying the
container, representations made on cases, billboard, sign, or other
outdoor display, public transit card, other periodical literature,
publication, or in a radio or television broadcast, or in any other
media; except that such term shall not include:
(a) Any label affixed to any container of wine, or any individual
covering, carton, or other wrapper of such container which constitute a
part of the labeling under provisions of Sec. Sec. 4.30-4.39 of this
part.
(b) Any editorial or other reading material (i.e., news release) in
any periodical or publication or newspaper for the publication of which
no money or valuable consideration is paid or promised, directly or
indirectly, by any permittee, and which is not written by or at the
direction of the permittee.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984, as amended by T.D. TTB-91, 76
FR 5477, Feb. 1, 2011]
Sec. 4.62 Mandatory statements.
(a) Responsible advertiser. The advertisement must display the
responsible advertiser's name, city, and State or the name and other
contact information (such as telephone number, website, or email
address) where the responsible advertiser may be contacted.
(b) Class, type, and distinctive designation. The advertisement
shall contain a conspicuous statement of the class, type, or distinctive
designation to which the product belongs, corresponding with the
statement of class, type, or distinctive designation which is required
to appear on the label of the product.
(c) Exception. (1) If an advertisement refers to a general wine line
or all of the wine products of one company, whether by the company name
or by the brand name common to all the wine in the line, the only
mandatory information necessary is the name and address of the
responsible advertiser. This exception does not apply where only one
type of wine is marketed under the specific brand name advertised.
(2) On consumer specialty items, the only information necessary is
the company name or brand name of the product.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-180, 49
FR 31672, Aug. 8, 1984; T.D. TTB-158, 85 FR 18722, Apr. 2, 2020]
[[Page 42]]
Sec. 4.63 Legibility of mandatory information.
(a) Statements required under Sec. Sec. 4.60 through 4.65 of this
part to appear in any written, printed, or graphic advertisement shall
be in lettering or type size sufficient to be conspicuous and readily
legible.
(b) In the case of signs, billboards, and displays the name and
address of the permittee responsible for the advertisement may appear in
type size of lettering smaller than the other mandatory information,
provided such information can be ascertained upon closer examination of
the sign or billboard.
(c) Mandatory information shall be so stated as to be clearly a part
of the advertisement and shall not be separated in any manner from the
remainder of the advertisement.
(d) Mandatory information for two or more products shall not be
stated unless clearly separated.
(e) Mandatory information shall be so stated in both the print and
audio-visual media that it will be readily apparent to the persons
viewing the advertisement.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984]
Sec. 4.64 Prohibited practices.
(a) Restrictions. The advertisement of wine shall not contain:
(1) Any statement that is false or untrue in any material
particular, or that, irrespective of falsity, directly, or by ambiguity,
omission, or inference, or by the addition of irrelevant, scientific or
technical matter tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's products.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards, or tests, irrespective of falsity, which the
appropriate TTB officer finds to be likely to mislead the consumer.
(5) Any statement, design, device, or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate TTB
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) Any statement that the wine is produced, blended, bottled,
packed, or sold under, or in accordance with, any municipal, State, or
Federal Government authorization, law, or regulations; and if a
municipal, State, or Federal permit number is stated, the permit number
shall not be accompanied by any additional statement relating thereto.
(7) Any statement of bonded winecellar and bonded winery numbers
unless stated in direct conjunction with the name and address of the
person operating such winery or storeroom. Statement of bonded
winecellar and bonded winery numbers may be made in the following form:
``Bonded Winecellar No. __,'' ``Bonded Winery No. __,'' ``B. W. C. No.
__,'' ``B. W. No. __.'' No additional reference thereto shall be made,
nor shall any use be made of such statement that may convey the
impression that the wine has been made or matured under Government
supervision or in accordance with Government specifications or
standards.
(8) Any statement, design, device, or representation which relates
to alcohol content or which tends to create the impression that a wine:
(i) Contains distilled spirits; or
(ii) Is comparable to a distilled spirit; or
(iii) Has intoxicating qualities.
However, if a statement of composition is required to appear as the
designation of a product not defined in these regulations, such
statement of composition may include a reference to the type of
distilled spirits contained therein. Further, an approved wine label,
which bears the statement of alcohol content may be depicted in any
advertising media, or an actual wine bottle showing the approved label
bearing the statement of alcoholic content may be displayed in any
advertising media.
(9) Any word in the brand name or class and type designation which
is the name of a distilled spirits product or which simulates, imitates,
or creates the impression that the wine so labeled is, or is similar to,
any product customarily made with a distilled spirits base.
[[Page 43]]
(b) Statements inconsistent with labeling. (1) Advertisements shall
not contain any statement concerning a brand or lot of wine that is
inconsistent with any statement on the labeling thereof.
(2) Any label depicted on a bottle in an advertisement shall be a
reproduction of an approved label.
(c) Statement of age. No statement of age or representation relative
to age (including words or devices in any brand name or mark) shall be
made, except (1) for vintage wine, in accordance with the provisions of
Sec. 4.27; (2) references in accordance with Sec. 4.38(f); or (3) use
of the word ``old'' as part of a brand name.
(d) Statement of bottling dates. The statement of any bottling date
shall not be deemed to be a representation relative to age, if such
statement appears without undue emphasis in the following form:
``Bottled in __'' (inserting the year in which the wine was bottled).
(e) Statement of miscellaneous dates. No date, except as provided in
paragraphs (c) and (d) of this section, with respect to statement of
vintage year and bottling date, shall be stated unless, in addition
thereto, and in direct conjunction therewith, in the same size and kind
of printing there shall be stated an explanation of the significance of
such date: Provided, That if any date refers to the date of
establishment of any business, such date shall be stated without undue
emphasis and in direct conjunction with the name of the person to whom
it refers.
(f) Flags, seals, coats of arms, crests, and other insignia. No
advertisement shall contain any statement, design, device, or pictorial
representation of or relating to, or capable of being construed as
relating to, the armed forces of the United States, or of the American
flag, or of any emblem, seal, insignia, or decoration associated with
such flag or armed forces; nor shall any advertisement contain any
statement, device, design, or pictorial representation of or concerning
any flag, seal, coat of arms, crest, or other insignia likely to mislead
the consumer to believe that the product has been endorsed, made, or
used by, or produced for, or under the supervision of, or in accordance
with the specifications of the government, organization, family, or
individual with whom such flag, seal, coat of arms, crests, or insignia
is associated.
(g) Statements indicative of origin. No statement, design, device,
or representation which tends to create the impression that the wine
originated in a particular place or region, shall appear in any
advertisement unless the label of the advertised product bears an
appellation of origin, and such appellation of origin appears in the
advertisement in direct conjunction with the class and type designation.
(h) Use of the word ``importer'' or similar words. The word importer
or similar words shall not appear in advertisements of domestic wine
except as part of the bona fide name of the permittee by or for whom, or
of a retailer for whom, such wine is bottled, packed or distributed:
Provided, That in all cases where such words are used as part of such
name, there shall be stated the words ``Product of the United States''
or similar words to negate any impression that the product is imported,
and such negating statements shall appear in the same size and kind of
printing as such name.
(i) Health-related statements--(1) Definitions. When used in this
paragraph (i), terms are defined as follows:
(i) Health-related statement means any statement related to health
and includes statements of a curative or therapeutic nature that,
expressly or by implication, suggest a relationship between the
consumption of alcohol, wine, or any substance found within the wine,
and health benefits or effects on health. The term includes both
specific health claims and general references to alleged health benefits
or effects on health associated with the consumption of alcohol, wine,
or any substance found within the wine, as well as health-related
directional statements. The term also includes statements and claims
that imply that a physical or psychological sensation results from
consuming the wine, as well as statements and claims of nutritional
value (e.g., statements of vitamin content). Statements concerning
caloric, carbohydrate, protein, and fat content do not constitute
nutritional claims about the product.
[[Page 44]]
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
wine, alcohol, or any substance found within the wine, to a disease or
health-related condition. Implied specific health claims include
statements, symbols, vignettes, or other forms of communication that
suggest, within the context in which they are presented, that a
relationship exists between wine, alcohol, or any substance found within
the wine, and a disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of wine or
alcohol consumption.
(2) Rules for advertising--(i) Health-related statements. In
general, advertisements may not contain any health-related statement
that is untrue in any particular or tends to create a misleading
impression as to the effects on health of alcohol consumption. TTB will
evaluate such statements on a case-by-case basis and may require as part
of the health-related statement a disclaimer or some other qualifying
statement to dispel any misleading impression conveyed by the health-
related statement. Such disclaimer or other qualifying statement must
appear as prominent as the health-related statement.
(ii) Specific health claims. A specific health claim will not be
considered misleading if it is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health claim
and in a manner as prominent as the specific health claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of wine or alcohol consumption is
presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of wine or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, the following disclaimer: ``This statement should not
encourage you to drink or increase your alcohol consumption for health
reasons;'' or
(2) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, some other qualifying statement that the appropriate TTB
officer finds is sufficient to dispel any misleading impression conveyed
by the health-related directional statement.
(j) Confusion of brands. Two or more different brands or lots of
wine shall not be advertised in one advertisement (or in two or more
advertisements in one issue of a periodical or newspaper, or in one
piece of other written, printed, or graphic matter) if the advertisement
tends to create the impression that representations made as to one brand
or lot apply to the other or others, and if as to such latter the
representations contravene any provision of Sec. Sec. 4.60 through 4.64
or are in any respect untrue.
(k) Deceptive advertising techniques. Subliminal or similar
techniques are prohibited. ``Subliminal or similar techniques,'' as used
in this part, refers to any device or technique that is used to convey,
or attempts to convey, a message to a person by means of images or
sounds of a very brief nature that cannot be perceived at a normal level
of awareness.
[T.D. 6521, 25 FR 13843, Dec. 29, 1960, as amended by T.D. 6976, 33 FR
15025, Oct. 8, 1968; T.D. ATF-53, 43 FR 37678, Aug. 23, 1978; T.D. ATF-
180, 49 FR 31672, Aug. 8, 1984; TTB T.D.-1, 68 FR 10103, Mar. 3, 2003]
Sec. 4.65 Comparative advertising.
(a) General. Comparative advertising shall not be disparaging of a
competitor's product.
[[Page 45]]
(b) Taste tests. (1) Taste test results may be used in
advertisements comparing competitors' products unless they are
disparaging, deceptive, or likely to mislead the consumer.
(2) The taste test procedure used shall meet scientifically accepted
procedures. An example of a scientifically accepted procedure is
outlined in the Manual on Sensory Testing Methods, ASTM Special
Technical Publication 434, published by the American Society for Testing
and Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103, ASTM,
1968, Library of Congress Catalog Card Number 68-15545.
(3) A statement shall appear in the advertisement providing the name
and address of the testing administrator.
[T.D. ATF-180, 49 FR 31673, Aug. 8, 1984, as amended by T.D. TTB-91, 76
FR 5477, Feb. 1, 2011]
Subpart H_Standards of Fill for Wine
Sec. 4.70 Application.
(a) Except as provided in paragraph (b) of this section, no person
engaged in business as a producer, rectifier, blender, importer, or
wholesaler of wine, directly or indirectly or through an affiliate,
shall sell or ship or deliver for sale or shipment, or otherwise
introduce in interstate or foreign commerce, or receive therein, or
remove from customs custody, any wine unless such wine is bottled or
packed in the standard wine containers herein prescribed.
(b) Sections 4.71 and 4.72 of this part do not apply to:
(1) Sake;
(2) Wine packed in containers of 18 liters or more;
(3) Imported wine in the original containers in which entered
customs custody if the wine was bottled or packed before January 1,
1979;
(4) Imported wine bottled or packed before January 1, 1979, and
certified as to such in a statement, available to the appropriate TTB
officer upon request, signed by an official duly authorized by the
appropriate foreign government; or
(5) Wine domestically bottled or packed, either in or out of customs
custody, before October 24, 1943, if the container, or the label on the
container, bears a conspicuous statement of the net contents, and if the
actual capacity of the container is not substantially less than the
apparent capacity upon visual examination under ordinary conditions of
purchase or use.
(c) Section 4.72 of this part does not apply to wine domestically
bottled or packed, either in or out of customs custody, before January
1, 1979, if the wine was bottled or packed according to the standards of
fill (listed in ounces, quarts, and gallons) prescribed by regulation
before that date.
(Approved by the Office of Management and Budget under control number
1513-0064)
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981; T.D. TTB-
91, 76 FR 5477, Feb. 1, 2011; T.D. TTB-145, 81 FR 94197, Dec. 22, 2016]
Sec. 4.71 Standard wine containers.
(a) A standard wine container shall be made, formed and filled to
meet the following specifications:
(1) Design. It shall be so made and formed as not to mislead the
purchaser. Wine containers shall be held (irrespective of the
correctness of the net contents specified on the label) to be so made
and formed as to mislead the purchaser if the actual capacity is
substantially less than the apparent capacity upon visual examination
under ordinary conditions of purchase or use; and
(2) Fill. It shall be so filled as to contain the quantity of wine
specified in one of the standards of fill prescribed in Sec. 4.72; and
(3) Headspace. It must be designed and filled so that the headspace,
or empty space between the top of the wine and the top of the container,
meets the following specifications:
(i) 187 mL or more. If the net contents stated on the label are 187
milliliters or more, the headspace must not exceed 6 percent of the
container's total capacity after closure.
(ii) Less than 187 mL. If the net contents stated on the label are
less than 187 milliliters, except as described in (a)(3)(iii) of this
section, the headspace must not exceed 10 percent of the container's
total capacity after closure.
(iii) Exception. Wine bottled in clear containers with the contents
clearly
[[Page 46]]
visible, with a net content stated on the label of 100 milliliters or
less, may have a headspace that does not exceed 30 percent of the
container's total capacity after closure.
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974, as amended by T.D. TTB-91, 76
FR 5477, Feb. 1, 2011; T.D. TTB-165, 85 FR 85520, Dec. 29, 2020]
Sec. 4.72 Metric standards of fill.
(a) Authorized standards of fill. The standards of fill for wine are
the following:
3 liters. 355 milliliters
1.5 liters. 250 milliliters.
1 liter. 200 milliliters.
750 milliliters. 187 milliliters.
500 milliliters. 100 milliliters.
375 milliliters. 50 milliliters.
(b) Sizes larger than 3 liters. Wine may be bottled or packed in
containers of 4 liters or larger if the containers are filled and
labeled in quantities of even liters (4 liters, 5 liters, 6 liters,
etc.).
(c) Tolerances. The tolerances in fill are the same as are allowed
by Sec. 4.37 in respect to statement of net contents on labels.
[T.D. ATF-12, 39 FR 45223, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981; T.D. ATF-
303, 55 FR 42713, Oct. 23, 1990. Redesignated by T.D. ATF-953, 68 FR
39455, July 2, 2003; T.D. TTB-165, 85 FR 85520, Dec. 29, 2020]
Subpart I_General Provisions
Sec. 4.80 Exports.
The regulations in this part shall not apply to wine exported in
bond.
Subpart J_American Grape Variety Names
Source: T.D. ATF-370, 61 FR 539, Jan. 8, 1996, unless otherwise
noted.
Sec. 4.91 List of approved names.
The following grape variety names have been approved by the
Administrator for use as type designations for American wines. When more
than one name may be used to identify a single variety of grape, the
synonym is shown in parentheses following the grape variety names. Grape
variety names may appear on labels of wine in upper or in lower case,
and may be spelled with or without the hyphens or diacritic marks
indicated in the following list.
Aglianico
Agawam
Albari[ntilde]o (Alvarinho)
Albemarle
Aleatico
Alicante Bouschet
Aligot[eacute]
Alvarelh[atilde]o
Alvarinho (Albari[ntilde]o)
Arneis
Aurore
Auxerrois
Bacchus
Baco blanc
Baco noir
Barbera
Beacon
Beclan
Bellandais
Beta
Biancolella
Black Corinth
Black Malvoisie (Cinsaut)
Black Monukka
Black Muscat (Muscat Hamburg)
Black Pearl
Blanc Du Bois
Blaufr[auml]nkish (Lemberger, Limberger)
Blue Eye
Bonarda
Bountiful
Brianna
Burdin 4672
Burdin 5201
Burdin 11042
Burgaw
Burger
Cabernet Diane
Cabernet Dor[eacute]
Cabernet franc
Cabernet Pfeffer
Cabernet Sauvignon
Calzin
Campbell Early (Island Belle)
Canada Muscat
Canaiolo (Canaiolo Nero)
Canaiolo Nero (Canaiolo)
Captivator
Carignan (Carignane)
Carignane (Carignan)
Carlos
Carmen[egrave]re
Carmine
Carnelian
Cascade
Castel 19-637
Catawba
Cayuga White
Centurion
Chambourcin
Chancellor
Charbono
Chardonel
Chardonnay
[[Page 47]]
Chasselas dor[eacute]
Chelois
Chenin blanc
Chief
Chowan
Cinsaut (Black Malvoisie)
Clairette blanche
Clinton
Colombard (French Colombard)
Colobel
Corot noir
Cortese
Corvina
Concord
Conquistador
Couderc noir
Counoise
Cowart
Creek
Crimson Cabernet
Cynthiana (Norton)
Dearing
De Chaunac
Delaware
Diamond
Dixie
Dolcetto
Doreen
Dornfelder
Dulcet
Durif (Petite Sirah)
Dutchess
Early Burgundy
Early Muscat
Edelweiss
Eden
Ehrenfelser
Ellen Scott
Elvira
Emerald Riesling
Erbaluce
Favorite
Feher Szagos
Fern[atilde]o Pires
Fern Munson
Fiano
Flame Tokay
Flora
Florental
Folle blanche
Forastera
Fredonia
Freedom
Freisa
French Colombard (Colombard)
Frontenac
Frontenac gris
Fry
Fum[eacute] blanc (Sauvignon blanc)
Furmint
Gamay noir
Garnacha (Grenache, Grenache noir)
Garnacha blanca (Grenache blanc)
Garronet
Geneva Red 7
Gew[uuml]rztraminer
Gladwin 113
Glennel
Gold
Golden Isles
Golden Muscat
Graciano
Grand Noir
Green Hungarian
Grenache (Garnacha, Grenache noir)
Grenache blanc (Garnacha blanca)
Grenache noir (Garnacha, Grenache)
Grignolino
Grillo
Gros Verdot
Gr[uuml]ner Veltliner
Helena
Herbemont
Higgins
Horizon
Hunt
Iona
Interlaken
Isabella
Island Belle (Campbell Early)
Ives
James
Jewell
Joannes Seyve 12-428
Joannes Seyve 23-416
Kerner
Kay Gray
Kleinberger
La Crescent
LaCrosse
Lagrein
Lake Emerald
Lambrusco
Landal
Landot noir
Lenoir
L[eacute]on Millot
Lemberger (Blaufr[auml]nkish, Limberger)
Limberger (Blaufr[auml]nkisch, Lemberger)
Louise Swenson
Lucie Kuhlmann
Madeline Angevine
Magnolia
Magoon
Malbec
Malvasia bianca (Moscato greco)
Mammolo
Mar[eacute]chal Foch
Marquette
Marsanne
Mataro (Monastrell, Mourv[egrave]dre)
Melody
Melon (Melon de Bourgogne)
Melon de Bourgogne (Melon)
Merlot
Meunier (Pinot Meunier)
Mish
Mission
Missouri Riesling
Monastrell (Mataro, Mourv[egrave]dre)
Mondeuse (Refosco)
Montefiore
Montepulciano
Moore Early
[[Page 48]]
Morio-Muskat
Moscato greco (Malvasia bianca)
Mourv[egrave]dre (Mataro)
Mourv[egrave]dre (Mataro, Monastrell)
M[uuml]ller-Thurgau
M[uuml]nch
Muscadelle
Muscat blanc (Muscat Canelli)
Muscat Canelli (Muscat blanc)
Muscat du Moulin
Muscat Hamburg (Black Muscat)
Muscat of Alexandria
Muscat Ottonel
Naples
Nebbiolo
N[eacute]grette
Negrara
Negro Amaro
Nero d'Avola
New York Muscat
Niagara
Noah
Noble
Noiret
Norton (Cynthiana)
Ontario
Orange Muscat
Palomino
Pamlico
Pedro Ximenes
Peloursin
Petit Bouschet
Petit Manseng
Petit Verdot
Petite Sirah (Durif)
Peverella
Picpoul (Piquepoul blanc)
Pinotage
Pinot blanc
Pinot Grigio (Pinot gris)
Pinot gris (Pinot Grigio)
Pinot Meunier (Meunier)
Pinot noir
Piquepoul blanc (Picpoul)
Prairie Star
Precoce de Malingre
Pride
Primitivo
Princess
Rayon d'Or
Ravat 34
Ravat 51 (Vignoles)
Ravat noir
Redgate
Refosco (Mondeuse)
Regale
Reliance
Riesling (White Riesling)
Rkatsiteli (Rkatziteli)
Rkatziteli (Rkatsiteli)
Roanoke
Rondinella
Rosette
Roucaneuf
Rougeon
Roussanne
Royalty
Rubired
Ruby Cabernet
St. Croix
St. Laurent
St. Pepin
St. Vincent
Sabrevois
Sagrantino
Saint Macaire
Salem
Salvador
Sangiovese
Sauvignon blanc (Fum[eacute] blanc)
Sauvignon gris
Scarlet
Scheurebe
S[eacute]millon
Sereksiya
Seyval (Seyval blanc)
Seyval blanc (Seyval)
Shiraz (Syrah)
Siegerrebe
Siegfried
Southland
Souz[atilde]o
Steuben
Stover
Sugargate
Sultanina (Thomspon Seedless)
Summit
Suwannee
Sylvaner
Symphony
Syrah (Shiraz)
Swenson Red
Tannat
Tarheel
Taylor
Tempranillo (Valdepe[ntilde]as)
Teroldego
Thomas
Thompson Seedless (Sultanina)
Tinta Madeira
Tinto c[atilde]o
Tocai Friulano
Topsail
Touriga
Traminer
Traminette
Trebbiano (Ugni blanc)
Trousseau
Trousseau gris
Ugni blanc (Trebbiano)
Valdepe[ntilde]as (Tempranillo)
Valdigui[eacute]
Valerien
Valiant
Valvin Muscat
Van Buren
Veeblanc
Veltliner
Ventura
Verdelet
Verdelho
Vergennes
Vermentino
Vidal blanc
[[Page 49]]
Vignoles (Ravat 51)
Villard blanc
Villard noir
Vincent
Viognier
Vivant
Welsch Rizling
Watergate
Welder
White Riesling (Riesling)
Wine King
Yuga
Zinfandel
Zinthiana
Zweigelt
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-417, 64
FR 49388, Sept. 13, 1999; T.D. ATF-433, 65 FR 78096, Dec. 14, 2000; T.D.
ATF-466, 66 FR 49280, Sept. 27, 2001; T.D. ATF-475, 67 FR 11918, Mar.
18, 2002; T.D. ATF-481, 67 FR 56481, Sept. 4, 2002; T.D. TTB-95, 76 FR
66628, Oct. 25, 2011]
Sec. 4.92 Alternative names permitted for temporary use.
The following alternative names shown in the left column may be used
as the type designation for American wine in lieu of the name of the
grape variety shown in the right column. Alternative names listed in the
left column may only be used for wine bottled prior to the date
indicated.
(a) Wines bottled prior to January 1, 1997.
Alternative Name/Name
Baco 1--Baco noir
Baco 22A--Baco blanc
Bastardo--Trousseau
Black Spanish--Lenoir
Burdin 7705--Florental
Cayuga--Cayuga White
Chancellor noir--Chancellor
Chasselas--Chasselas dor[eacute]
Chevrier--S[eacute]millon
Chelois noir--Chelois
Couderc 71-20--Couderc noir
Couderc 299-35--Muscat du Moulin
Foch--Mar[eacute]chal Foch
Franken Riesling--Sylvaner
Gutedel--Chasselas dor[eacute]
Ives Seedling--Ives
Jacquez--Lenoir
Joannes Seyve 26-205--Chambourcin
Landot 244--Landal
Landot 4511--Landot noir
Millot--Leon Millot
Moore's Diamond--Diamond
Norton Seedling--Norton
Pfeffer Cabernet--Cabernet Pfeffer
Pineau de la Loire--Chenin blanc
Pinot Chardonnay--Chardonnay
Ravat 262--Ravat noir
Rul[auml]nder--Pinot gris
Seibel 128--Salvador
Seibel 1000--Rosette
Seibel 4986--Rayon d'Or
Seibel 5279--Aurore
Seibel 5898--Rougeon
Seibel 7053--Chancellor
Seibel 8357--Colobel
Seibel 9110--Verdelet
Seibel 9549--De Chaunac
Seibel 10878--Chelois
Seibel 13053--Cascade
Seibel 14596--Bellandais
Seyve-Villard 5-276--Seyval
Seyve-Villard 12-309--Roucaneuf
Seyve-Villard 12-375--Villard blanc
Seyve-Villard 18-283--Garronet
Seyve-Villard 18-315--Villard noir
Seyve-Villard 23-410--Valerien
Sweetwater--Chasselas dor[eacute]
Verdelet blanc--Verdelet
Vidal 256--Vidal blanc
Virginia Seedling--Norton
W[auml]lschriesling--Welsch Rizling
Welschriesling--Welsch Rizling
(b) Wines bottled prior to January 1, 1999.
Alternative Name/Name
Cabernet--Cabernet Sauvignon
Grey Riesling--Trousseau gris
Muscat Frontignan--Muscat blanc
Muscat Pantelleria--Muscat of Alexandria
Napa Gamay--Valdiqui[eacute]
Pinot Saint George--N[eacute]grette
Sauvignon vert--Muscadelle
(c) Wines bottled prior to January 1, 2006.
Alternative Name/Name
Johannisberg Riesling--Riesling
(d) Wines bottled prior to October 29, 2012.
Alternative Name/Name
Agwam--Agawam
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-417, 64
FR 49388, Sept. 13, 1999; T.D. TTB-95, 76 FR 66629, Oct. 27, 2011]
Sec. 4.93 Approval of grape variety names.
(a) Any interested person may petition the Administrator for the
approval of a grape variety name. The petition may be in the form of a
letter and should provide evidence of the following--
(1) Acceptance of the new grape variety,
[[Page 50]]
(2) The validity of the name for identifying the grape variety,
(3) That the variety is used or will be used in winemaking, and
(4) That the variety is grown and used in the United States.
(b) For the approval of names of new grape varieties, documentation
submitted with the petition to establish the items in paragraph (a) of
this section may include--
(1) reference to the publication of the name of the variety in a
scientific or professional journal of horticulture or a published report
by a professional, scientific or winegrowers' organization,
(2) reference to a plant patent, if so patented, and
(3) information pertaining to the commercial potential of the
variety, such as the acreage planted and its location or market studies.
(c) The Administrator will not approve a grape variety name if:
(1) The name has previously been used for a different grape variety;
(2) The name contains a term or name found to be misleading under
Sec. 4.39; or
(3) The name of a new grape variety contains the term ``Riesling.''
(d) For new grape varieties developed in the United States, the
Administrator may determine if the use of names which contain words of
geographical significance, place names, or foreign words are misleading
under Sec. 4.39. The Administrator will not approve the use of a grape
variety name found to be misleading.
(e) The Administrator shall publish the list of approved grape
variety names at least annually in the Federal Register.
(Approved by the Office of Management and Budget under Control Number
1512-0513)
Subpart K_Use of the Term ``Organic''
Sec. 4.101 Use of the term ``organic.''
(a) Use of the term ``organic'' is optional and is treated as
``additional information on labels'' under Sec. 4.38(f).
(b) Any use of the term ``organic'' on a wine label or in
advertising of wine must comply with the United States Department of
Agriculture's (USDA) National Organic Program rules (7 CFR part 205) as
interpreted by the USDA.
(c) This section applies to labels and advertising that use the term
``organic'' on and after October 21, 2002.
[T.D. ATF-483, 67 FR 62858, Oct. 8, 2002]
PART 5_LABELING AND ADVERTISING OF DISTILLED SPIRITS--Table of Contents
Sec.
5.0 Scope.
Subpart A_General Provisions
5.1 Definitions.
5.2 Territorial extent.
5.3 General requirements and prohibitions under the FAA Act.
5.4-5.6 [Reserved]
5.7 Other TTB labeling regulations that apply to distilled spirits.
5.8 Distilled spirits for export.
5.9 [Reserved]
5.10 Other related regulations.
5.11 Forms.
5.12 Delegations of the Administrator.
Subpart B_Certificates of Label Approval and Certificates of Exemption
From Label Approval
Requirements for Distilled Spirits Bottled in the United States
5.21 Requirement for certificates of label approval (COLAs) for
distilled spirits bottled in the United States.
5.22 Rules regarding certificates of label approval (COLAs) for
distilled spirits bottled in the United States.
5.23 Application for exemption from label approval for distilled spirits
bottled in the United States.
Requirements for Distilled Spirits Imported in Containers
5.24 Certificates of label approval (COLAs) for distilled spirits
imported in containers.
5.25 Rules regarding certificates of label approval (COLAs) for
distilled spirits imported in containers.
Administrative Rules
5.27 Presenting certificates of label approval (COLAs) to Government
officials.
5.28 Formulas, samples, and documentation.
5.29 Personalized labels.
[[Page 51]]
5.30 Certificates of age and origin for imported spirits.
Subpart C_Alteration of Labels, Relabeling, and Adding Information to
Containers
5.41 Alteration of labels.
5.42 Authorized relabeling activities by distillers and importers.
5.43 Relabeling activities that require separate written authorization
from TTB.
5.44 Adding a label or other information to a container that identifies
the wholesaler, retailer, or consumer.
Subpart D_Label Standards
5.51 Requirement for firmly affixed labels.
5.52 Legibility and other requirements for mandatory information on
labels.
5.53 Minimum type size of mandatory information.
5.54 Visibility of mandatory information.
5.55 Language requirements.
5.56 Additional information.
Subpart E_Mandatory Label Information
5.61 What constitutes a label for purposes of mandatory information.
5.62 Packaging (cartons, coverings, and cases).
5.63 Mandatory label information.
5.64 Brand name.
5.65 Alcohol content.
5.66 Name and address for domestically bottled distilled spirits that
were wholly made in the United States.
5.67 Name and address for domestically bottled distilled spirits that
were bottled after importation.
5.68 Name and address for distilled spirits that were imported in a
container.
5.69 Country of origin.
5.70 Net contents.
5.71 Neutral spirits and name of commodity.
5.72 Coloring materials.
5.73 Treatment of whisky or brandy with wood.
5.74 Statements of age, storage, and percentage.
Subpart F_Restricted Labeling Statements
5.81 General.
Food Allergen Labeling
5.82 Voluntary disclosure of major food allergens.
5.83 Petitions for exemption from major food allergen labeling.
Production Claims
5.84 Use of the term ``organic.''
5.85 [Reserved]
5.86 [Reserved]
Other Label Terms
5.87 ``Barrel Proof'' and similar terms.
5.88 Bottled in bond.
5.89 Multiple distillation claims.
5.90 Terms related to Scotland.
5.91 Use of the term ``pure.''
Subpart G_Prohibited Labeling Practices
5.101 General.
5.102 False or untrue statements.
5.103 Obscene or indecent depictions.
Subpart H_Labeling Practices That Are Prohibited If They Are Misleading
5.121 General.
5.122 Misleading statements or representations.
5.123 Guarantees.
5.124 Disparaging statements.
5.125 Tests or analyses.
5.126 Depictions of government symbols.
5.127 [Reserved]
5.128 [Reserved]
5.129 Health-related statements.
5.130 Appearance of endorsement.
Subpart I_Standards of Identity for Distilled Spirits
5.141 The standards of identity in general.
5.142 Neutral spirits or alcohol.
5.143 Whisky.
5.144 Gin.
5.145 Brandy.
5.146 Blended applejack.
5.147 Rum.
5.148 Agave spirits.
5.149 [Reserved].
5.150 Cordials and liqueurs.
5.151 Flavored spirits.
5.152 Imitations.
5.153 [Reserved]
5.154 Rules for geographical designations.
5.155 Alteration of class and type.
5.156 Distilled spirits specialty products.
5.157-5.165 [Reserved]
5.166 Statement of composition.
Subpart J_Formulas
5.191 Application.
5.192 Formula requirements.
5.193 Operations requiring formulas.
5.194 Adoption of predecessor's formulas.
Subpart K_Standards of Fill and Authorized Container Sizes
5.201 General.
5.202 Standard liquor containers.
5.203 Standards of fill (container sizes).
5.204 [Reserved]
5.205 Distinctive liquor bottle approval.
[[Page 52]]
Subpart L_[Reserved]
5.211 [Reserved]
5.212 [Reserved]
Subpart M_Penalties and Compromise of Liability
5.221 Criminal penalties.
5.222 Conditions of basic permit.
5.223 Compromise.
Subpart N_Advertising of Distilled Spirits
5.231 Application.
5.232 Definitions.
5.233 Mandatory statements.
5.234 Legibility of mandatory information.
5.235 Prohibited practices.
5.236 Comparative advertising.
Subpart O_Paperwork Reduction Act
5.241 OMB control numbers assigned under the Paperwork Reduction Act.
Authority: 26 U.S.C. 5301, 7805, 27 U.S.C. 205 and 207.
Source: T.D. TTB-176, 87 7579, Feb. 9, 2022, unless otherwise noted.
Sec. 5.0 Scope.
This part sets forth requirements that apply to the labeling and
packaging of distilled spirits in containers, including requirements for
label approval and rules regarding mandatory, regulated, and prohibited
labeling statements. This part also sets forth requirements that apply
to the advertising of distilled spirits.
Subpart A_General Provisions
Sec. 5.1 Definitions.
When used in this part and on forms prescribed under this part, the
following terms have the meaning assigned to them in this section,
unless the terms appear in a context that requires a different meaning.
Any other term defined in the Federal Alcohol Administration Act (FAA
Act) and used in this part has the same meaning assigned to it by the
FAA Act.
Administrator. The Administrator, Alcohol and Tobacco Tax and Trade
Bureau, Department of the Treasury.
Advertisement or Advertising. See Sec. 5.232 for meaning of these
terms as used in subpart N of this part.
Age. The length of time during which, after distillation and before
bottling, the distilled spirits have been stored in oak barrels. ``Age''
for bourbon whisky, rye whisky, wheat whisky, malt whisky, or rye malt
whisky, and straight whiskies other than straight corn whisky, means the
period the whisky has been stored in charred new oak barrels.
American proof. See Proof.
Appropriate TTB officer. An officer or employee of the Alcohol and
Tobacco Tax and Trade Bureau (TTB) authorized to perform any function
relating to the administration or enforcement of this part by the
current version of TTB Order 1135.5, Delegation of the Administrator's
Authorities in 27 CFR part 5, Labeling and Advertising of Distilled
Spirits.
Bottler. Any distiller or processor of distilled spirits who places
distilled spirits in containers.
Brand name. The name under which a distilled spirit or a line of
distilled spirits is sold.
Certificate holder. The permittee or brewer whose name, address, and
basic permit number, plant registry number, or brewer's notice number
appears on an approved TTB Form 5100.31.
Certificate of exemption from label approval. A certificate issued
on TTB Form 5100.31, which authorizes the bottling of wine or distilled
spirits, under the condition that the product will under no
circumstances be sold, offered for sale, shipped, delivered for
shipment, or otherwise introduced by the applicant, directly or
indirectly, into interstate or foreign commerce.
Certificate of label approval (COLA). A certificate issued on TTB
Form 5100.31 that authorizes the bottling of wine, distilled spirits, or
malt beverages, or the removal of bottled wine, distilled spirits, or
malt beverages from customs custody for introduction into commerce, as
long as the product bears labels identical to the labels appearing on
the face of the certificate, or labels with changes authorized by TTB on
the certificate or otherwise (such as through the issuance of public
guidance available on the TTB website at https://www.ttb.gov).
Container. Any can, bottle, box, cask, keg, or other closed
receptacle, in any size or material, which is for use in the sale of
distilled spirits at retail. See
[[Page 53]]
subpart K of this part for rules regarding authorized standards of fill
for containers.
Customs officer. An officer of U.S. Customs and Border Protection
(CBP) or any agent or other person authorized by law to perform the
duties of such an officer.
Distilled spirits. Ethyl alcohol, hydrated oxide of ethyl, spirits
of wine, whisky, rum, brandy, gin, and other distilled spirits,
including all dilutions and mixtures thereof, for nonindustrial use. The
term ``distilled spirits'' does not include mixtures containing wine,
bottled at 48 degrees of proof (24 percent alcohol by volume) or less,
if the mixture contains more than 50 percent wine on a proof gallon
basis. The term ``distilled spirits'' also does not include products
containing less than one degree of proof (0.5 percent alcohol by
volume).
Distilling season. The period from January 1 through June 30, which
is the spring distilling season, or the period from July 1 through
December 31, which is the fall distilling season.
Distinctive or fanciful name. A descriptive name or phrase chosen to
identify a distilled spirits product on the label. It does not include a
brand name, class or type designation, or statement of composition.
FAA Act. The Federal Alcohol Administration Act.
Gallon. A U.S. gallon of 231 cubic inches at 60 degrees Fahrenheit.
Grain. Includes cereal grains and the seeds of the pseudocereals
amaranth, buckwheat, and quinoa.
In bulk. In barrels or other receptacles having a capacity in excess
of 1 wine gallon (3.785 liters).
Interstate or foreign commerce. Commerce between any State and any
place outside of that State or commerce within the District of Columbia
or commerce between points within the same State but through any place
outside of that State.
Liter or litre. A metric unit of capacity equal to 1,000 cubic
centimeters or 1,000 milliliters (mL) of distilled spirits at 15.56
degrees Celsius (60 degrees Fahrenheit), and equivalent to 33.814 U.S.
fluid ounces.
Net contents. The amount, by volume, of distilled spirits held in a
container.
Permittee. Any person holding a basic permit under the FAA Act.
Person. Any individual, corporation, partnership, association,
joint-stock company, business trust, limited liability company, or other
form of business enterprise, including a receiver, trustee, or
liquidating agent and including an officer or employee of any agency of
a State or political subdivision of a State.
Produced at or distilled at. When used with reference to specific
degrees of proof of a distilled spirits product, the phrases ``produced
at'' and ``distilled at'' mean the composite proof of the distilled
spirits after completion of distillation and before reduction in proof,
if any.
Proof. The ethyl alcohol content of a liquid at 60 degrees
Fahrenheit, stated as twice the percentage of ethyl alcohol by volume.
Proof gallon. A gallon of liquid at 60 degrees Fahrenheit that
contains 50 percent by volume of ethyl alcohol having a specific gravity
of 0.7939 at 60 degrees Fahrenheit, referred to water at 60 degrees
Fahrenheit as unity, or the alcoholic equivalent thereof.
Responsible advertiser. The permittee responsible for the
publication or broadcast of an advertisement.
Spirits. See Distilled spirits.
State. One of the 50 States of the United States, the District of
Columbia, or the Commonwealth of Puerto Rico.
TTB. The Alcohol and Tobacco Tax and Trade Bureau of the Department
of the Treasury.
United States (U.S.). The 50 States, the District of Columbia, and
the Commonwealth of Puerto Rico.
Sec. 5.2 Territorial extent.
The provisions of this part apply to the 50 States, the District of
Columbia, and the Commonwealth of Puerto Rico.
Sec. 5.3 General requirements and prohibitions under the FAA Act.
(a) Certificates of label approval (COLAs). Subject to the
requirements and exceptions set forth in the regulations in subpart B of
this part, any bottler of distilled spirits, and any person who removes
distilled spirits in containers from customs custody for
[[Page 54]]
sale or any other commercial purpose, is required to first obtain from
TTB a COLA covering the label(s) on each container.
(b) Alteration, mutilation, destruction, obliteration, or removal of
labels. Subject to the requirements and exceptions set forth in the
regulations in subpart C of this part, it is unlawful to alter,
mutilate, destroy, obliterate, or remove labels on distilled spirits
containers. This prohibition applies to any person, including retailers,
holding distilled spirits for sale in interstate or foreign commerce or
any person holding distilled spirits for sale after shipment in
interstate or foreign commerce.
(c) Labeling requirements for distilled spirits. It is unlawful for
any person engaged in business as a distiller, rectifier (processor),
importer, wholesaler, bottler, or warehouseman and bottler, directly or
indirectly, or through an affiliate, to sell or ship, or deliver for
sale or shipment, or otherwise introduce or receive in interstate or
foreign commerce, or remove from customs custody, any distilled spirits
in containers unless such containers are marked, branded, labeled, and
packaged in conformity with the regulations in this part.
(d) Labeled in accordance with this part. In order to be labeled in
accordance with the regulations in this part, a container of distilled
spirits must be in compliance with the following requirements:
(1) It must bear one or more label(s) meeting the standards for
``labels'' set forth in subpart D of this part;
(2) One or more of the labels on the container must include the
mandatory information set forth in subpart E of this part;
(3) Claims on any label, container, or packaging (as defined in
Sec. 5.81) must comply with the rules for restricted label statements,
as applicable, set forth in subpart F of this part;
(4) Statements or any other representations on any label, container,
or packaging (as defined in Sec. Sec. 5.101 and 5.121) may not violate
the regulations in subparts G and H of this part regarding certain
practices on labeling of distilled spirits; and
(5) The class and type designation on any label, as well as any
designation appearing on containers or packaging, must comply with the
standards of identity set forth in subpart I of this part.
(e) Packaged in accordance with this part. In order to be packaged
in accordance with the regulations in this part, the distilled spirits
must be bottled in authorized standards of fill in containers that meet
the requirements of subpart K of this part.
Sec. Sec. 5.4-5.6 [Reserved]
Sec. 5.7 Other TTB labeling regulations that apply to distilled spirits.
In addition to the regulations in this part, distilled spirits must
also comply with the following TTB labeling regulations:
(a) Health warning statement. Alcoholic beverages, including
distilled spirits, that contain at least 0.5 percent alcohol by volume,
must be labeled with a health warning statement, in accordance with the
Alcoholic Beverage Labeling Act of 1988 (ABLA). The regulations
implementing the ABLA are contained in 27 CFR part 16.
(b) Internal Revenue Code requirements. The labeling and marking
requirements for distilled spirits under the Internal Revenue Code are
found in 27 CFR part 19, subpart T (for domestic products) and 27 CFR
part 27, subpart E (for imported products).
Sec. 5.8 Distilled spirits for export.
The regulations in this part shall not apply to distilled spirits
exported in bond.
Sec. 5.9 [Reserved]
Sec. 5.10 Other related regulations.
(a) TTB regulations. Other TTB regulations that relate to distilled
spirits are listed in paragraphs (a)(1) through (8) of this section:
(1) 27 CFR part 1--Basic Permit Requirements under the Federal
Alcohol Administration Act, Nonindustrial Use of Distilled Spirits and
Wine, Bulk Sales and Bottling of Distilled Spirits;
(2) 27 CFR part 13--Labeling Proceedings;
(3) 27 CFR part 16--Alcoholic Beverage Health Warning Statement;
[[Page 55]]
(4) 27 CFR part 19--Distilled Spirits Plants;
(5) 27 CFR Part 26--Liquors and Articles from Puerto Rico and the
Virgin Islands;
(6) 27 CFR Part 27--Importation of Distilled Spirits, Wines, and
Beer;
(7) 27 CFR Part 28--Exportation of Alcohol; and
(8) 27 CFR Part 71--Rules of Practice in Permit Proceedings.
(b) Other Federal Regulations. The regulations listed in paragraphs
(b)(1) through (8) of this section issued by other Federal agencies also
may apply:
(1) 7 CFR Part 205--National Organic Program;
(2) 19 CFR Part 11--Packing and Stamping; Marking;
(3) 19 CFR Part 102--Rules of Origin;
(4) 19 CFR Part 134--Country of Origin Marking;
(5) 21 CFR Part 1--General Enforcement Regulations, Subpart H,
Registration of Food Facilities, and Subpart I, Prior Notice of Imported
Food;
(6) 21 CFR Parts 70-82, which pertain to food and color additives;
(7) 21 CFR Part 110--Current Good Manufacturing Practice in
Manufacturing, Packing, or Holding Human Food; and
(8) 21 CFR Parts 170-189, which pertain to food additives and
secondary direct food additives.
Sec. 5.11 Forms.
(a) General. TTB prescribes and makes available all forms required
by this part. Any person completing a form must provide all of the
information required by each form as indicated by the headings on the
form and the instructions for the form. Each form must be filed in
accordance with this part and the instructions for the form.
(b) Electronically filing forms. The forms required by this part can
be filed electronically by using TTB's online filing systems: COLAs
Online and Formulas Online. Anyone who intends to use one of these
online filing systems must first register to use the system by accessing
the TTB website at https://www.ttb.gov.
(c) Obtaining paper forms. Forms required by this part are available
for printing through the TTB website (https://www.ttb.gov) or by mailing
a request to the Alcohol and Tobacco Tax and Trade Bureau, National
Revenue Center, 550 Main Street, Room 8002, Cincinnati, OH 45202.
Sec. 5.12 Delegations of the Administrator.
Most of the regulatory authorities of the Administrator contained in
this part are delegated to ``appropriate TTB officers.'' To find out
which officers have been delegated specific authorities, see the current
version of TTB Order 1135.5, Delegation of the Administrator's
Authorities in 27 CFR part 5, Labeling and Advertising of Distilled
Spirits. Copies of this order can be obtained by accessing the TTB
website (https://www.ttb.gov) or by mailing a request to the Alcohol and
Tobacco Tax and Trade Bureau, National Revenue Center, 550 Main Street,
Room 8002, Cincinnati, OH 45202.
Subpart B_Certificates of Label Approval and Certificates of Exemption
from Label Approval
Requirements for Distilled Spirits Bottled in the United States
Sec. 5.21 Requirement for certificates of label approval (COLAs)
for distilled spirits bottled in the United States.
(a) Applicability. The certificate of label approval (COLA)
requirements described in this section apply to distilled spirits
bottled in the United States, outside of customs custody.
(b) Distilled spirits shipped or sold in interstate commerce. No
person may bottle distilled spirits without first applying for and
obtaining a COLA issued by the appropriate TTB officer. This requirement
applies to distilled spirits produced and bottled in the United States
and to distilled spirits imported in bulk, regardless of where produced,
and bottled in the United States. Bottlers may obtain an exemption from
this requirement only if they satisfy the conditions set forth in Sec.
5.23.
(c) Evidence of COLA. Upon request by the appropriate TTB officer, a
bottler or importer must provide evidence that a container of distilled
spirits is covered by a COLA. This requirement may be satisfied by
providing
[[Page 56]]
original COLAs, photocopies or electronic copies of COLAs, or records
showing the TTB identification number assigned to the approved
certificate.
Sec. 5.22 Rules regarding certificates of label approval (COLAs)
for distilled spirits bottled in the United States.
(a) What a COLA authorizes. An approved TTB Form 5100.31 authorizes
the bottling of distilled spirits covered by the certificate of label
approval (COLA), as long as the container bears labels identical to the
labels appearing on the face of the COLA, or labels with changes
authorized by TTB on the COLA or otherwise (such as through the issuance
of public guidance available on the TTB website at https://www.ttb.gov).
(b) When to obtain a COLA. The COLA must be obtained prior to
bottling. No bottler may bottle distilled spirits, or remove distilled
spirits from the premises where bottled, unless a COLA has been
obtained.
(c) Application for a COLA. The bottler may apply for a COLA by
submitting an application to TTB on Form 5100.31, in accordance with the
instructions on the form. The bottler may apply for a COLA either
electronically by accessing TTB's online system, COLAs Online, at
https://www.ttb.gov, or by submitting the paper form. For procedures
regarding the issuance of COLAs, see part 13 of this chapter.
Sec. 5.23 Application for exemption from label approval
for distilled spirits bottled in the United States.
(a) Exemption. Any bottler of distilled spirits may apply to be
exempt from the requirements of Sec. Sec. 5.21, 5.22, and 5.30(h), by
showing to the satisfaction of the appropriate TTB officer that the
distilled spirits to be bottled are not to be sold, offered for sale, or
shipped or delivered for shipment, or otherwise introduced, in
interstate or foreign commerce.
(b) Application required. The bottler must file an application on
TTB Form 5100.31 for exemption from label approval before bottling the
distilled spirits. The bottler may apply for a certificate of exemption
from label approval either electronically, by accessing TTB's online
system, COLAs Online, at https://www.ttb.gov, or by using the paper
form. For procedures regarding the issuance of certificates of exemption
from label approval, see part 13 of this chapter.
(c) Labeling of distilled spirits covered by certificate of
exemption. The application for a certificate of exemption from label
approval requires that the applicant identify the State in which the
product will be sold. As a condition of receiving exemption from label
approval, the label covered by an approved certificate of exemption must
include the statement ``For sale in [name of State] only.'' See
Sec. Sec. 19.517 and 19.518 of this chapter for additional labeling
rules that apply to distilled spirits covered by a certificate of
exemption.
Requirements for Distilled Spirits Imported in Containers
Sec. 5.24 Certificates of label approval (COLAs) for distilled spirits
imported in containers.
(a) Application requirement. Any person removing distilled spirits
in containers from customs custody for consumption must first apply for
and obtain a certificate of label approval (COLA) covering the distilled
spirits from the appropriate TTB officer, or obtain authorization to use
the COLA from the person to whom the COLA is issued.
(b) Release of distilled spirits from customs custody. Distilled
spirits, imported in containers, are not eligible for release from
customs custody for consumption, and no person may remove such distilled
spirits from customs custody for consumption, unless the person removing
the distilled spirits has obtained a COLA covering the distilled spirits
and is able to provide it (either electronically or on paper) upon
request. Products imported under another person's COLA are eligible for
release only if each bottle or individual container to be imported bears
the name (or trade name) and address of the person to whom the COLA was
issued by TTB, and only if the importer using the COLA to obtain release
of a shipment can substantiate that the person to whom the COLA was
issued has authorized its use by the importer.
[[Page 57]]
(c) Filing requirements. If filing electronically, the importer must
file with U.S. Customs and Border Protection (CBP), at the time of
filing the customs entry, the TTB-assigned identification number of the
valid COLA that corresponds to the label on the product or lot of
distilled spirits to be imported. If the importer is not filing
electronically, the importer must provide a copy of the COLA to CBP at
the time of entry. In addition, the importer must provide a copy of the
applicable COLA, and proof of the COLA holder's authorization if
applicable, upon request by the appropriate TTB officer or a customs
officer.
(d) Evidence of COLA. Upon request by the appropriate TTB officer,
an importer must provide evidence that a container of distilled spirits
is covered by a COLA. This requirement may be satisfied by providing
original COLAs, photocopies or electronic copies of COLAs, or records
showing the TTB identification number assigned to the approved
certificate.
(e) Scope of this section. The COLA requirement imposed by this
section applies only to distilled spirits that are removed for sale or
any other commercial purpose. Distilled spirits that are imported in
containers are not eligible for a certificate of exemption from label
approval. See 27 CFR 27.49, 27.74, and 27.75 for labeling exemptions
applicable to certain imported samples of distilled spirits.
(f) Relabeling in customs custody. Containers of distilled spirits
in customs custody that are required to be covered by a COLA but are not
labeled in conformity with a COLA must be relabeled, under the
supervision and direction of customs officers, prior to their removal
from customs custody for consumption.
Sec. 5.25 Rules regarding certificates of label approval (COLAs)
for distilled spirits imported in containers.
(a) What COLA authorizes. An approved TTB Form 5100.31 authorizes
the use of the labels covered by the certificate of label approval
(COLA) on containers of distilled spirits, as long as the container
bears labels identical to the labels appearing on the face of the COLA,
or labels with changes authorized by the form or otherwise authorized by
TTB (such as through the issuance of public guidance available on the
TTB website at https://www.ttb.gov).
(b) When to obtain a COLA. The COLA must be obtained prior to the
removal of distilled spirits in containers from customs custody for
consumption.
(c) Application for a COLA. The person responsible for the
importation of distilled spirits must obtain approval of the labels by
submitting an application to TTB on TTB Form 5100.31. A person may apply
for a COLA either electronically, by accessing TTB's online system,
COLAs Online, at https://www.ttb.gov, or by submitting the paper form.
For procedures regarding the issuance of COLAs, see part 13 of this
chapter.
Administrative Rules
Sec. 5.27 Presenting certificates of label approval (COLAs)
to Government officials.
A certificate holder must present the original or a paper or
electronic copy of the appropriate certificate of label approval (COLA)
upon the request of any duly authorized representative of the United
States Government.
Sec. 5.28 Formulas, samples, and documentation.
(a) In addition to any formula specifically required under subpart J
of this part, TTB may require formulas under certain circumstances in
connection with the label approval process. Prior to or in conjunction
with the review of an application for a certificate of label approval
(COLA) on TTB Form 5100.31, the appropriate TTB officer may require a
bottler or importer to submit a formula, the results of laboratory
testing of the distilled spirits, or a sample of any distilled spirits
or ingredients used in producing a distilled spirit. After the issuance
of a COLA, or with regard to any distilled spirits required to be
covered by a COLA, the appropriate TTB officer may require a full and
accurate statement of the contents of the container.
(b) A formula may be filed electronically by using Formulas Online,
or it may be submitted on paper on TTB
[[Page 58]]
Form 5100.51. See Sec. 5.11 for more information on forms and Formulas
Online.
Sec. 5.29 Personalized labels.
(a) General. Applicants for label approval may obtain permission
from TTB to make certain changes in order to personalize labels without
having to resubmit labels for TTB approval. A personalized label is an
alcohol beverage label that meets the minimum mandatory label
requirements and is customized for customers. Personalized labels may
contain a personal message, picture, or other artwork that is specific
to the consumer who is purchasing the product. For example, a distiller
may offer individual or corporate customers labels that commemorate an
event such as a wedding or grand opening.
(b) Application. Any person who intends to offer personalized labels
must submit a template for the personalized label as part of the
application for label approval required under Sec. Sec. 5.21 or 5.24,
and must note on the application a description of the specific
personalized information that may change.
(c) Approval of personalized label. If the application complies with
the regulations, TTB will issue a certificate of label approval (COLA)
with a qualification allowing the personalization of labels. The
qualification will allow the certificate holder to add or change items
on the personalized label such as salutations, names, graphics, artwork,
congratulatory dates and names, or event dates without applying for a
new COLA. All of these items on personalized labels must comply with the
regulations of this part.
(d) Changes not allowed to personalized labels. Approval of an
application to personalize labels does not authorize the addition of any
information that discusses either the alcohol beverage or
characteristics of the alcohol beverage or that is inconsistent with or
in violation of the provisions of this part or any other applicable
provision of law or regulations.
Sec. 5.30 Certificates of age and origin for imported spirits.
(a) Scotch, Irish, and Canadian whiskies. (1) Scotch, Irish, and
Canadian whiskies, imported in containers, are not eligible for release
from customs custody for consumption, and no person may remove such
whiskies from customs custody for consumption, unless that person has
obtained and is in possession of an invoice accompanied by a certificate
of origin issued by an official duly authorized by the appropriate
foreign government, certifying:
(i) That the particular distilled spirits are Scotch, Irish, or
Canadian whisky, as the case may be; and
(ii) That the distilled spirits have been manufactured in compliance
with the laws of the respective foreign governments regulating the
manufacture of whisky for home consumption.
(2) In addition, an official duly authorized by the appropriate
foreign government must certify to the age of the youngest distilled
spirits in the container. The age certified shall be the period during
which, after distillation and before bottling, the distilled spirits
have been stored in oak containers.
(b) Brandy and Cognac. Brandy (other than fruit brandies of a type
not customarily stored in oak containers) or Cognac, imported in
containers, is not eligible for release from customs custody for
consumption, and no person may remove such brandy or Cognac from customs
custody for consumption, unless the person so removing the brandy or
Cognac possesses a certificate issued by an official duly authorized by
the appropriate foreign country certifying that the age of the youngest
brandy or Cognac in the container is not less than 2 years, or if age is
stated on the label that none of the distilled spirits are of an age
less than that stated. The age certified shall be the period during
which, after distillation and before bottling, the distilled spirits
have been stored in oak containers. If the label of any fruit brandy,
not stored in oak containers, bears any statement of storage in another
type of container, the brandy is not eligible for release from customs
custody for consumption, and no person may remove such brandy from
customs custody for consumption, unless the person so removing the
brandy possesses a certificate issued by
[[Page 59]]
an official duly authorized by the appropriate foreign government
certifying to such storage. Cognac, imported in bottles, is not eligible
for release from customs custody for consumption, and no person may
remove such Cognac from customs custody for consumption, unless the
person so removing the Cognac possesses a certificate issued by an
official duly authorized by the French Government, certifying that the
product is grape brandy distilled in the Cognac region of France and
entitled to be designated as ``Cognac'' by the laws and regulations of
the French Government.
(c) Rum. Rum imported in containers that contain any statement of
age is not eligible to be released from customs custody for consumption,
and no person may remove such rum from customs custody for consumption,
unless the person so removing the rum possesses a certificate issued by
an official duly authorized by the appropriate foreign country,
certifying to the age of the youngest rum in the container. The age
certified shall be the period during which, after distillation and
before bottling, the distilled spirits have been stored in oak
containers.
(d) Tequila. (1) Tequila imported in containers is not eligible for
release from customs custody for consumption, and no person may remove
such Tequila from customs custody for consumption, unless the person
removing such Tequila possesses a Certificate of Tequila Export issued
by an official duly authorized by the Mexican Government or a conformity
assessment body stating that the product is entitled to be designated as
Tequila under the applicable laws and regulations of the Mexican
Government.
(2) If the label of any Tequila imported in containers contains any
statement of age, the Tequila is not eligible for release from customs
custody for consumption, and no person may remove such Tequila from
customs custody for consumption, unless the person removing the Tequila
possesses a Certificate of Tequila Export issued by an official duly
authorized by the Mexican Government or a conformity assessment body as
to the age of the youngest Tequila in the container. The age certified
shall be the period during which the Tequila has been stored in oak
containers after distillation and before bottling.
(e) Other whiskies. Whisky, as defined in Sec. 5.143(c)(2) through
(7) and (10) through (14), imported in bottles, is not eligible for
release from customs custody for consumption, and no person shall remove
such whiskies from customs custody for consumption, unless that person
has obtained and is in possession of a certificate issued by an official
duly authorized by the appropriate foreign government certifying:
(1) In the case of whisky (regardless of whether it is mixed or
blended) that contains no neutral spirits:
(i) The type of the whisky as defined in Sec. 5.143;
(ii) The American proof at which the whisky was distilled;
(iii) That no neutral spirits (or other whisky in the case of
straight whisky) have been added or otherwise included in the whisky;
(iv) The age of the whisky; and
(v) The type of oak barrel in which the whisky was aged and whether
the barrel was new or reused, charred or uncharred; and
(2) In the case of whisky containing neutral spirits:
(i) The type of the whisky as defined in Sec. 5.143;
(ii) The percentage of straight whisky used in the blend, if any;
(iii) The American proof at which any straight whisky in the blend
was distilled;
(iv) The percentage of whisky other than straight whisky in the
blend, if any;
(v) The percentage of neutral spirits in the blend and the name of
the commodity from which the neutral spirits were distilled;
(vi) The age of any straight whisky and the age of any other whisky
in the blend; and
(vii) The type of oak barrel in which the age of each whisky in the
blend was attained and whether the barrel was new or reused and charred
or uncharred.
(f) Miscellaneous. Distilled spirits (other than Scotch, Irish, and
Canadian whiskies, and Cognac) imported in containers are not eligible
for release from customs custody for consumption, and
[[Page 60]]
no person shall remove such spirits from customs custody for
consumption, unless that person has obtained and is in possession of an
invoice accompanied by a certificate of origin issued by an official
duly authorized by the appropriate foreign government, if the issuance
of such certificates with respect to such distilled spirits is required
by the foreign government concerned, certifying as to the identity of
the distilled spirits and that the distilled spirits have been
manufactured in compliance with the laws of the respective foreign
government regulating the manufacture of such distilled spirits for home
consumption.
(g) Retention of certificates--distilled spirits imported in
containers. The importer of distilled spirits imported in containers
must retain for 5 years following the removal of the bottled distilled
spirits from customs custody copies of the certificates (and
accompanying invoices, if applicable) required by paragraphs (a) through
(f) of this section, and must provide them upon request of the
appropriate TTB officer or a customs officer.
(h) Distilled spirits imported in bulk for bottling in the United
States. Distilled spirits that would be required under paragraphs (a)
through (f) of this section to be covered by a certificate of age and/or
a certificate of origin and that are imported in bulk for bottling in
the United States may be removed from the premises where bottled only if
the bottler possesses a certificate of age and/or a certificate of
origin, issued by the appropriate entity as set forth in paragraphs (a)
through (f) of this section, applicable to the spirits that provides the
same information as a certificate required under paragraphs (a) through
(f) of this section, would provide for like spirits imported in bottles.
(i) Retention of distilled spirits certificates--distilled spirits
in bulk. The bottler of distilled spirits imported in bulk must retain,
for 5 years following the removal of such distilled spirits from the
premises where bottled, copies of the certificates required by
paragraphs (a) through (f) of this section, and must provide them upon
request of the appropriate TTB officer.
Subpart C_Alteration of Labels, Relabeling, and Adding Information to
Containers
Sec. 5.41 Alteration of labels.
(a) Prohibition. It is unlawful for any person to alter, mutilate,
destroy, obliterate or remove any mark, brand, or label on distilled
spirits in containers held for sale in interstate or foreign commerce,
or held for sale after shipment in interstate or foreign commerce,
except as authorized by Sec. Sec. 5.42, 5.43, or 5.44, or as otherwise
authorized by Federal law.
(b) Authorized relabeling. For purposes of the relabeling activities
authorized by this subpart, the term ``relabel'' includes the
alteration, mutilation, destruction, obliteration, or removal of any
existing mark, brand, or label on the container, as well as the addition
of a new label (such as a sticker that adds information about the
product or information engraved on the container) to the container, and
the replacement of a label with a new label bearing identical
information.
(c) Obligation to comply with other requirements. Authorization to
relabel under this subpart:
(1) In no way authorizes the placement of labels on containers that
do not accurately reflect the brand, bottler, identity, or other
characteristics of the product;
(2) Does not relieve the person conducting the relabeling operations
from any obligation to comply with the regulations in this part and with
State or local law; and,
(3) Does not relieve the person conducting the relabeling operations
from any obligation to obtain permission from the owner of the brand
where otherwise required.
Sec. 5.42 Authorized relabeling activities by distillers and importers.
(a) Relabeling at distilled spirits plant premises. A proprietor of
distilled spirits plant premises may relabel domestically bottled
distilled spirits prior to removal from, and after return to bond at,
the distilled spirits plant premises, with labels covered by a
certificate of label approval (COLA), without obtaining separate
permission from TTB for the relabeling activity, provided that
[[Page 61]]
the proprietor is the certificate holder (and bottler).
(b) Relabeling after removal from distilled spirits plant premises.
A proprietor of distilled spirits plant premises may relabel
domestically bottled distilled spirits (or direct the relabeling of such
spirits by an authorized agent) after removal from distilled spirits
plant premises with labels covered by a COLA, without obtaining separate
permission from TTB for the relabeling activity, provided that the
proprietor is the certificate holder (and bottler).
(c) Relabeling in customs custody. Under the supervision of U.S.
customs officers, imported distilled spirits in containers in customs
custody may be relabeled without obtaining separate permission from TTB
for the relabeling activity. Such containers must bear labels covered by
a COLA upon their removal from customs custody for consumption. See
Sec. 5.24(b).
(d) Relabeling after removal from customs custody. The importer of
distilled spirits in containers may relabel imported distilled spirits
(or direct the relabeling of such spirits by an authorized agent) after
removal from customs custody without obtaining separate permission from
TTB for the relabeling activity, as long as the labels are covered by a
COLA.
Sec. 5.43 Relabeling activities that require separate
written authorization from TTB.
(a) General. Any permittee holding distilled spirits for sale who
needs to relabel the containers but is not the original bottler may
apply for written permission for the relabeling of distilled spirits
containers. The appropriate TTB officer may permit relabeling of
distilled spirits in containers if the facts show that the relabeling is
for the purpose of compliance with the requirements of this part or
State law, or for the purpose of replacing damaged labels.
(b) Application. The written application must include:
(1) Copies of the original and proposed new labels;
(2) The circumstances of the request, including the reason for
relabeling;
(3) The number of containers to be relabeled;
(4) The location where the relabeling will take place; and
(5) The name and address of the person who will be conducting the
relabeling operations.
Sec. 5.44 Adding a label or other information to a container that identifies
the wholesaler, retailer, or consumer.
Any label or other information that identifies the wholesaler,
retailer, or consumer of the distilled spirits may be added to
containers (by the addition of stickers, engraving, stenciling, etc.)
without prior approval from TTB and without being covered by a
certificate of label approval or certificate of exemption from label
approval. Such information may be added before or after the containers
have been removed from distilled spirits plant premises or released from
customs custody. The information added:
(a) May not violate the provisions of subpart F, G, or H of this
part;
(b) May not contain any reference to the characteristics of the
product; and
(c) May not be added to the container in such a way that it obscures
any other labels on the container.
Subpart D_Label Standards
Sec. 5.51 Requirement for firmly affixed labels.
Any label that is not an integral part of the container must be
affixed to the container in such a way that it cannot be removed without
thorough application of water or other solvents.
Sec. 5.52 Legibility and other requirements for mandatory
information on labels.
(a) Readily legible. Mandatory information on labels must be readily
legible to potential consumers under ordinary conditions.
(b) Separate and apart. Subject to the exceptions below, mandatory
information on labels, except brand names, must be separate and apart
from any additional information.
(1) This does not preclude the addition of brief optional phrases of
additional information as part of the class or type designation (such
as, ``premium vodka'' or ``delicious Tequila''), the
[[Page 62]]
name and address statement (such as, ``Proudly distilled and bottled by
ABC Distilling Company, Atlanta, GA, for over 30 years'') or other
information required by Sec. 5.63(a) and (b). The statements required
by Sec. 5.63(c) may not include additional information.
(2) Mandatory information (other than an aspartame declaration
required by Sec. 5.63(c)(8)) may be contained among other descriptive
or explanatory information if the script, type, or printing of the
mandatory information is substantially more conspicuous than that of the
descriptive or explanatory information.
(c) Contrasting background. Mandatory information must appear in a
color that contrasts with the background on which it appears, except
that if the net contents are blown into a glass container, they need not
be contrasting. The color of the container and of the distilled spirits
must be taken into account if the label is transparent or if mandatory
label information is etched, engraved, sandblasted, or otherwise carved
into the surface of the container or is branded, stenciled, painted,
printed, or otherwise directly applied on to the surface of the
container. Examples of acceptable contrasts are:
(1) Black lettering appearing on a white or cream background; or
(2) White or cream lettering appearing on a black background.
(d) Capitalization. Except for the aspartame statement when required
by Sec. 5.63(c)(8), which must appear in all capital letters, mandatory
information prescribed by this part may appear in all capital letters,
in all lower case letters, or in mixed-case using both capital and
lower-case letters.
Sec. 5.53 Minimum type size of mandatory information.
All capital and lowercase letters in statements of mandatory
information on labels must meet the following type size requirements.
(a) Containers of more than 200 milliliters. All mandatory
information must be in script, type, or printing that is at least two
millimeters in height.
(b) Containers of 200 milliliters or less. All mandatory information
must be in script, type, or printing that is at least one millimeter in
height.
Sec. 5.54 Visibility of mandatory information.
Mandatory information on a label must be readily visible and may not
be covered or obscured in whole or in part. See Sec. 5.62 for rules
regarding packaging of containers (including cartons, coverings, and
cases). See subpart N of this part for regulations pertaining to
advertising materials.
Sec. 5.55 Language requirements.
(a) General. Mandatory information must appear in the English
language, with the exception of the brand name and except as provided in
paragraph (c) of this section.
(b) Foreign languages. Additional statements in a foreign language,
including translations of mandatory information that appears elsewhere
in English on the label, are allowed on labels and containers as long as
they do not in any way conflict with, or contradict, the requirements of
this part.
(c) Distilled spirits for consumption in the Commonwealth of Puerto
Rico. Mandatory information may be stated solely in the Spanish language
on labels of distilled spirits bottled for consumption within the
Commonwealth of Puerto Rico.
Sec. 5.56 Additional information.
Information (other than mandatory information) that is truthful,
accurate, and specific, and that does not violate subparts F, G, or H of
this part, may appear on labels. Such additional information may not
conflict with, modify, qualify or restrict mandatory information in any
manner.
Subpart E_Mandatory Label Information
Sec. 5.61 What constitutes a label for purposes of mandatory information.
(a) Label. Certain information, as outlined in Sec. 5.63, must
appear on a label. When used in this part for purposes of determining
where mandatory information must appear, the term ``label'' includes:
[[Page 63]]
(1) Material affixed to the container, whether made of paper,
plastic, metal, or other matter;
(2) For purposes of the net content statement only, information
blown, embossed, or molded into the container as part of the process of
manufacturing the container;
(3) Information etched, engraved, sandblasted, or otherwise carved
into the surface of the container; and
(4) Information branded, stenciled, painted, printed, or otherwise
directly applied on to the surface of the container.
(b) Information appearing elsewhere on the container. Information
appearing on the following parts of the container is subject to all of
the restrictions and prohibitions set forth in subparts F, G and H of
this part, but will not satisfy any requirements in this part for
mandatory information that must appear on labels:
(1) Material affixed to, or information appearing on, the bottom
surface of the container;
(2) Caps, corks or other closures unless authorized to bear
mandatory information by the appropriate TTB officer; and
(3) Foil or heat shrink bottle capsules.
(c) Materials not firmly affixed to the container. Any materials
that accompany the container to the consumer but are not firmly affixed
to the container, including booklets, leaflets, and hang tags, are not
``labels'' for purposes of this part. Such materials are instead subject
to the advertising regulations in subpart N of this part.
Sec. 5.62 Packaging (cartons, coverings, and cases).
(a) General. An individual covering, carton, or other container of
the bottle used for sale at retail (other than a shipping container),
may not contain any statement, design, device, or graphic, pictorial, or
emblematic representation that is prohibited on labels by regulations in
subpart F, G, or H of this part.
(b) Sealed opaque cartons. If containers are enclosed in sealed
opaque coverings, cartons, or other containers used for sale at retail
(other than shipping containers), such coverings, cartons, or other
containers must bear all mandatory label information.
(c) Other cartons. (1) If an individual covering, carton, or other
container of the bottle used for sale at retail (other than a shipping
container) is so designed that the bottle is readily removable, it may
display any information which is not in conflict with the label on the
bottle contained therein.
(2) Cartons displaying brand names and/or designations must display
such names and designations in their entirety--brand names required to
be modified, e.g., by ``Brand'' or ``Product of U.S.A.'', must also
display such modification.
(3) Specialty products for which a truthful and adequate statement
of composition is required must display such statement.
(d) Labeling of containers within the packaging. The container
within the packaging is subject to all labeling requirements of this
part, including mandatory labeling information requirements, regardless
of whether the packaging bears such information.
Sec. 5.63 Mandatory label information.
(a) Mandatory information required to appear within the same field
of vision. Distilled spirits containers must bear a label or labels (as
defined in Sec. 5.61) containing the following information within the
same field of vision (which means a single side of a container (for a
cylindrical container, a side is 40 percent of the circumference) where
all of the pieces of information can be viewed simultaneously without
the need to turn the container):
(1) Brand name, in accordance with Sec. 5.64;
(2) Class, type, or other designation, in accordance with subpart I
of this part; and
(3) Alcohol content, in accordance with Sec. 5.65.
(b) Other mandatory information. Distilled spirits containers must
bear a label or labels (as defined in Sec. 5.61) anywhere on the
container bearing the following information:
(1) Name and address of the bottler or distiller, in accordance with
Sec. 5.66, or the importer, in accordance with Sec. 5.67 or Sec.
5.68, as applicable; and
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(2) Net contents (which may be blown, embossed, or molded into the
container as part of the process of manufacturing the container), in
accordance with Sec. 5.70.
(c) Disclosure of certain ingredients, processes and other
information. The following ingredients, processes, and other information
must be disclosed on a label, without the inclusion of any additional
information as part of the statement, as follows:
(1) Neutral spirits. The percentage of neutral spirits and the name
of the commodity from which the neutral spirits were distilled, or in
the case of continuously distilled neutral spirits or gin, the name of
the commodity only, in accordance with Sec. 5.71;
(2) Coloring or treatment with wood. Coloring or treatment with
wood, in accordance with Sec. Sec. 5.72 and 5.73;
(3) Age. A statement of age or age and percentage of type, when
required or used, in accordance with Sec. 5.74;
(4) State of distillation. State of distillation of any type of
whisky defined in Sec. 5.143(c)(2) through (c)(7), which is distilled
in the United States, in accordance with Sec. 5.66(f);
(5) FD&C Yellow No. 5. If a distilled spirit contains the coloring
material FD&C Yellow No. 5, the label must include a statement to that
effect, such as ``FD&C Yellow No. 5'' or ``Contains FD&C Yellow No. 5'';
(6) Cochineal extract or carmine. If a distilled spirit contains the
color additive cochineal extract or the color additive carmine, the
label must include a statement to that effect, using the respective
common or usual name (such as ``contains cochineal extract'' or
``contains carmine''). This requirement applies to labels when either of
the coloring materials was used in a distilled spirit that is removed
from bottling premises or from customs custody on or after April 16,
2013;
(7) Sulfites. If a distilled spirit contains 10 or more parts per
million of sulfur dioxide or other sulfiting agent measured as total
sulfur dioxide, the label must include a statement to that effect.
Examples of acceptable statements are ``Contains sulfites'' or
``Contains (a) sulfiting agent(s)'' or a statement identifying the
specific sulfiting agent. The alternative terms ``sulphites'' or
``sulphiting'' may be used; and
(8) Aspartame. If the distilled spirit contains aspartame, the label
must include the following statement, in capital letters, separate and
apart from all other information: ``PHENYLKETONURICS: CONTAINS
PHENYLALANINE.''
(d) Distinctive liquor bottles. See Sec. 5.205(b)(2) for exemption
from placement requirements for certain mandatory information for
distinctive liquor bottles.
Sec. 5.64 Brand name.
(a) Requirement. The distilled spirits label must include a brand
name. If the distilled spirits are not sold under a brand name, then the
name of the bottler, distiller or importer, as applicable, appearing in
the name and address statement is treated as the brand name.
(b) Misleading brand names. Labels may not include any misleading
brand names. A brand name is misleading if it creates (by itself or in
association with other printed or graphic matter) any erroneous
impression or inference as to the age, origin, identity, or other
characteristics of the distilled spirits. A brand name that would
otherwise be misleading may be qualified with the word ``brand'' or with
some other qualification, if the appropriate TTB officer determines that
the qualification dispels any misleading impression that might otherwise
be created.
Sec. 5.65 Alcohol content.
(a) General. The alcohol content for distilled spirits must be
stated on the label as a percentage of alcohol by volume. Products that
contain a significant amount of material, such as solid fruit, that may
absorb spirits after bottling must state the alcohol content at the time
of bottling as follows: ``Bottled at __ percent alcohol by volume.''
(b) How the alcohol content must be expressed. The following rules
apply to statements of alcohol content.
(1) A statement of alcohol content must be expressed as a percentage
of alcohol by volume.
(i) In addition, the alcohol content in degrees of proof may be
stated on a
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label as long as it appears in the same field of vision as the mandatory
statement of alcohol content as a percentage of alcohol by volume.
Additional statements of proof may appear on the label without being in
the same field of vision as the mandatory alcohol by volume statement.
(ii) Other truthful, accurate, and specific factual representations
of alcohol content, such as alcohol by weight, may be made, as long as
they appear together with, and as part of, the statement of alcohol
content as a percentage of alcohol by volume.
(2)(i) The alcohol content statement must be expressed in one of the
following formats:
(A) ``Alcohol __ percent by volume'';
(B) ``__ percent alcohol by volume''; or
(C) ``Alcohol by volume __ percent.''
(ii) Any of the words or symbols may be enclosed in parentheses and
authorized abbreviations may be used with or without a period. The
alcohol content statement does not have to appear with quotation marks.
(3) The statements listed in paragraph (b)(2)(i) of this section
must appear as shown, except that the following abbreviations may be
used: Alcohol may be abbreviated as ``alc''; percent may be represented
by the percent symbol ``%''; alcohol and volume may be separated by a
slash ``/'' in lieu of the word ``by''; and volume may be abbreviated as
``vol''.
(4) The following are examples of alcohol content statements that
comply with the requirements of this part:
(i) ``40% alc/vol'';
(ii) ``Alc. 40 percent by vol.'';
(iii) ``Alc 40% by vol''; and
(iv) ``40% Alcohol by Volume.''
(c) Tolerances. A tolerance of plus or minus 0.3 percentage points
is allowed for actual alcohol content that is above or below the labeled
alcohol content.
Sec. 5.66 Name and address for domestically bottled distilled spirits
that were wholly made in the United States.
(a) General. Domestically bottled distilled spirits that were wholly
made in the United States and contain no imported distilled spirits must
be labeled in accordance with this section. (See Sec. Sec. 5.67 and
5.68 for name and address requirements applicable to distilled spirits
that are not wholly made in the United States.) For purposes of this
section, a ``processor'' who solely bottles the labeled distilled
spirits will be considered the ``bottler.''
(b) Form of statement. The bottler, distiller, or processor of the
distilled spirits must be identified by a phrase describing the function
performed by that person. If that person performs more than one
function, the label may (but is not required to) so indicate.
(1) If the name of the bottler appears on the label, it must be
preceded by a phrase such as ``bottled by,'' ``canned by,'' ``packed
by,'' or ``filled by,'' followed by the name and address of the bottler.
(2) If the name of the processor appears on the label, it must be
preceded by a phrase such as ``blended by,'' ``made by,'' ``prepared
by,'' ``produced by,'' or ``manufactured by,'' as appropriate, followed
by the name and address of the processor. When applied to distilled
spirits, the term ``produced by'' indicates a processing operation
(formerly known as rectification) that involves a change in the class or
type of the product through the addition of flavors or some other
processing activity.
(3) If the name of the distiller appears on the label, it must be
preceded by a phrase such as ``distilled by,'' followed by the name and
address of the distiller. If the distilled spirits were bottled for the
distiller thereof, the name and address of the distiller may be preceded
by a phrase such as ``distilled by and bottled for,'' or ``bottled
for.''
(c) Listing of more than one function. If different functions are
performed by more than one person, statements on the label may not
create the misleading impression that the different functions were
performed by the same person.
(d) Form of address--(1) General. The address consists of the city
and State where the operation occurred, or the city and State of the
principal place of business of the person performing the operation. This
information must be consistent with the information on the
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basic permit. Addresses may, but are not required to, include additional
information such as street names, counties, zip codes, phone numbers,
and website addresses. The postal abbreviation of the State name may be
used; for example, California may be abbreviated as CA.
(2) More than one address. If the bottler, distiller, or processor
listed on the name and address statement is the actual operator of more
than one distilled spirits plant engaged in bottling, distilling, or
processing operations, as applicable, the label may state, immediately
following the name of the permittee, the addresses of those other
plants, in addition to the address of the plant at which the distilled
spirits were bottled. In this situation, the address where the operation
occurred must be indicated on the label or on the container by printing,
coding, or other markings.
(3) Principal place of business. The label may provide the address
of the bottler's, distiller's, or processor's principal place of
business, in lieu of the place where the bottling, distilling, or other
operation occurred, provided that the address where the operation
occurred is indicated on the label or on the container by printing,
coding, or other markings.
(4) Distilled spirits bottled for another person. (i) If distilled
spirits are bottled for another person, other than the actual distiller
thereof, the label may state, in addition to (but not in place of) the
name and address of the bottler, the name and address of such other
person, immediately preceded by the words ``bottled for'' or another
similar appropriate phrase. Such statements must clearly indicate the
relationship between the two persons (for example, contract bottling).
(ii) If the same brand of distilled spirits is bottled by two
distillers that are not under the same ownership, the label for each
distiller may set forth both locations where bottling takes place, as
long as the label uses the actual location (and not the principal place
of business) and as long as the nature of the arrangement is clearly set
forth.
(5) Additional addresses. No additional places or addresses may be
stated for the same person unless:
(i) That person is actively engaged in the conduct of an additional
bona fide and actual alcohol beverage business at such additional place
or address, and
(ii) The label also contains in direct conjunction therewith,
appropriate descriptive material indicating the function occurring at
such additional place or address in connection with the particular
product (such as ``distilled by.'')
(e) Special rule for straight whiskies. If ``straight whiskies''
(see Sec. 5.143) of the same type are distilled in the same State by
two or more different distillers and are combined (either at the time of
bottling or at a warehouseman's bonded premises for further storage) and
subsequently bottled and labeled as ``straight whisky,'' that ``straight
whisky'' must bear a label that contains name and address information of
the bottler. If that combined ``straight whisky'' is bottled by or for
the distillers, in lieu of the name and address of the bottler, the
label may contain the words ``distilled by,'' followed immediately by
the names (or trade names) and addresses of the different distillers who
distilled a portion of the ``straight whisky'' and the percentage of
``straight whisky'' distilled by each distiller, with a tolerance of
plus or minus 2 percent. If ``straight whisky'' consists of a mixture of
``straight whiskies'' of the same type from two or more different
distilleries of the same proprietor located within the same State, and
if that ``straight whisky'' is bottled by or for that proprietor, in
lieu of the name and address of the bottler, the ``straight whisky'' may
bear a label containing the words ``distilled by'' followed by the name
(or trade name) of the proprietor and the addresses of the different
distilleries that distilled a portion of the ``straight whisky.''
(f) State of distillation for whisky. (1) The State of distillation,
which is the State in which original distillation takes place, must
appear on the label of any type of whisky defined in Sec. 5.143(c)(2)
through (7), which is distilled in the United States. The State of
distillation may appear on any label
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and must be shown in at least one of the following ways:
(i) By including a ``distilled by'' (or ``distilled and bottled by''
or any other phrase including the word ``distilled'') statement as part
of the mandatory name and address statement, followed by a single
location.
(ii) If the address shown in the ``bottled by'' statement includes
the State in which distillation occurred, by including a ``bottled by''
statement as part of the mandatory name and address statement, followed
by a single location;
(iii) By including the name of the State in which original
distillation occurred immediately adjacent to the class or type
designation (such as ``Kentucky bourbon whisky''), as long as the
product was both distilled and aged in that State in conformance with
the requirements of Sec. 5.143(b); or
(iv) By including a separate statement, such as ``Distilled in [name
of State].''
(2) The appropriate TTB officer may require that the State of
distillation or other information appear on a label of any whisky
subject to the requirements of paragraph (f)(1) of this section (and may
prescribe placement requirements for such information), even if that
State appears in the name and address statement, if such additional
information is necessary to negate any misleading or deceptive
impression that might otherwise be created as regards the actual State
of distillation.
(3) In the case of ``light whisky,'' the State name ``Kentucky'' or
``Tennessee'' may not appear on any label, except as a part of a name
and address as specified in paragraph (a)(1), (2), or (4) of this
section.
(g) Trade or operating names. The name of the person appearing on
the label may be the trade name or the operating name, as long as it is
identical to a trade or operating name appearing on the basic permit. In
the case of a distillation statement for spirits bottled in bond, the
name or trade name under which the spirits were distilled must be shown.
Sec. 5.67 Name and address for domestically bottled distilled spirits
that were bottled after importation.
(a) General. This section applies to distilled spirits that were
bottled after importation. See Sec. 5.68 for name and address
requirements applicable to imported distilled spirits that were imported
in a container. See 19 CFR parts 102 and 134 for U.S. Customs and Border
Protection country of origin marking requirements.
(b) Distilled spirits bottled after importation in the United
States. Distilled spirits bottled, without further blending, making,
preparing, producing, manufacturing, or distilling activities after
importation, must bear one of the following name and address statements:
(1) The name and address of the bottler, preceded by the words
``bottled by,'' ``canned by,'' ``packed by,'' or ``filled by'';
(2) If the distilled spirits were bottled for the person responsible
for the importation, the words ``imported by and bottled (canned,
packed, or filled) in the United States for'' (or a similar appropriate
phrase) followed by the name and address of the principal place of
business in the United States of the person responsible for the
importation;
(3) If the distilled spirits were bottled by the person responsible
for the importation, the words ``imported by and bottled (canned,
packed, or filled) in the United States by'' (or a similar appropriate
phrase) followed by the name and address of the principal place of
business in the United States of the person responsible for the
importation.
(c) Distilled spirits that were subject to blending or other
production activities after importation. Distilled spirits that, after
importation in bulk, were blended, made, prepared, produced,
manufactured or further distilled, may not bear an ``imported by''
statement on the label, but must instead be labeled in accordance with
the rules set forth in Sec. 5.66 for mandatory and optional labeling
statements.
(d) Optional statements. In addition to the statements required by
paragraph (a)(1) of this section, the label may also state the name and
address of the principal place of business of the foreign producer.
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(e) Form of address. (1) The address consists of the city and State
where the operation occurred, or the city and State of the principal
place of business of the person performing the operation. This
information must be consistent with the information on the basic permit.
Addresses may, but are not required to, include additional information
such as street names, counties, zip codes, phone numbers, and website
addresses.
(2) If the bottler or processor listed on the name and address
statement is the actual operator of more than one distilled spirits
plant engaged in bottling, distilling, or processing operations, as
applicable, the label may state, immediately following the name of the
bottler, the addresses of those other plants, in addition to the address
of the plant at which the distilled spirits were bottled. In this
situation, the address where the operation occurred must be indicated on
the label or on the container by printing, coding, or other markings.
(3) The label may provide the address of the bottler's or
processor's principal place of business, in lieu of the place where the
bottling, distilling, or other operation occurred, provided that the
address where the operation occurred is indicated on the label or on the
container by printing, coding, or other markings.
(f) Trade or operating names. A trade name may be used if the trade
name is listed on the basic permit or other qualifying documentation.
Sec. 5.68 Name and address for distilled spirits that were imported
in a container.
(a) General. This section applies to distilled spirits that were
imported in a container, as defined in Sec. 5.1. See Sec. 5.67 for
name and address requirements applicable to distilled spirits that were
domestically bottled after importation. See 19 CFR parts 102 and 134 for
U.S. Customs and Border Protection country of origin marking
requirements.
(b) Mandatory labeling statement. Distilled spirits imported in
containers, as defined in Sec. 5.1, must bear a label stating the words
``imported by'' or a similar appropriate phrase, followed by the name
and address of the importer.
(1) For purposes of this section, the importer is the holder of the
importer's basic permit who either makes the original customs entry or
is the person for whom such entry is made, or the holder of the
importer's basic permit who is the agent, distributor, or franchise
holder for the particular brand of imported alcohol beverages and who
places the order abroad.
(2) The address of the importer must be stated as the city and State
of the principal place of business and must be consistent with the
address reflected on the importer's basic permit. Addresses may, but are
not required to, include additional information such as street names,
counties, zip codes, phone numbers, and website addresses. The postal
abbreviation of the State name may be used; for example, California may
be abbreviated as CA.
(c) Optional statements. In addition to the statements required by
paragraph (b)(1) of this section, the label may also state the name and
address of the principal place of business of the foreign producer.
(d) Form of address. The ``place'' stated must be the city and
State, shown on the basic permit or other qualifying document, of the
premises at which the operations took place; and the place for each
operation that is designated on the label must be shown.
(e) Trade or operating names. A trade name may be used if the trade
name is listed on the basic permit or other qualifying documentation.
Sec. 5.69 Country of origin.
For U.S. Customs and Border Protection (CBP) rules regarding country
of origin marking requirements, see the CBP regulations at 19 CFR parts
102 and 134.
Sec. 5.70 Net contents.
The requirements of this section apply to the net contents statement
required by Sec. 5.63.
(a) General. The volume of spirits in the container must appear on a
label as a net contents statement. The word ``liter'' may be
alternatively spelled ``litre'' or may be abbreviated as ``L''. The word
``milliliters'' may be abbreviated as ``ml.,'' ``mL.,'' or ``ML.'' Net
contents in equivalent U.S. customary
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units of measurement and in metric equivalents such as centiliters may
appear on a label and, if used, must appear in the same field of vision
as the metric net contents statement.
(b) Tolerances. (1) The following tolerances are permissible for
purposes of applying paragraph (a) of this section:
(i) Errors in measuring. Discrepancies due to errors in measuring
that occur in filling conducted in compliance with good commercial
practice;
(ii) Differences in capacity. Discrepancies due exclusively to
differences in the capacity of containers, resulting solely from
unavoidable difficulties in manufacturing the containers so as to be of
uniform capacity, provided that the discrepancy does not result from a
container design that prevents the manufacture of containers of an
approximately uniform capacity; and
(iii) Differences in atmospheric conditions. Discrepancies in
measure due to differences in atmospheric conditions in various places,
including discrepancies resulting from the ordinary and customary
exposure of alcohol beverage products in containers to evaporation,
provided that the discrepancy is determined to be reasonable on a case
by case basis.
(2) Shortages and overages. A contents shortage in certain of the
containers in a shipment may not be counted against a contents overage
in other containers in the same shipment for purposes of determining
compliance with the requirements of this section.
Sec. 5.71 Neutral spirits and name of commodity.
(a) In the case of distilled spirits (other than cordials, liqueurs,
flavored neutral spirits, including flavored vodka, and distilled
spirits specialty products) manufactured by blending or other
processing, if neutral spirits were used in the production of the
spirits, the percentage of neutral spirits so used and the name of the
commodity from which the neutral spirits were distilled must appear on a
label. The statement of percentage and the name of the commodity must be
in substantially the following form: ``__% neutral spirits distilled
from__ (insert grain, cane products, fruit, or other commodity as
appropriate)''; or ``__ % neutral spirits (vodka) distilled from __
(insert grain, cane products, fruit, or other commodity as
appropriate)''; or ``__ % (grain) (cane products), (fruit) neutral
spirits'', or ``__ % grain spirits.''
(b) In the case of gin manufactured by a process of continuous
distillation or in the case of neutral spirits, a label on the container
must state the name of the commodity from which the gin or neutral
spirits were distilled. The statement of the name of the commodity must
appear in substantially the following form: ``Distilled from grain'' or
``Distilled from cane products''.
Sec. 5.72 Coloring materials.
The words ``artificially colored'' must appear on a label of any
distilled spirits product containing synthetic or natural materials that
primarily contribute color, or when information on a label conveys the
impression that a color was derived from a source other than the actual
source of the color, except that:
(a) If no coloring material other than a color exempt from
certification under FDA regulations has been added, a truthful statement
of the source of the color may appear in lieu of the words
``artificially colored,'' for example, ``Contains Beta Carotene'' or
``Colored with beet extract.'' See 21 CFR parts 73 and 74 for the list
of such colors under Food and Drug Administration (FDA) regulations;
(b) If no coloring material has been added other than one certified
as suitable for use in foods by the FDA, the words ``(to be filled in
with name of) certified color added'' or ``Contains Certified Color''
may appear in lieu of the words ``artificially colored''; and
(c) If no coloring material other than caramel has been added, the
words ``colored with caramel,'' ``contains caramel color,'' or another
statement specifying the use of caramel color, may appear in lieu of the
words ``artificially colored.'' However, no statement of any type is
required for the use of caramel color in brandy, rum, or Tequila, or in
any type of whisky other than straight whisky if used at not more than
2.5 percent by volume of the finished product.
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(d) As provided in Sec. 5.61, the use of FD&C Yellow No. 5,
carmine, or cochineal extract must be specifically stated on the label
even if the label also contains a phrase such as ``contains certified
color'' or ``artificially colored.''
Sec. 5.73 Treatment of whisky or brandy with wood.
The words ``colored and flavored with wood__ '' (inserting
``chips,'' ``slabs,'' etc., as appropriate) must appear immediately
adjacent to, and in the same size of type as, the class and type
designation under subpart I of this part for whisky and brandy treated,
in whole or in part, with wood through percolation or otherwise during
distillation or storage, other than through contact with an oak barrel.
However, the statement specified in this section is not required in the
case of brandy treated with an infusion of oak chips in accordance with
Sec. 5.155(b)(3)(B).
Sec. 5.74 Statements of age, storage, and percentage.
(a) General. (1) As defined in Sec. 5.1, age is the length of time
during which, after distillation and before bottling, the distilled
spirits have been stored in oak barrels. For bourbon whisky, rye whisky,
wheat whisky, malt whisky, or rye malt whisky, and straight whiskies
other than straight corn whisky, aging must occur in charred new oak
barrels.
(2) If an age statement is used, it is permissible to understate the
age of a product, but overstatements of age are prohibited. However, the
age statement may not conflict with the standard of identity, if aging
is required as part of the standard of identity. For example, the
standard of identity for straight rye whisky requires that the whisky be
aged for a minimum of 2 years, so the age statement ``Aged 1 year,''
would be prohibited for a product designated as ``straight'' rye whisky,
even if the spirits were actually aged for more than 2 years, because it
is inconsistent with the standard of identity.
(3)The age may be stated in years, months, or days.
(b) Age statements and percentage of type statements for whisky. For
all domestic or foreign whiskies that are aged less than 4 years,
including blends containing a whisky that is aged less than 4 years, an
age statement and percentage of types of whisky statement is required to
appear on a label, unless the whisky is labeled as ``bottled in bond''
in conformity with Sec. 5.88. For all other whiskies, the statements
are optional, but if used, they must conform to the formatting
requirements listed below. Moreover, if the bottler chooses to include a
statement of age or percentage on the label of a product that is 4 years
old or more and that contains neutral spirits, the statement must appear
immediately adjacent to the neutral spirits statement required by Sec.
5.70. The following are the allowable formats for the age and percentage
statements for whisky:
(1)(i) In the case of whisky, whether or not mixed or blended but
containing no neutral spirits, the age of the youngest whisky in the
product. The age statement must appear substantially as follows: ``__
years old''; and
(ii) If a whisky is aged in more than one container, the label may
optionally indicate the types of oak containers used.
(2) In the case of whisky containing neutral spirits, whether or not
mixed or blended, if any straight whisky or other whisky in the product
is less than 4 years old, the percentage by volume of each such whisky
and the age of each such whisky (the age of the youngest of the straight
whiskies or other whiskies if the product contains two or more of
either). The age and percentage statement for a straight whisky and
other whisky must appear immediately adjacent to the neutral spirits
statement required by Sec. 5.70 and must read substantially as follows:
(i) If the product contains only one straight whisky and no other
whisky: ``__ percent straight whisky __ years old;''
(ii) If the product contains more than one straight whisky but no
other whisky: ``__ percent straight whiskies __ years or more old.'' In
this case the age blank must state the age of the youngest straight
whisky in the product. However, in lieu of the foregoing statement, the
following statement may appear on the label: ``__ percent straight
whisky __ years old, __ percent straight whisky __ years old,
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and __ percent straight whisky __ years old'';
(iii) If the product contains only one straight whisky and one other
whisky: ``__ percent straight whisky __ years old, __ percent whisky __
years old''; or
(iv) If the product contains more than one straight whisky and more
than one other whisky: ``__ percent straight whiskies __ years or more
old, __ percent whiskies __ years or more old.'' In this case, the age
blanks must state the age of the youngest straight whisky and the age of
the youngest other whisky. However, in lieu of the foregoing statement,
the following statement may appear on the label: ``__ percent straight
whisky __ years old, percent straight whisky __ years old, __ percent
whisky __ years old, and __ percent whisky __ years old'';
(3) In the case of an imported rye whisky, wheat whisky, malt
whisky, or rye malt whisky, a label on the product must state each age
and percentage in the manner and form that would be required if the
whisky had been made in the United States;
(4) In the case of whisky made in the United States and stored in
reused oak barrels, other than corn whisky and light whisky, in lieu of
the words ``__ years old'' specified in paragraphs (b)(1) and (b)(2) of
this section, the period of storage in the reused oak barrels must
appear on the label as follows: ``stored __ years in reused cooperage.''
(c) Statements of age for rum, brandy, and agave spirits. A
statement of age on labels of rums, brandies, and agave spirits is
optional, except that, in the case of brandy (other than immature
brandies, fruit brandies, marc brandy, pomace brandy, Pisco brandy, and
grappa brandy, which are not customarily stored in oak barrels) not
stored in oak barrels for a period of at least 2 years, a statement of
age must appear on the label. Any statement of age authorized or
required under this paragraph must appear substantially as follows: ``__
years old,'' with the blank to be filled in with the age of the youngest
distilled spirits in the product.
(d) Statement of storage for grain spirits. In the case of grain
spirits, the period of storage in oak barrels may appear on a label
immediately adjacent to the percentage statement required under Sec.
5.73, for example: ``__ % grain spirits stored __ years in oak
barrels.''
(e) Other distilled spirits. (1) Statements regarding age or
maturity or similar statements or representations on labels for all
other spirits, except neutral spirits, are permitted only when the
distilled spirits are stored in an oak barrel and, once dumped from the
barrel, subjected to no treatment besides mixing with water, filtering,
and bottling. If batches are made from barrels of spirits of different
ages, the label may only state the age of the youngest spirits.
(2) Statements regarding age or maturity or similar statements of
neutral spirits (except for grain spirits as stated in paragraph (c) of
this section) are prohibited from appearing on any label.
(f) Other age representations. (1) If a representation that is
similar to an age or maturity statement permitted under this section
appears on a label, a statement of age, in a manner that is conspicuous
and in characters at least half the type size of the representation must
also appear on each label that carries the representation, except in the
following cases:
(i) The use of the word ``old'' or another word denoting age as part
of the brand name of the product is not deemed to be an age
representation that requires a statement of age; and
(ii) Labels of whiskies and brandies (other than immature brandies,
pomace brandy, marc brandy, Pisco brandy, and grappa brandy) not
required to bear a statement of age, and rum and agave spirits aged for
not less than 4 years, may contain general inconspicuous age, maturity
or similar representations without the label having to bear an age
statement.
(2) Distillation dates (which may be an exact date or a year) may
appear on a label of spirits where the spirits are manufactured solely
through distillation. A distillation date may only appear if an optional
or mandatory age statement is used on the label and
[[Page 72]]
must appear in the same field of vision as the age statement.
Subpart F_Restricted Labeling Statements.
Sec. 5.81 General.
(a) Application. The labeling practices, statements, and
representations in this subpart may be used on distilled spirits labels
only when used in compliance with this subpart. In addition, if any of
the practices, statements, or representations in this subpart are used
elsewhere on containers or in packaging, they must comply with the
requirements of this subpart. For purposes of this subpart:
(1) The term ``label'' includes all labels on distilled spirits
containers on which mandatory information may appear, as set forth in
Sec. 5.61(a), as well as any other label on the container.
(2) The term ``container'' includes all parts of the distilled
spirits container, including any part of a distilled spirits container
on which mandatory information may appear, as well as those parts of the
container on which information does not satisfy mandatory labeling
requirements, as set forth in Sec. 5.61(b).
(3) The term ``packaging'' includes any carton, case, carrier,
individual covering or other packaging of such containers used for sale
at retail, but does not include shipping cartons or cases that are not
intended to accompany the container to the consumer.
(b) Statement or representation. For purposes of the practices in
this subpart, the term ``statement or representation'' includes any
statement, design, device, or representation, and includes pictorial or
graphic designs or representations as well as written ones. The term
``statement or representation'' includes explicit and implicit
statements and representations.
Food Allergen Labeling
Sec. 5.82 Voluntary disclosure of major food allergens.
(a) Definitions. For purposes of this section, the following terms
or phrases have the meanings indicated.
(1) Major food allergen means any of the following:
(i) Milk, egg, fish (for example, bass, flounder, or cod),
Crustacean shellfish (for example, crab, lobster, or shrimp), tree nuts
(for example, almonds, pecans, or walnuts), wheat, peanuts, and
soybeans; or
(ii) A food ingredient that contains protein derived from a food
specified in paragraph (a)(1)(i) of this section, except:
(A) Any highly refined oil derived from a food specified in
paragraph (a)(1)(i) of this section and any ingredient derived from such
highly refined oil; or
(B) A food ingredient that is exempt from major food allergen
labeling requirements pursuant to a petition for exemption approved by
the Food and Drug Administration (FDA) under 21 U.S.C. 343(w)(6) or
pursuant to a notice submitted to FDA under 21 U.S.C. 343(w)(7),
provided that the food ingredient meets the terms or conditions, if any,
specified for that exemption.
(2) Name of the food source from which each major food allergen is
derived means the name of the food as listed in paragraph (a)(1)(i) of
this section, except that:
(i) In the case of a tree nut, it means the name of the specific
type of nut (for example, almonds, pecans, or walnuts); and
(ii) In the case of Crustacean shellfish, it means the name of the
species of Crustacean shellfish (for example, crab, lobster, or shrimp);
and
(iii) The names ``egg'' and ``peanuts,'' as well as the names of the
different types of tree nuts, may be expressed in either the singular or
plural form, and the name ``soy,'' ``soybean,'' or ``soya'' may be used
instead of ``soybeans.''
(b) Voluntary labeling standards. Major food allergens used in the
production of a distilled spirits product may, on a voluntary basis, be
declared on any label affixed to the container. However, if any one
major food allergen is voluntarily declared, all major food allergens
used in production of the distilled spirits product, including major
food allergens used as fining or processing agents, must be declared,
except when covered by a petition for exemption approved by the
appropriate TTB officer under Sec. 5.83. The major food allergens
declaration must consist of
[[Page 73]]
the word ``Contains'' followed by a colon and the name of the food
source from which each major food allergen is derived (for example,
``Contains: egg'').
Sec. 5.83 Petitions for exemption from major food allergen labeling.
(a) Submission of petition. Any person may petition the appropriate
TTB officer to exempt a particular product or class of products from the
labeling requirements of Sec. 5.82. The burden is on the petitioner to
provide scientific evidence (as well as the analytical method used to
produce the evidence) that demonstrates that the finished product or
class of products, as derived by the method specified in the petition,
either:
(1) Does not cause an allergic response that poses a risk to human
health; or
(2) Does not contain allergenic protein derived from one of the
foods identified in Sec. 5.82(a)(1)(i), even though a major food
allergen was used in production.
(b) Decision on petition. TTB will approve or deny a petition for
exemption submitted under paragraph (a) of this section in writing
within 180 days of receipt of the petition. If TTB does not provide a
written response to the petitioner within that 180-day period, the
petition will be deemed denied, unless an extension of time for decision
is mutually agreed upon by the appropriate TTB officer and the
petitioner. TTB may confer with the Food and Drug Administration (FDA)
on petitions for exemption, as appropriate and as FDA resources permit.
TTB may require the submission of product samples and other additional
information in support of a petition; however, unless required by TTB,
the submission of samples or additional information by the petitioner
after submission of the petition will be treated as the withdrawal of
the initial petition and the submission of a new petition. An approval
or denial under this section will constitute final agency action.
(c) Resubmission of a petition. After a petition for exemption is
denied under this section, the petitioner may resubmit the petition
along with supporting materials for reconsideration at any time. TTB
will treat this submission as a new petition.
(d) Availability of information--(1) General. TTB will promptly post
to its website (https://www.ttb.gov) all petitions received under this
section, as well as TTB's responses to those petitions. Any information
submitted in support of the petition that is not posted to the TTB
website will be available to the public pursuant to the Freedom of
Information Act, at 5 U.S.C. 552, except where a request for
confidential treatment is granted under paragraph (d)(2) of this
section.
(2) Requests for confidential treatment of business information. A
person who provides trade secrets or other commercial or financial
information in connection with a petition for exemption under this
section may request that TTB give confidential treatment to that
information. A failure to request confidential treatment at the time the
information in question is submitted to TTB will constitute a waiver of
confidential treatment. A request for confidential treatment of
information under this section must conform to the following standards:
(i) The request must be in writing;
(ii) The request must clearly identify the information to be kept
confidential;
(iii) The request must relate to information that constitutes trade
secrets or other confidential commercial or financial information
regarding the business transactions of an interested person, the
disclosure of which would cause substantial harm to the competitive
position of that person;
(iv) The request must set forth the reasons why the information
should not be disclosed, including the reasons why the disclosure of the
information would prejudice the competitive position of the interested
person; and
(v) The request must be supported by a signed statement by the
interested person, or by an authorized officer or employee of that
person, certifying that the information in question is a trade secret or
other confidential commercial or financial information and that the
information is not already in the public domain.
[[Page 74]]
Production Claims
Sec. 5.84 Use of the term ``organic.''
Use of the term ``organic'' is permitted if any such use complies
with United States Department of Agriculture (USDA) National Organic
Program rules (7 CFR part 205), as interpreted by the USDA.
Sec. 5.85 [Reserved]
Sec. 5.86 [Reserved]
Other Label Terms
Sec. 5.87 ``Barrel Proof'' and similar terms.
(a) The term ``barrel proof'' or ``cask strength'' may be used to
refer to distilled spirits stored in wood barrels only when the bottling
proof is not more than two degrees lower than the proof of the spirits
when the spirits are dumped from the barrels.
(b) The term ``original proof,'' ``original barrel proof,''
``original cask strength,'' or ``entry proof'' may be used only if the
distilled spirits were stored in wooden barrels and the proof of the
spirits entered into the barrel and the proof of the bottled spirits are
the same.
Sec. 5.88 Bottled in bond.
(a) The term ``bond,'' ``bonded,'' ``bottled in bond,'' or ``aged in
bond,'' or phrases containing these or synonymous terms, may be used
(including as part of the brand name) only if the distilled spirits are:
(1) Composed of the same kind (type, if one is applicable to the
spirits, otherwise class) of spirits distilled from the same class of
materials;
(2) Distilled in the same distilling season (as defined in Sec.
5.1) by the same distiller at the same distillery.
(3) Stored for at least 4 years in wooden containers wherein the
spirits have been in contact with the wood surface, except for vodka,
which must be stored for at least 4 years in wooden containers coated or
lined with paraffin or other substance which will preclude contact of
the spirits with the wood surface, and except for gin, which must be
stored in paraffin-lined or unlined wooden containers for at least 4
years;
(4) Unaltered from their original condition or character by the
addition or subtraction of any substance other than by filtration, chill
proofing, or other physical treatments (which do not involve the
addition of any substance which will remain in the finished product or
result in a change in class or type);
(5) Reduced in proof by the addition of only pure water to 50
percent alcohol by volume (100 degrees of proof); and
(6) Bottled at 50 percent alcohol by volume (100 degrees of proof).
(b) Imported spirits labeled as ``bottled in bond'' or other
synonymous term described above must be manufactured in accordance with
paragraphs (a)(1) through (6) of this section and may only be so labeled
if the laws and regulations of the country in which the spirits are
manufactured authorize the bottling of spirits in bond and require or
specifically authorize such spirits to be so labeled. The ``bottled in
bond'' or synonymous statement must be immediately followed, in the same
font and type size, by the name of the country under whose laws and
regulations such distilled spirits were so bottled.
(c) Domestically manufactured spirits labeled as ``bottled in bond''
or with some other synonymous statement must bear the real name of the
distillery or the trade name under which the distiller distilled and
warehoused the spirits, and the number of the distilled spirits plant in
which distilled, and the number of the distilled spirits plant in which
bottled. The label may also bear the name or trade name of the bottler.
Sec. 5.89 Multiple distillation claims.
(a) Truthful statements about the number of distillations, such as
``double distilled,'' ``distilled three times,'' or similar terms to
convey multiple distillations, may be used if they are truthful
statements of fact. For the purposes of this section only, the term
``distillation'' means a single run through a pot still or a single run
through a column of a column (reflux) still. For example, if a column
still has three separate columns, one complete additional run through
the system would constitute three additional distillations.
[[Page 75]]
(b) The number of distillations may be understated but may not be
overstated.
Sec. 5.90 Terms related to Scotland.
(a) The words ``Scotch,'' ``Scots,'' ``Highland,'' or ``Highlands,''
and similar words connoting, indicating, or commonly associated with
Scotland, may be used to designate only distilled spirits wholly
manufactured in Scotland, except that the term ``Scotch whisky'' may
appear in the designation for a flavored spirit (``Flavored Scotch
Whisky'') or in a truthful statement of composition (``Scotch whisky
with natural flavors'') where the base distilled spirit meets the
requirements for a Scotch whisky designation, regardless of where the
finished product is manufactured.
(b) In accordance with Sec. 5.127, statements relating to
government supervision may appear on Scotch whisky containers only if
such labeling statements are required or specifically authorized by the
applicable regulations of the United Kingdom.
Sec. 5.91 Use of the term ``pure.''
Distilled spirits labels, containers, or packaging may not bear the
word ``pure'' unless it:
(a) Refers to a particular ingredient used in the production of the
distilled spirits, and is a truthful representation about that
ingredient;
(b) Is part of the bona fide name of a permittee or retailer for
which the distilled spirits are bottled; or
(c) Is part of the bona fide name of the permittee that bottled the
distilled spirits.
Subpart G_Prohibited Labeling Practices
Sec. 5.101 General.
(a) Application. The prohibitions set forth in this subpart apply to
any distilled spirits label, container, or packaging. For purposes of
this subpart:
(1) The term ``label'' includes all labels on distilled spirits
containers on which mandatory information may appear, as set forth in
Sec. 5.61(a), as well as any other label on the container;
(2) The term ``container'' includes all parts of the distilled
spirits container, including any part of a distilled spirits container
on which mandatory information may appear, as well as those parts of the
container on which information does not satisfy mandatory labeling
requirements, as set forth in Sec. 5.61(b); and
(3) The term ``packaging'' includes any carton, case, carrier,
individual covering or other packaging of such containers used for sale
at retail, but does not include shipping cartons or cases that are not
intended to accompany the container to the consumer.
(b) Statement or representation. For purposes of the practices in
this subpart, the term ``statement or representation'' includes any
statement, design, device, or representation, and includes pictorial or
graphic designs or representations as well as written ones. The term
``statement or representation'' includes explicit and implicit
statements and representations.
Sec. 5.102 False or untrue statements.
Distilled spirits labels, containers, or packaging may not contain
any statement or representation that is false or untrue in any
particular.
Sec. 5.103 Obscene or indecent depictions.
Distilled spirits labels, containers, or packaging may not contain
any statement, design, device, picture, or representation that is
obscene or indecent.
Subpart H_Labeling Practices That Are Prohibited If They Are Misleading
Sec. 5.121 General.
(a) Application. The labeling practices that are prohibited if
misleading set forth in this subpart apply to any distilled spirits
label, container, or packaging. For purposes of this subpart:
(1) The term ``label'' includes all labels on distilled spirits
containers on which mandatory information may appear, as set forth in
Sec. 5.61(a), as well as any other label on the container;
(2) The term ``container'' includes all parts of the distilled
spirits container, including any part of a distilled spirits container
on which mandatory information may appear, as well as those
[[Page 76]]
parts of the container on which information does not satisfy mandatory
labeling requirements, as set forth in Sec. 5.61(b); and
(3) The term ``packaging'' includes any carton, case, carrier,
individual covering or other packaging of such containers used for sale
at retail, but does not include shipping cartons or cases that are not
intended to accompany the container to the consumer.
(b) Statement or representation. For purposes of this subpart, the
term ``statement or representation'' includes any statement, design,
device, or representation, and includes pictorial or graphic designs or
representations as well as written ones. The term ``statement or
representation'' includes explicit and implicit statements and
representations.
Sec. 5.122 Misleading statements or representations.
(a) General prohibition. Distilled spirits labels, containers, or
packaging may not contain any statement or representation, irrespective
of falsity, that is misleading to consumers as to the age, origin,
identity, or other characteristics of the distilled spirits, or with
regard to any other material factor.
(b) Ways in which statements or representations may be found to be
misleading. (1) A statement or representation is prohibited,
irrespective of falsity, if it directly creates a misleading impression,
or if it does so indirectly through ambiguity, omission, inference, or
by the addition of irrelevant, scientific, or technical matter. For
example, an otherwise truthful statement may be misleading because of
the omission of material information, the disclosure of which is
necessary to prevent the statement from being misleading.
(2) All claims, whether implicit or explicit, must have a reasonable
basis in fact. Any claim on distilled spirits labels, containers, or
packaging that does not have a reasonable basis in fact, or cannot be
adequately substantiated upon the request of the appropriate TTB
officer, is considered misleading.
Sec. 5.123 Guarantees.
Distilled spirits labels, containers, or packaging may not contain
any statement relating to guarantees if the appropriate TTB officer
finds it is likely to mislead the consumer. However, money-back
guarantees are not prohibited.
Sec. 5.124 Disparaging statements.
(a) General. Distilled spirits labels, containers, or packaging may
not contain any false or misleading statement that explicitly or
implicitly disparages a competitor's product.
(b) Truthful and accurate comparisons. This section does not prevent
truthful and accurate comparisons between products (such as, ``Our
liqueur contains more strawberries than Brand X'') or statements of
opinion (such as, ``We think our rum tastes better than any other
distilled spirits on the market'').
Sec. 5.125 Tests or analyses.
Distilled spirits labels, containers, or packaging may not contain
any statement or representation of or relating to analyses, standards,
or tests, whether or not it is true, that is likely to mislead the
consumer. An example of such a misleading statement is ``tested and
approved by our research laboratories'' if the testing and approval does
not in fact have any significance.
Sec. 5.126 Depictions of government symbols.
Representations of the armed forces and flags. Distilled spirits
labels, containers, or packaging may not show an image of any
government's flag or any representation related to the armed forces of
the United States if the representation, standing alone or considered
together with any additional language or symbols on the label, creates a
false or misleading impression that the product was endorsed by, made
by, used by, or made under the supervision of, the government
represented by that flag or by the armed forces of the United States.
This section does not prohibit the use of a flag as part of a claim of
American origin or another country of origin.
[[Page 77]]
Sec. Sec. 5.127-5.128
Sec. 5.129 Health-related statements.
(a) Definitions. When used in this section, the following terms have
the meaning indicated:
(1) Health-related statement means any statement related to health
(other than the warning statement required under part 16 of this
chapter) and includes statements of a curative or therapeutic nature
that, expressly or by implication, suggest a relationship between the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits product, and health benefits or effects on health.
The term includes both specific health claims and general references to
alleged health benefits or effects on health associated with the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, as well as health-related directional statements.
The term also includes statements and claims that imply that a physical
or psychological sensation results from consuming the distilled spirits,
as well as statements and claims of nutritional value (for example,
statements of vitamin content).
(2) Specific health claim means a type of health-related statement
that, expressly or by implication, characterizes the relationship of
distilled spirits, alcohol, or any substance found within the distilled
spirits, to a disease or health-related condition. Implied specific
health claims include statements, symbols, vignettes, or other forms of
communication that suggest, within the context in which they are
presented, that a relationship exists between alcohol, distilled
spirits, or any substance found within the distilled spirits, and a
disease or health-related condition.
(3) Health-related directional statement means a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of
distilled spirits or alcohol consumption.
(b) Rules for labeling--(1) Health-related statements. In general,
distilled spirits may not contain any health-related statement that is
untrue in any particular or tends to create a misleading impression as
to the effects on health of alcohol consumption. TTB will evaluate such
statements on a case-by-case basis and may require as part of the
health-related statement a disclaimer or some other qualifying statement
to dispel any misleading impression conveyed by the health-related
statement.
(2) Specific health claims. (i) TTB will consult with the Food and
Drug Administration (FDA), as needed, on the use of a specific health
claim on the distilled spirits. If FDA determines that the use of such a
labeling claim is a drug claim that is not in compliance with the
requirements of the Federal Food, Drug, and Cosmetic Act, TTB will not
approve the use of that specific health claim on the distilled spirits.
(ii) TTB will approve the use of a specific health claim on a
distilled spirits label only if the claim is truthful and adequately
substantiated by scientific or medical evidence; is sufficiently
detailed and qualified with respect to the categories of individuals to
whom the claim applies; adequately discloses the health risks associated
with both moderate and heavier levels of alcohol consumption; and
outlines the categories of individuals for whom any levels of alcohol
consumption may cause health risks. This information must appear as part
of the specific health claim.
(3) Health-related directional statements. A health-related
directional statement is presumed misleading unless it:
(i) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of distilled spirits or alcohol consumption; and
(ii)(A) Includes as part of the health-related directional statement
the following disclaimer: ``This statement should not encourage you to
drink or to increase your alcohol consumption for health reasons;'' or
(B) Includes as part of the health-related directional statement
some other qualifying statement that the appropriate TTB officer finds
is sufficient to dispel any misleading impression conveyed by the
health-related directional statement.
[[Page 78]]
Sec. 5.130 Appearance of endorsement.
(a) General. Distilled spirits labels, containers, or packaging may
not include the name, or the simulation or abbreviation of the name, of
any living individual of public prominence, or an existing private or
public organization, or any graphic, pictorial, or emblematic
representation of the individual or organization, if its use is likely
to lead a consumer to falsely believe that the product has been
endorsed, made, or used by, or produced for, or under the supervision
of, or in accordance with the specifications of, such individual or
organization. This section does not prohibit the use of such names where
the individual or organization has provided authorization for their use.
(b) Disclaimers. Statements or other representations do not violate
this section if, taken as a whole, they create no misleading impression
as to an implied endorsement either because of the context in which they
are presented or because of the use of an adequate disclaimer.
(c) Exception. This section does not apply to the use of the name of
any person engaged in business as a distiller, rectifier (processor),
blender, or other producer, or as an importer, wholesaler, retailer,
bottler, or warehouseman of distilled spirits. This section also does
not apply to the use by any person of a trade or brand name that is the
name of any living individual of public prominence or existing private
or public organization, provided such trade or brand name was used by
the industry member or its predecessors in interest prior to August 29,
1935.
Subpart I_Standards of Identity for Distilled Spirits
Sec. 5.141 The standards of identity in general.
(a) General. Distilled spirits are divided, for labeling purposes,
into classes, which are further divided into specific types. As set
forth in Sec. 5.63, a distilled spirits product label must bear the
appropriate class, type or other designation. The standards that define
the classes and types are known as the ``standards of identity.'' The
classes and types of distilled spirits set forth in this subpart apply
only to distilled spirits for beverage or other nonindustrial purposes.
(b) Rules. (1) Unless otherwise specified, when a standard of
identity states that a mash is of a particular ingredient (such as
``fermented mash of grain''), the mash must be made entirely of that
ingredient without the addition of other fermentable ingredients.
(2) Some distilled spirits products may conform to the standards of
identity of more than one class. Such products may be designated with
any single class designation defined in this subpart to which the
products conform.
(c) Designating with both class and type. If a product is designated
with both the class and the type, the type designation must be as
conspicuous as the class designation, and must appear in the same field
of vision.
(d) Words in a designation. All words in a designation must be
similarly conspicuous and must appear together.
Sec. 5.142 Neutral spirits or alcohol.
(a) The class neutral spirits. ``Neutral spirits'' or ``alcohol''
are distilled spirits distilled from any suitable material at or above
95 percent alcohol by volume (190[deg] proof), and, if bottled, bottled
at not less than 40 percent alcohol by volume (80[deg] proof). Neutral
spirits other than the type ``grain spirits'' may be designated as
``neutral spirits'' or ``alcohol'' on a label. Neutral spirits (other
than the type ``grain spirits'') may not be aged in wood barrels at any
time.
(b) Types. The following chart lists the types of neutral spirits
and the rules that apply to the type designation.
[[Page 79]]
------------------------------------------------------------------------
Type designation Standards
------------------------------------------------------------------------
(1) Vodka............................ Neutral spirits which may be
treated with up to two grams per
liter of sugar and up to one
gram per liter of citric acid.
Products to be labeled as vodka
may not be aged or stored in
wood barrels at any time except
when stored in paraffin-lined
wood barrels and labeled as
bottled in bond pursuant to Sec.
5.88. Vodka treated and
filtered with not less than one
ounce of activated carbon or
activated charcoal per 100 wine
gallons of spirits may be
labeled as ``charcoal
filtered.'' Addition of any
other flavoring or blending
materials changes the
classification to flavored vodka
or to a distilled spirits
specialty product, as
appropriate. Vodka must be
designated on the label as
``neutral spirits,''
``alcohol,'' or ``vodka''.
(2) Grain spirits.................... Neutral spirits distilled from a
fermented mash of grain and
stored in oak barrels. ``Grain
spirits'' must be designated as
such on the label. Grain spirits
may not be designated as
``neutral spirits'' or
``alcohol'' on the label.
------------------------------------------------------------------------
Sec. 5.143 Whisky.
(a) The class whisky. ``Whisky'' or ``whiskey'' is distilled spirits
that is an alcoholic distillate from a fermented mash of any grain
distilled at less than 95 percent alcohol by volume (190[deg] proof)
having the taste, aroma, and characteristics generally attributed to
whisky, stored in oak barrels (except that corn whisky need not be so
stored), and bottled at not less than 40 percent alcohol by volume
(80[deg] proof), and also includes mixtures of such distillates for
which no specific standards of identity are prescribed.
(b) Label designations. The word whisky may be spelled as either
``whisky'' or ``whiskey''. The place, State, or region where the whisky
was distilled may appear as part of the designation on the label if the
distillation and any required aging took place in that location (e.g.,
``New York Bourbon Whisky'' must be distilled and aged in the State of
New York); however, blending and bottling need not have taken place in
the same place, State, or region. However, if any whisky is made
partially from whisky distilled in a country other than that indicated
by the type designation, the label must indicate the percentage of such
whisky and the country where that whisky was distilled. Additionally,
the label of whisky that does not meet one of the standards for specific
types of whisky and that is comprised of components distilled in more
than one country must contain a statement of composition indicating the
country of origin of each component (such as ``Whisky--50% from Japan,
50% from the United States''). The word ``bourbon'' may not be used to
describe any whisky or whisky-based distilled spirits not distilled and
aged in the United States. The whiskies defined in paragraphs (c)(2)
through (6) and (10) through (14) of this section are distinctive
products of the United States and must have the country of origin stated
immediately adjacent to the type designation if it is distilled outside
of the United States, or the whisky designation must be proceeded by the
term ``American type'' if the country of origin appears elsewhere on the
label. For example, ``Brazilian Corn Whisky,'' ``Rye Whisky distilled in
Sweden,'' and ``Blended Whisky--Product of Japan'' are statements that
meet this country of origin requirement. ``Light whisky'', ``Blended
light whisky'', and ``Whisky distilled from bourbon (rye, wheat, malt,
rye malt, or other named grain) mash'' may only be produced in the
United States.
(c) Types of whisky. The following tables set out the designations
for whisky. Table 1 sets forth the standards for whisky that are defined
based on production, storage, and processing standards, while Table 2
sets forth rules for the types of whisky that are defined as distinctive
products of certain foreign countries. For the whiskies listed in Table
1, a domestic whisky may be labeled with the designation listed, when it
complies with the production standards in the subsequent columns. The
``source'' column indicates the source of the grain mash used to make
the whisky. The ``distillation proof'' indicates the allowable
distillation proof for that type. The ``storage'' column indicates the
type of packages (barrels) in which the spirits must be stored and
limits for the proof of the spirits when entering the packages. The
``neutral spirits permitted'' column indicates whether neutral spirits
may be used in the product in their original state (and
[[Page 80]]
not as vehicles for flavoring materials), and if so, how much may be
used. The ``harmless coloring, flavoring, blending materials permitted''
column indicates whether harmless coloring, flavoring, or blending
materials, other than neutral spirits in their original form, described
in Sec. 5.142, may be used in the product. The use of the word
``straight'' is a further designation of a type, and is optional.
[[Page 81]]
Table 1 to Paragraph (c)--Types of Whisky and Production, Storage, and Processing Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
Allowable coloring,
Type Source Distillation proof Storage Neutral spirits flavoring, blending
permitted materials permitted
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Whisky, which may be used as Fermented grain mash.. Less than 190[deg].... Oak barrels with no No................... Yes.
the designation for any of the minimum time
type designations under the class requirement.
``whisky,'' or may be used as the
designation if the whisky does not
meet one of the type designations
but satisfies the class
designation.
(2) Bourbon Whisky, Rye Whisky, Fermented mash of not 160[deg] or less...... Charred new oak No................... Yes, except for
Wheat Whisky, Malt Whisky, Rye less than 51%, barrels at 125[deg] bourbon whisky.
Malt Whisky, or [name of other respectively: Corn, or less.
grain] Whisky. Rye, Wheat, Malted
Barley, Malted Rye
Grain, [Other grain].
(3) Corn Whisky. (Whisky conforming Fermented mash of not 160[deg] or less...... Required only if age No................... Yes.
to this standard must be less than 80% corn. is claimed on the
designated as ``corn whisky.''). label. If stored,
must be stored at
125[deg] or less in
used or uncharred
new oak barrels.
(4) Straight Whisky................ Fermented mash of less 160[deg] or less...... Charred new oak No................... No.
than 51% corn, rye, barrels at 125[deg]
wheat, malted barley, or less for a
malted rye [or other] minimum of 2 years.
grain. (Includes
mixtures of straight
whiskies made in the
same state.).
(5) Straight Bourbon Whisky, Fermented mash of not 160[deg] or less...... Charred new oak No................... No.
Straight Rye Whisky, Straight less than 51%, barrels at 125[deg]
Wheat Whisky, Straight Malt respectively: Corn, or less for a
Whisky, or Straight Rye Malt Rye, Wheat, Malted minimum of 2 years.
Whisky. Barley, Malted Rye
Grain.
[[Page 82]]
(6) Straight Corn Whisky........... Fermented mash of not 160[deg] or less...... 125[deg] or less in No................... No.
less than 80% corn. used or uncharred
new oak barrels for
a minimum of 2 years.
(7) Whisky distilled from Bourbon/ Fermented mash of not 160[deg] or less...... Used oak barrels..... No................... Yes.
Rye/Wheat/Malt/Rye Malt/[Name of less than 51%,
other grain] mash. respectively: Corn,
Rye, Wheat, Malted
Barley, Malted Rye
Grain, [Other grain].
(8) Light Whisky................... Fermented grain mash.. More than 160[deg].... Used or uncharred new No................... Yes.
oak barrels.
(9) Blended Light Whisky (Light Light whisky blended Blend................. Will contain a blend. No................... Yes.
Whisky--a blend). with less than 20%
Straight Whisky on a
proof gallon basis.
(10) Blended Whisky (Whisky--a At least 20% Straight 160[deg] or less...... Will contain a blend Maximum of 80% on a Yes.
blend). Whisky on a proof of spirits, some proof gallon basis.
gallon basis plus stored and some not
Whisky or Neutral stored.
Spirits alone or in
combination.
(11) Blended Bourbon Whisky, At least 51% on a Blend................. Will contain a blend Maximum of 49% on a Yes.
Blended Rye Whisky, Blended Wheat proof gallon basis of spirits, some proof gallon basis.
Whisky, Blended Malt Whisky, of: Straight Bourbon, stored and some not
Blended Rye Malt Whisky, Blended Rye, Wheat, Malt, Rye stored.
Corn Whisky (or Whisky--a blend). Malt, or Corn Whisky;
the rest comprised of
Whisky or Neutral
Spirits alone or in
combination.
(12) Blend of Straight Whiskies Mixture of Straight 160[deg] or less...... Will contain a blend No, except as part of Yes.
(Blended Straight Whiskies). Whiskies that does of spirits which a flavor.
not conform to were aged at least 2
``Straight Whisky''. years.
[[Page 83]]
(13) Blended Straight Bourbon Mixture of Straight 160[deg] or less...... Will contain a blend No, except as part of Yes.
Whiskies, Blended Straight Rye Whiskies of the same of spirits which a flavor.
Whiskies, Blended Straight Wheat named type produced were aged at least 2
Whiskies, Blended Straight Malt in different states years.
Whiskies, Blended Straight Rye or produced in the
Malt Whiskies, Blended Straight same state but
Corn Whiskies, (or a blend of contains coloring,
straight whiskies). flavoring or blending
material.
(14) Spirit Whisky................. Mixture of Neutral Blend................. Will contain a blend Maximum of 95% on a Yes.
Spirits and 5% or of spirits, some proof gallon basis.
more on a proof stored and some not
gallon basis of: stored.
Whisky or Straight
Whisky or a
combination of both.
The Straight Whisky
component must be
less than 20% on a
proof gallon basis.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 84]]
Table 2 to Paragraph (c)--Types of Whisky That Are Distinctive Products
------------------------------------------------------------------------
------------------------------------------------------------------------
(16) Scotch whisky................... Whisky which is a distinctive
product of Scotland,
manufactured in Scotland in
compliance with the laws of the
United Kingdom regulating the
manufacture of Scotch whisky for
consumption in the United
Kingdom: Provided, That if such
product is a mixture of
whiskies, such mixture is
``blended Scotch whisky'' or
``Scotch whisky--a blend''.
(17) Irish whisky.................... Whisky which is a distinctive
product of Ireland, manufactured
either in the Republic of
Ireland or in Northern Ireland,
in compliance with their laws
regulating the manufacture of
Irish whisky for home
consumption: Provided, That if
such product is a mixture of
whiskies, such mixture is
``blended Irish whisky'' or
``Irish whisky--a blend''.
(18) Canadian whisky................. Whisky which is a distinctive
product of Canada, manufactured
in Canada in compliance with the
laws of Canada regulating the
manufacture of Canadian whisky
for consumption in Canada:
Provided, That if such product
is a mixture of whiskies, such
mixture is ``blended Canadian
whisky'' or ``Canadian whisky--a
blend''.
------------------------------------------------------------------------
Sec. 5.144 Gin.
(a) The class gin. ``Gin'' is distilled spirits made by original
distillation from mash, or by redistillation of distilled spirits, or by
mixing neutral spirits, with or over juniper berries and, optionally,
with or over other aromatics, or with or over extracts derived from
infusions, percolations, or maceration of such materials, and includes
mixtures of gin and neutral spirits. It must derive its main
characteristic flavor from juniper berries and be bottled at not less
than 40 percent alcohol by volume (80[deg] proof). Gin may be aged in
oak containers.
(b) Distilled gin. Gin made exclusively by original distillation or
by redistillation may be further designated as ``distilled,'' ``Dry,''
``London,'' ``Old Tom'' or some combination of these four terms.
Sec. 5.145 Brandy.
(a) The class brandy. ``Brandy'' is spirits that are distilled from
the fermented juice, mash, or wine of fruit, or from the residue
thereof, distilled at less than 95 percent alcohol by volume (190[deg]
proof) having the taste, aroma, and characteristics generally attributed
to the product, and bottled at not less than 40 percent alcohol by
volume (80[deg] proof).
(b) Label designations. Brandy conforming to one of the type
designations must be designated with the type name or specific
designation specified in the requirements for that type. The term
``brandy'' without further qualification (such as ``peach'' or ``marc'')
may only be used as a designation on labels of grape brandy as defined
in paragraph (c)(1) of this section. Brandy conforming to one of the
type designations defined in paragraphs (c)(1) through (12) of this
section must be designated on the label with the type name unless a
specific designation is included in the requirements for that type.
Brandy, or mixtures thereof, not conforming to any of the types defined
in this section must be designated on the label as ``brandy'' followed
immediately by a truthful and adequate statement of composition.
(c) Types. Paragraphs (c)(1) through (12) of this section set out
the types of brandy and the standards for each type.
[[Page 85]]
------------------------------------------------------------------------
Type Standards
------------------------------------------------------------------------
(1) Fruit brandy..................... Brandy distilled solely from the
fermented juice or mash of
whole, sound, ripe fruit, or
from standard grape or other
fruit wine, with or without the
addition of not more than 20
percent by weight of the pomace
of such juice or wine, or 30
percent by volume of the lees of
such wine, or both (calculated
prior to the addition of water
to facilitate fermentation or
distillation). Fruit brandy
includes mixtures of such brandy
with not more than 30 percent
(calculated on a proof gallon
basis) of lees brandy. Fruit
brandy derived solely from
grapes and stored for at least 2
years in oak containers must be
designated ``grape brandy'' or
``brandy.'' Grape brandy that
has been stored in oak barrels
for fewer than 2 years must be
designated ``immature grape
brandy'' or ``immature brandy.''
Fruit brandy, other than grape
brandy, derived from one variety
of fruit, must be designated by
the word ``brandy'' qualified by
the name of such fruit (for
example, ``peach brandy''),
except that ``apple brandy'' may
be designated ``applejack,''
``plum brandy'' may be
designated ``Slivovitz,'' and
``cherry brandy'' may be
designated ``Kirschwasser.''
Fruit brandy derived from more
than one variety of fruit must
be designated as ``fruit
brandy'' qualified by a truthful
and adequate statement of
composition, for example ``Fruit
brandy distilled from
strawberries and blueberries.''
(2) Cognac or ``Cognac (grape) Grape brandy distilled
brandy''. exclusively in the Cognac region
of France, which is entitled to
be so designated by the laws and
regulations of the French
government.
(3) Armagnac......................... Grape brandy distilled
exclusively in France in
accordance with the laws and
regulations of France regulating
the manufacture of Armagnac for
consumption in France.
(4) Brandy de Jerez.................. Grape brandy distilled
exclusively in Spain in
accordance with the laws and
regulations of Spain regulating
the manufacture of Brandy de
Jerez for consumption in Spain.
(5) Calvados......................... Apple brandy distilled
exclusively in France in
accordance with the laws and
regulations of France regulating
the manufacture of Calvados for
consumption in France.
(6) Pisco............................ Grape brandy distilled in Peru or
Chile in accordance with the
laws and regulations of the
country of manufacture of Pisco
for consumption in the country
of manufacture, including:
(i) ``Pisco Per[uacute]'' (or
``Pisco Peru''), which is Pisco
manufactured in Peru in
accordance with the laws and
regulations of Peru governing
the manufacture of Pisco for
consumption in that country; and
(ii) ``Pisco Chileno'' (or
``Chilean Pisco''), which is
Pisco manufactured in Chile in
accordance with the laws and
regulations of Chile governing
the manufacture of Pisco for
consumption in that country.
(7) Dried fruit brandy............... Brandy that conforms to the
standard for fruit brandy except
that it has been derived from
sound, dried fruit, or from the
standard wine of such fruit.
Brandy derived from raisins, or
from raisin wine, must be
designated ``raisin brandy.''
Dried fruit brandy, other than
raisin brandy, must be
designated by the word
``brandy'' qualified by the name
of the dried fruit(s) from which
made preceded by the word
``dried'', for example, ``dried
apricot brandy.''
(8) Lees brandy...................... Brandy distilled from the lees of
standard grape or other fruit
wine, and such brandy derived
solely from grapes must be
designated ``grape lees brandy''
or ``lees brandy.'' Lees brandy
derived from fruit other than
grapes must be designated as
``lees brandy,'' qualified by
the name of the fruit from which
such lees are derived, for
example, ``cherry lees brandy.''
(9) Pomace brandy or Marc brandy..... Brandy distilled from the skin
and pulp of sound, ripe grapes
or other fruit, after the
withdrawal of the juice or wine
therefrom. Such brandy derived
solely from grape components
must be designated ``grape
pomace brandy,'' ``grape marc
brandy'', ``pomace brandy,'' or
``mark brandy.'' Grape pomace
brandy may alternatively be
designated as ``grappa'' or
``grappa brandy.'' Pomace or
marc brandy derived from fruit
other than grapes must be
designated as ``pomace brandy''
or ``marc brandy'' qualified by
the name of the fruit from which
derived, for example, ``apple
pomace brandy'' or ``pear marc
brandy.''
(10) Residue brandy.................. Brandy distilled wholly or in
part from the fermented residue
of fruit or wine. Such brandy
derived solely from grapes must
be designated ``grape residue
brandy,'' or ``residue brandy.''
Residue brandy, derived from
fruit other than grapes, must be
designated as ``residue brandy''
qualified by the name of the
fruit from which derived, for
example, ``orange residue
brandy.'' Brandy distilled
wholly or in part from residue
materials which conforms to any
of the standards set forth in
paragraphs (b)(1) and (7)
through (9) of this section may,
regardless of such fact, be
designated ``residue brandy'',
but the use of such designation
shall be conclusive, precluding
any later change of designation.
(11) Neutral brandy.................. Any type of brandy distilled at
more than 85% alcohol by volume
(170[deg] proof) but less than
95% alcohol by volume. Such
brandy derived solely from
grapes must be designated
``grape neutral brandy,'' or
``neutral brandy.'' Other
neutral brandies, must be
designated in accordance with
the rules for those types of
brandy, and be qualified by the
word ``neutral''; for example,
``neutral citrus residue
brandy''.
[[Page 86]]
(12) Substandard brandy.............. Any brandy:
(i) Distilled from fermented
juice, mash, or wine having a
volatile acidity, calculated as
acetic acid and exclusive of
sulfur dioxide, in excess of
0.20 gram per 100 cubic
centimeters (20 degrees
Celsius); measurements of
volatile acidity must be
calculated exclusive of water
added to facilitate
distillation.
(ii) Distilled from unsound,
moldy, diseased, or decomposed
juice, mash, wine, lees, pomace,
or residue, or which shows in
the finished product any taste,
aroma, or characteristic
associated with products
distilled from such material.
(iii) Such brandy derived solely
from grapes must be designated
``substandard grape brandy,'' or
``substandard brandy.'' Other
substandard brandies must be
designated in accordance with
the rules for those types of
brandy, and be qualified by the
word ``substandard''; for
example, ``substandard fig
brandy''.
------------------------------------------------------------------------
Sec. 5.146 Blended applejack.
(a) The class blended applejack. ``Blended applejack'' is a mixture
containing at least 20 percent on a proof gallon basis of apple brandy
(applejack) that has been stored in oak barrels for not less than 2
years, and not more than 80 percent of neutral spirits on a proof gallon
basis. Blended applejack must be bottled at not less than 40 percent
alcohol by volume (80[deg] proof).
(b) Label designation. The label designation for blended applejack
may be ``blended applejack'' or ``applejack-a blend.''
Sec. 5.147 Rum.
(a) The class rum. ``Rum'' is distilled spirits that is distilled
from the fermented juice of sugar cane, sugar cane syrup, sugar cane
molasses, or other sugar cane by-products at less than 95 percent
alcohol by volume (190[deg] proof) having the taste, aroma, and
characteristics generally attributed to rum, and bottled at not less
than 40 percent alcohol by volume (80[deg] proof); and also includes
mixtures solely of such spirits. All rum may be designated as ``rum'' on
the label, even if it also meets the standards for a specific type of
rum.
(b) Types. Paragraph (b)(1) of this section describes a specific
type of rum and the standards for that type.
------------------------------------------------------------------------
Type Standards
------------------------------------------------------------------------
(1) Cacha[ccedil]a................... Rum that is a distinctive product
of Brazil, manufactured in
Brazil in compliance with the
laws of Brazil regulating the
manufacture of Cacha[ccedil]a
for consumption in that country.
The word ``Cacha[ccedil]a'' may
be spelled with or without the
diacritic mark (i.e.,
``Cacha[ccedil]a'' or
``Cachaca''). Cacha[ccedil]a may
be designated as
``Cacha[ccedil]a'' or ``rum'' on
labels.
(2) [Reserved]....................... .................................
------------------------------------------------------------------------
Sec. 5.148 Agave spirits.
(a) The class agave spirits. ``Agave spirits'' are distilled from a
fermented mash, of which at least 51 percent is derived from plant
species in the genus Agave and up to 49 percent is derived from other
sugars. Agave spirits must be distilled at less than 95 percent alcohol
by volume (190[deg] proof) and bottled at or above 40 percent alcohol by
volume (80[deg] proof). Agave spirits may be stored in wood barrels.
Agave spirits may contain added flavoring or coloring materials as
authorized by Sec. 5.155. This class also includes mixtures of agave
spirits. Agave spirits that meet the standard of identity for
``Tequila'' or ``Mezcal'' may be designated as ``agave spirits,'' or as
``Tequila'' or ``Mezcal'', as applicable.
(b) Types. Paragraphs (b)(1) and (2) of this section describe the
types of agave spirits and the rules for each type.
------------------------------------------------------------------------
Type Standards
------------------------------------------------------------------------
(1) Tequila.......................... An agave spirit that is a
distinctive product of Mexico.
Tequila must be made in Mexico,
in compliance with the laws and
regulations of Mexico governing
the manufacture of Tequila for
consumption in that country.
[[Page 87]]
(2) Mezcal........................... An agave spirit that is a
distinctive product of Mexico.
Mezcal must be made in Mexico,
in compliance with the laws and
regulations of Mexico governing
the manufacture of Mezcal for
consumption in that country.
------------------------------------------------------------------------
Sec. 5.149 [Reserved]
Sec. 5.150 Cordials and liqueurs.
(a) The class cordials and liqueurs. Cordials and liqueurs are
flavored distilled spirits that are made by mixing or redistilling
distilled spirits with or over fruits, flowers, plants, or pure juices
therefrom, or other natural flavoring materials, or with extracts
derived from infusions, percolation, or maceration of such materials,
and containing sugar (such as sucrose, fructose, dextrose, or levulose)
in an amount of not less than 2.5 percent by weight of the finished
product. Designations on labels may be ``Cordial'' or ``Liqueur,'' or,
in the alternative, may be one of the type designations below. Cordials
and liqueurs may not be designated as ``straight''. The designation of a
cordial or liqueur may include the word ``dry'' if sugar is less than 10
percent by weight of the finished product.
(b) Types. Paragraph (b)(1) through (12) of this section list
definitions and standards for optional type designations.
------------------------------------------------------------------------
Type Rule
------------------------------------------------------------------------
(1) Sloe gin......................... A cordial or liqueur with the
main characteristic flavor
derived from sloe berries.
(2) Rye liqueur, bourbon liqueur (or Liqueurs, bottled at not less
rye cordial or bourbon cordial). than 30 percent alcohol by
volume, in which not less than
51 percent, on a proof gallon
basis, of the distilled spirits
used are, respectively, rye or
bourbon whisky, straight rye or
straight bourbon whisky, or
whisky distilled from a rye or
bourbon mash, and which possess
a predominant characteristic rye
or bourbon flavor derived from
such whisky. Wine, if used, must
be within the 2.5 percent
limitation provided in Sec.
5.155 for coloring, flavoring,
and blending materials.
(3) Rock and rye; Rock and bourbon; Liqueurs, bottled at not less
Rock and brandy; Rock and rum. than 24 percent alcohol by
volume, in which, in the case of
rock and rye and rock and
bourbon, not less than 51
percent, on a proof gallon
basis, of the distilled spirits
used are, respectively, rye or
bourbon whisky, straight rye or
straight bourbon whisky, or
whisky distilled from a rye or
bourbon mash, and, in the case
of rock and brandy and rock and
rum, the distilled spirits used
are all grape brandy or rum,
respectively; containing rock
candy or sugar syrup, with or
without the addition of fruit,
fruit juices, or other natural
flavoring materials, and
possessing, respectively, a
predominant characteristic rye,
bourbon, brandy, or rum flavor
derived from the distilled
spirits used. Wine, if used,
must be within the 2.5 percent
limitation provided in Sec.
5.155 for harmless coloring,
flavoring, and blending
materials.
(4) Rum liqueur, gin liqueur, brandy Liqueurs, bottled at not less
liqueur. than 30 percent alcohol by
volume, in which the distilled
spirits used are entirely rum,
gin, or brandy, respectively,
and which possess, respectively,
a predominant characteristic
rum, gin, or brandy flavor
derived from the distilled
spirits used. In the case of
brandy liqueur, the type of
brandy must be stated in
accordance with paragraph (d) of
this section, except that
liqueurs made entirely with
grape brandy may be designated
simply as ``brandy liqueur.''
Wine, if used, must be within
the 2.5 percent limitation
provided for in Sec. 5.155 for
harmless coloring, flavoring,
and blending materials.
(5) Amaretto......................... Almond flavored liqueur/cordial
(6) Kummel........................... Caraway flavored liqueur/cordial
(7) Ouzo, Anise, Anisette............ Anise flavored liqueurs/cordials
(8) Sambuca.......................... Anise flavored liqueur. See Sec.
5.154(b)(2) for designation
rules for Sambuca not produced
in Italy.
(9) Peppermint Schnapps.............. Peppermint flavored liqueur/
cordial
(10) Triple Sec and Curacao.......... Orange flavored liqueurs/
cordials. Curacao may be
preceded by the color of the
liqueur/cordial (for example,
Blue Curacao).
(11) Cr[egrave]me de................. A liqueur/cordial where the blank
is filled in with the
predominant flavor (for example,
Cr[egrave]me de menthe is mint
flavored liqueur/cordial.)
(12) Goldwasser...................... Herb flavored liqueur/cordial and
containing gold flakes. See Sec.
5.154(b)(2) for designation
rules for Goldwasser not made in
Germany.
------------------------------------------------------------------------
Sec. 5.151 Flavored spirits.
(a) The class flavored spirits. ``Flavored spirits'' are distilled
spirits that are spirits conforming to one of the standards of identity
set forth in Sec. Sec. 5.142 through 5.148 to which have
[[Page 88]]
been added nonbeverage natural flavors, wine, or nonalcoholic natural
flavoring materials, with or without the addition of sugar, and bottled
at not less than 30 percent alcohol by volume (60[deg] proof). The
flavored spirits must be specifically designated by the single base
spirit and one or more of the most predominant flavors (for example,
``Pineapple Flavored Tequila'' or ``Cherry Vanilla Flavored Bourbon
Whisky''). The base spirit must conform to the standard of identity for
that spirit before the flavoring is added. Base spirits that are a
distinctive product of a particular place must be manufactured in
accordance with the laws and regulations of the country as designated in
the base spirit's standard of identity. If the finished product contains
more than 2.5 percent by volume of wine, the kinds and percentages by
volume of wine must be stated as a part of the designation (whether the
wine is added directly to the product or whether it is first mixed into
an intermediate product), except that a flavored brandy may contain an
additional 12.5 percent by volume of wine, without label disclosure, if
the additional wine is derived from the particular fruit corresponding
to the labeled flavor of the product.
(b) [Reserved]
Sec. 5.152 Imitations.
(a) Imitations must bear, as a part of the designation thereof, the
word ``imitation'' and include the following:
(1) Any class or type of distilled spirits to which has been added
coloring or flavoring material of such nature as to cause the resultant
product to simulate any other class or type of distilled spirits;
(2) Any class or type of distilled spirits (other than distilled
spirits specialty products as defined in Sec. 5.156) to which has been
added flavors considered to be artificial or imitation.
(3) Any class or type of distilled spirits (except cordials,
liqueurs and specialties marketed under labels which do not indicate or
imply that a particular class or type of distilled spirits was used in
the manufacture thereof) to which has been added any whisky essence,
brandy essence, rum essence, or similar essence or extract which
simulates or enhances, or is used by the trade or in the particular
product to simulate or enhance, the characteristics of any class or type
of distilled spirits;
(4) Any type of whisky to which beading oil has been added;
(5) Any rum to which neutral spirits or distilled spirits other than
rum have been added;
(6) Any brandy made from distilling material to which has been added
any amount of sugar other than the kind and amount of sugar expressly
authorized in the production of standard wine; and
(7) Any brandy to which neutral spirits or distilled spirits other
than brandy have been added, except that this provision shall not apply
to any product conforming to the standard of identity for blended
applejack.
(b) If any of the standards set forth in paragraphs (a)(1) through
(7) of this section apply, the ``Imitation'' class designation must be
used in front of the appropriate class as part of the designation (for
example, Imitation Whisky).
Sec. 5.153 [Reserved]
Sec. 5.154 Rules for geographical designations.
(a) Geographical designations. (1) Geographical names for
distinctive types of distilled spirits (other than names found by the
appropriate TTB officer under paragraph (a)(2) of this section to have
become generic) may not be applied to distilled spirits produced in any
other place than the particular region indicated by the name, unless:
(i) There appears the word ``type'' or the word ``American'' or some
other adjective indicating the true place of production, in lettering
substantially as conspicuous as such name; and
(ii) The distilled spirits to which the name is applied conform to
the distilled spirits of that particular region. The following are
examples of distinctive types of distilled spirits with geographical
names that have not become generic: Eau de Vie de Dantzig (Danziger
Goldwasser), Ojen, Swedish punch. Geographical names for distinctive
types of distilled spirits may be used to designate only distilled
spirits
[[Page 89]]
conforming to the standard of identity, if any, for such type specified
in this section, or if no such standard is so specified, then in
accordance with the trade understanding of that distinctive type.
(2) Only such geographical names for distilled spirits as the
appropriate TTB officer finds have by usage and common knowledge lost
their geographical significance to such extent that they have become
generic shall be deemed to have become generic. Examples are London dry
gin, Geneva (Hollands) gin.
(3) Geographical names that are not names for distinctive types of
distilled spirits, and that have not become generic, shall not be
applied to distilled spirits produced in any other place than the
particular place or region indicated in the name. Examples are Armagnac,
Greek brandy, Jamaica rum, Puerto Rico rum, Demerara rum and Andong
Soju.
(b) Products without geographical designations but distinctive of a
particular place. (1) The whiskies of the types specified in paragraphs
(c)(2) through (6) and (10) through (14) of Sec. 5.143 are distinctive
products of the United States and if produced in a foreign country shall
be designated by the applicable designation prescribed in such
paragraphs, together with the words ``American type'' or the words
``produced (distilled, blended) in __'', the blank to be filled in with
the name of the foreign country: Provided, That the word ``bourbon''
shall not be used to describe any whisky or whisky-based distilled
spirits not produced in the United States. If whisky of any of these
types is composed in part of whisky or whiskies produced in a foreign
country there shall be stated, on the brand label, the percentage of
such whisky and the country of origin thereof.
(2) The name for other distilled spirits which are distinctive
products of a particular place or country (such as Habanero), may not be
given to the product of any other place or country unless the
designation for such product includes the word ``type'' or an adjective
such as ``American'', or the like, clearly indicating the true place of
production. The provision for place of production shall not apply to
designations which by usage and common knowledge have lost their
geographical significance to such an extent that the appropriate TTB
officer finds they have become generic. Examples of generic designations
are Slivovitz, Zubrovka, Aquavit, Arrack, and Kirschwasser.
Sec. 5.155 Alteration of class and type.
(a) Definitions--(1) Coloring, flavoring, or blending material. For
the purposes of this section, the term ``coloring, flavoring, or
blending material'' means a harmless substance that is an essential
component of the class or type of distilled spirits to which it is
added; or a harmless substance, such as caramel, straight malt or
straight rye malt whiskies, fruit juices, sugar, infusion of oak chips
when approved by the Administrator, or wine, that is not an essential
component part of the distilled spirits product to which it is added but
which is customarily employed in the product in accordance with
established trade usage.
(2) Certified color. For purposes of this section, the term
``certified color'' means a color additive that is required to undergo
batch certification in accordance with part 74 or part 82 of the Food
and Drug Administration regulations (21 CFR parts 74 and 82). An example
of a certified color is FD&C Blue No. 2.
(b) Allowable additions. Except as provided in paragraph (c) of this
section, the following may be added to distilled spirits without
changing the class or type designation:
(1) Coloring, flavoring, and blending materials that are essential
components of the class or type of distilled spirits to which added;
(2) Coloring, flavoring, and blending materials that are not
essential component parts of the distilled spirits to which added,
provided that such coloring, flavoring, or blending materials do not
total more than 2.5 percent by volume of the finished product; and
(3) Wine, when added to Canadian whisky in Canada in accordance with
the laws and regulations of Canada governing the manufacture of Canadian
whisky.
(c) Special rules. The addition of the following will require a
redesignation
[[Page 90]]
of the class or type of the distilled spirits product to which added:
(1) Coloring, flavoring, or blending materials that are not
essential component parts of the class or type of distilled spirits to
which they are added, if such coloring, flavoring, and blending
materials total more than 2.5 percent by volume of the finished product;
(2) Any material, other than caramel, infusion of oak chips, and
sugar, added to Cognac brandy;
(3) Any material whatsoever added to neutral spirits or straight
whisky, except that vodka may be treated with sugar, in an amount not to
exceed two grams per liter, and with citric acid, in an amount not to
exceed one gram per liter;
(4) Certified colors, carmine, or cochineal extract;
(5) Any material that would render the product to which it is added
an imitation, as defined in Sec. 5.152; or
(6) For products that are required to be stored in oak barrels in
accordance with a standard of identity, the storing of the product in an
additional barrel made of another type of wood.
(d) Extractions from distilled spirits. The removal of any
constituents from a distilled spirits product to such an extent that the
product no longer possesses the taste, aroma, and characteristics
generally attributed to that class or type of distilled spirits will
alter the class or type of the product, and the resulting product must
be redesignated appropriately. In addition, in the case of straight
whisky, the removal of more than 15 percent of the fixed acids, volatile
acids, esters, soluble solids, or higher alcohols, or the removal of
more than 25 percent of the soluble color, constitutes an alteration of
the class or type of the product and requires a redesignation of the
product.
(e) Exceptions. Nothing in this section has the effect of modifying
the standards of identity specified in Sec. 5.150 for cordials and
liqueurs, and in Sec. 5.151 for flavored spirits, or of authorizing any
product defined in Sec. 5.152 to be designated as other than an
imitation.
Sec. 5.156 Distilled spirits specialty products.
(a) General. Distilled spirits that do not meet one of the other
standards of identity specified in this subpart are distilled spirits
specialty products and must be designated in accordance with trade and
consumer understanding, or, if no such understanding exists, with a
distinctive or fanciful name (which may be the name of a cocktail)
appearing in the same field of vision as a statement of composition. The
statement of composition and the distinctive or fanciful name serve as
the class and type designation for these products. The statement of
composition must follow the rules found in Sec. 5.166. A product may
not bear a designation which indicates it contains a class or type of
distilled spirits unless the distilled spirits therein conform to such
class and type.
(b) Products designated in accordance with trade and consumer
understanding. Products may be designated in accordance with trade and
consumer understanding without a statement of composition if the
appropriate TTB officer has determined that there is such understanding.
Sec. Sec. 5.157-5.165 [Reserved]
Sec. 5.166 Statements of composition.
(a) Rules for the statement of composition. When a statement of
composition is required as part of a designation for a distilled spirits
specialty product, the statement must be truthful and adequate.
(b) Cocktails. A statement of the classes and types of distilled
spirits used in the manufacture thereof will be deemed a sufficient
statement of composition in the case of highballs, cocktails, and
similar prepared specialties when the designation adequately indicates
to the consumer the general character of the product.
Subpart J_Formulas
Sec. 5.191 Application.
The requirements of this subpart apply to the following persons:
(a) Proprietors of distilled spirits plants qualified as processors
under part 19 of this chapter;
(b) Persons in the Commonwealth of Puerto Rico who manufacture
distilled spirits products for shipment to the United States. However,
the filing of a
[[Page 91]]
formula for approval by TTB is only required for those products that
will be shipped to the United States; and
(c) Persons who ship Virgin Islands distilled spirits products into
the United States.
Sec. 5.192 Formula requirements.
(a) General. An approved formula is required to blend, mix, purify,
refine, compound, or treat distilled spirits in a manner that results in
a change of class or type of the spirits.
(b) Preparation and submission. In order to obtain formula approval,
a person listed in Sec. 5.191 must file a formula in accordance with
the instructions on TTB Form 5100.51, Formula and Process for Domestic
and Imported Alcohol Beverages (if filing by paper) or on Formulas
Online, if filing electronically. When a product will be made or
processed under the same formula at more than one location operated by
the distiller or processor, the distiller or processor must identify on
the form each place of production or processing by name and address, and
by permit number, if applicable, and must ensure that a copy of the
approved formula is maintained at each location.
(c) Existing approvals. Any approval of a formula will remain in
effect until revoked, superseded, or voluntarily surrendered, and if the
formula is revoked, superseded, or voluntarily surrendered, any existing
qualifying statements on such approval as to the rate of tax or the
limited use of alcoholic flavors will be made obsolete.
(d) Change in formula. Any change in an approved formula requires
the filing of a new TTB Form 5100.51 for approval of the changed
formula. After a changed formula is approved, the filer must surrender
the original formula approval to the appropriate TTB officer.
Sec. 5.193 Operations requiring formulas.
The following operations change the class or type of distilled
spirits and therefore require formula approval under Sec. 5.192:
Provided, That, TTB may exempt categories of distilled spirits products
from specific regulatory formula requirements upon a finding that the
filing of a formula is no longer necessary in order to properly classify
the finished product:
(a) The compounding of distilled spirits through the mixing of a
distilled spirits product with any coloring or flavoring material, wine,
or other material containing distilled spirits, unless TTB has issued
public guidance recognizing that such ingredients are harmless coloring,
flavoring or blending materials that do not alter the class or type
pursuant to the standards set forth in Sec. 5.155;
(b) The manufacture of an intermediate product to be used
exclusively in other distilled spirits products on bonded premises;
(c) Any filtering or stabilizing process that results in a distilled
spirits product's no longer possessing the taste, aroma, and
characteristics generally attributed to the class or type of distilled
spirits before the filtering or stabilizing, or, in the case of straight
whisky, that results in the removal of more than 15 percent of the fixed
acids, volatile acids, esters, soluble solids, or higher alcohols, or
more than 25 percent of the soluble color;
(d) The mingling of spirits that differ in class or in type of
materials from which made;
(e) The mingling of distilled spirits that were stored in charred
cooperage with distilled spirits that were stored in plain or reused
cooperage, or the mixing of distilled spirits that have been treated
with wood chips with distilled spirits not so treated, or the mixing of
distilled spirits that have been subjected to any treatment which
changes their character with distilled spirits not subjected to such
treatment, unless it is determined by the appropriate TTB officer in
each of these cases that the composition of the distilled spirits is the
same notwithstanding the storage in different kinds of cooperage or the
treatment of a portion of the spirits;
(f) Except when authorized for production or storage operations by
part 19 of this chapter, the use of any physical or chemical process or
any apparatus that accelerates the maturing of the distilled spirits;
(g) The steeping or soaking of plant materials, such as fruits,
berries, aromatic herbs, roots, or seeds, in distilled
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spirits or wines at a distilled spirits plant;
(h) The artificial carbonating of distilled spirits;
(i) In Puerto Rico, the blending of distilled spirits with any
liquors manufactured outside Puerto Rico;
(j) The production of gin by:
(1) Redistillation, over juniper berries and other natural aromatics
or over the extracted oils of such materials, of spirits distilled at or
above 190 degrees of proof that are free from impurities, including such
spirits recovered by redistillation of imperfect gin spirits; or
(2) Mixing gin with other distilled spirits;
(k) The treatment of gin by:
(1) The addition or abstraction of any substance or material other
than pure water after redistillation in a manner that would change its
class and type designation; or
(2) The addition of any substance or material other than juniper
berries or other natural aromatics or the extracted oils of such
materials, or the addition of pure water, before or during
redistillation, in a manner that would change its class and type
designation; and
(l) The recovery of spirits by redistillation from distilled spirits
products containing other alcoholic ingredients and from spirits that
have previously been entered for deposit. However, no formula approval
is required for spirits redistilled into any type of neutral spirits
other than vodka or for spirits redistilled at less than 190 degrees of
proof that lack the taste, aroma and other characteristics generally
attributed to whisky, brandy, rum, or gin and that are designated as
``Spirits'' preceded or followed by a word or phrase descriptive of the
material from which distilled. Such spirits may not be designated
``Spirits Grain'' or ``Grain Spirits'' on any label.
Sec. 5.194 Adoption of predecessor's formulas.
A successor to a person listed in Sec. 5.191 may adopt a
predecessor's approved formulas by filing an application with the
appropriate TTB officer. The application must include a list of the
formulas for adoption and must identify each formula by formula number,
name of product, and date of approval. The application must clearly show
that the predecessor has authorized the use of the previously approved
formulas by the successor.
Subpart K_Standards of Fill and Authorized Container Sizes.
Sec. 5.201 General.
No person engaged in business as a distiller, rectifier (processor),
importer, wholesaler, bottler, or warehouseman and bottler, directly or
indirectly, or through an affiliate, may sell or ship or deliver for
sale or shipment in interstate or foreign commerce, or otherwise
introduce in interstate or foreign commerce, or receive therein, or
remove from customs custody for consumption, any distilled spirits in
containers, unless the distilled spirits are bottled in conformity with
Sec. Sec. 5.202 and 5.203.
Sec. 5.202 Standard liquor containers.
(a) General. Except as provided in paragraph (d) of this section and
in Sec. 5.205, distilled spirits must be bottled in standard liquor
containers, as defined in this paragraph. A standard liquor container is
a container that is made, formed, and filled in such a way that it does
not mislead purchasers as regards its contents. An individual carton or
other container of a bottle may not be so designed as to mislead
purchasers as to the size of the bottle it contains.
(b) Headspace. A filled liquor container of a capacity of 200
milliliters (6.8 fl. oz.) or more is deemed to mislead the purchaser if
it has a headspace in excess of 8 percent of the total capacity of the
container after closure.
(c) Design. Regardless of the correctness of the stated net
contents, a liquor container is deemed to mislead the purchaser if it is
made and formed in such a way that its actual capacity is substantially
less than the capacity it appears to have upon visual examination under
ordinary conditions of purchase or use.
(d) Exception for distinctive liquor bottles. The provisions of
paragraphs (b) and (c) of this section do not apply to liquor bottles
for which a distinctive
[[Page 93]]
liquor bottle approval has been issued pursuant to Sec. 5.205.
Sec. 5.203 Standards of fill (container sizes).
(a) Authorized standards of fill. The following metric standards of
fill are authorized for distilled spirits, whether domestically bottled
or imported:
(1) Containers other than cans. For containers other than cans
described in paragraph (a)(2) of this section--
(i) 1.8 Liters.
(ii) 1.75 Liters.
(iii) 1.00 Liter.
(iv) 900 mL.
(v) 750 mL.
(vi) 720 mL.
(vii) 700 mL.
(viii) 375 mL.
(ix) 200 mL.
(x) 100 mL.
(xi) 50 mL.
(2) Metal cans. For metal containers that have the general shape and
design of a can, that have a closure that is an integral part of the
container, and that cannot be readily reclosed after opening--
(i) 355 mL.
(ii) 200 mL.
(iii) 100 mL.
(iv) 50 mL.
(b) Spirits bottled using outdated standards. Paragraph (a) of this
section does not apply to:
(1) Imported distilled spirits in the original containers in which
entered into customs custody prior to January 1, 1980 (or prior to July
1, 1989 in the case of distilled spirits imported in 500 mL containers);
or
(2) Imported distilled spirits bottled or packed prior to January 1,
1980 (or prior to July 1, 1989 in the case of distilled spirits in 500
mL containers) and certified as to such in a statement signed by an
official duly authorized by the appropriate foreign government.
[T.D. TTB-176, 87 7579, Feb. 9, 2022, as amended by 87 FR 13157, Mar. 9,
2022]
Sec. 5.204 [Reserved]
Sec. 5.205 Distinctive liquor bottle approval.
(a) General. A bottler or importer of distilled spirits in
distinctive liquor bottles may apply for a distinctive liquor bottle
approval from the appropriate TTB officer. The distinctive liquor bottle
approval will provide an exemption only from those requirements that are
specified in paragraph (b) of this section. A distinctive liquor bottle
is a container that is not the customary shape and that may obscure the
net contents of the distilled spirits.
(b) Exemptions provided by the distinctive liquor bottle approval.
The distinctive liquor bottle approval issued pursuant to this section
will provide that:
(1) The provisions of Sec. 5.202(b) and (c) do not apply to the
liquor containers for which the distinctive liquor bottle approval has
been issued; and
(2) The information required to appear in the same field of vision
pursuant to Sec. 5.63(a) may appear elsewhere on a distinctive liquor
bottle for which the distinctive liquor bottle approval has been issued,
if the design of the container precludes the presentation of all
mandatory information in the same field of vision.
(c) How to apply. A bottler or importer of distilled spirits in
distinctive liquor bottles may apply for a distinctive liquor bottle
approval as part of the application for a certificate of label approval
(COLA).
Subpart L [Reserved]
Sec. 5.211 [Reserved]
Sec. 5.212 [Reserved]
Subpart M_Penalties and Compromise of Liability
Sec. 5.221 Criminal penalties.
A violation of the labeling provisions of 27 U.S.C. 205(e) is
punishable as a misdemeanor. See 27 U.S.C. 207 for the statutory
provisions relating to criminal penalties, consent decrees, and
injunctions.
Sec. 5.222 Conditions of basic permit.
A basic permit is conditioned upon compliance with the requirements
of 27 U.S.C. 205, including the labeling and advertising provisions of
this part. A willful violation of the conditions of a basic permit
provides grounds for the revocation or suspension of the permit,
[[Page 94]]
as applicable, as set forth in part 1 of this chapter.
Sec. 5.223 Compromise.
Pursuant to 27 U.S.C. 207, the appropriate TTB officer is
authorized, with respect to any violation of 27 U.S.C. 205, to
compromise the liability arising with respect to such violation upon
payment of a sum not in excess of $500 for each offense, to be collected
by the appropriate TTB officer and to be paid into the Treasury as
miscellaneous receipts.
Subpart N_Advertising of Distilled Spirits
Sec. 5.231 Application.
No person engaged in business as a distiller, rectifier (processor),
importer, wholesaler, bottler, or warehouseman and bottler of distilled
spirits, directly or indirectly or through an affiliate, shall publish
or disseminate or cause to be published or disseminated by radio or
television broadcast, or in any newspaper, periodical, or any
publication, by any sign or outdoor advertisement, or by electronic or
internet media, or any other printed or graphic matter, any
advertisement of distilled spirits, if such advertising is in, or is
calculated to induce sales in, interstate or foreign commerce, or is
disseminated by mail, unless such advertisement is in conformity with
this subpart: Provided, That such sections shall not apply to outdoor
advertising in place on September 7, 1984, but shall apply upon
replacement, restoration, or renovation of any such advertising; and
provided further, that such sections shall not apply to a retailer or
the publisher of any newspaper, periodical, or other publication, or
radio or television or internet broadcast, unless such retailer or
publisher or broadcaster is engaged in business as a distiller,
rectifier (processor), importer, wholesaler, or warehouseman and bottler
of distilled spirits, directly or indirectly, or through an affiliate.
Sec. 5.232 Definition.
As used in this subpart, the term ``advertisement'' ``or
advertising'' includes any written or verbal statement, illustration, or
depiction which is in, or calculated to induce sales in, interstate or
foreign commerce, or is disseminated by mail, whether it appears in a
newspaper, magazine, trade booklet, menu, wine card, leaflet, circular,
mailer, book insert, catalog, promotional material, sales pamphlet,
internet or other electronic site or social network, or in any written,
printed, graphic, or other matter (such as hang tags) accompanying, but
not firmly affixed to, the bottle, representations made on shipping
cases or in any billboard, sign, other outdoor display, public transit
card, other periodical literature, publication, or in a radio or
television broadcast, or in any other media; except that such term shall
not include:
(a) Any label affixed to any bottle of distilled spirits; or any
individual covering, carton, or other container of the bottle which
constitute a part of the labeling under this part.
(b) Any editorial or other reading material (such as a news release)
in any periodical or publication or newspaper for the publication of
which no money or valuable consideration or thing of value is paid or
promised, directly or indirectly, by any permittee, and which is not
written by or at the direction of the permittee.
Sec. 5.233 Mandatory statements.
(a) Responsible advertiser. The advertisement must display the
responsible advertiser's name, city, and State or the name and other
contact information (such as, telephone number, website, or email
address) where the responsible advertiser may be contacted.
(b) Class and type. The advertisement shall contain a conspicuous
statement of the class to which the product belongs and the type thereof
corresponding with the statement of class and type which is required to
appear on the label of the product.
(c) Alcohol content--(1) Mandatory statement. The alcohol content
for distilled spirits must be stated as a percentage of alcohol by
volume, in the manner set forth in Sec. 5.65 of this chapter for
labels. Products that contain a significant amount of material, such as
solid fruit, that may absorb spirits after bottling must state the
alcohol
[[Page 95]]
content at the time of bottling as follows: ``Bottled at __ percent-
alcohol-by-volume.''
(2) Optional statement. In addition, the advertisement may also
state the alcohol content in degrees of proof if this information
appears in the same field of vision as the statement expressed in
percent-alcohol-by-volume.
(d) Percentage of neutral spirits and name of commodity.
(1) In the case of distilled spirits (other than cordials, liqueurs,
flavored neutral spirits, including flavored vodka, and distilled
spirits specialty products) produced by blending or rectification, if
neutral spirits have been used in the production thereof, there shall be
stated the percentage of neutral spirits so used and the name of the
commodity from which such neutral spirits have been distilled. The
statement of percentage and the name of the commodity shall be made in
substantially the following form: ``__% neutral spirits distilled from
__ (insert grain, cane products, or fruit, or other products as
appropriate)''; or __% neutral spirits (vodka) distilled from __ (insert
grain, cane product, fruit, or other commodity, as appropriate)''; or
``__% grain (cane products), (fruit) neutral spirits''; or ``__% grain
spirits''. The statement used under this paragraph must be identical to
that on the label of distilled spirits to which the advertisement
refers.
(2) In the case of gin manufactured by a process of continuous
distillation or in the case of neutral spirits, there shall be stated
the name of the commodity from which such gin or neutral spirits were
distilled. The statement of the name of the commodity shall be made in
substantially the following form: ``Distilled from grain'', or
``Distilled from cane products'', or ``Distilled from fruit.'' The
statement used under this paragraph must be identical to that on the
label of distilled spirits to which the advertisement refers.
(e) Exception. (1) If an advertisement refers to a general distilled
spirits line or all of the distilled spirits products of one company,
whether by the company name or by the brand name common to all the
distilled spirits in the line, the only mandatory information necessary
is the responsible advertiser's name, city, and State or the name and
other contact information (such as telephone number, website, or email
address) where the responsible advertiser may be contacted. This
exception does not apply where only one type of distilled spirits is
marketed under the specific brand name advertised.
(2) On consumer specialty items (such as T-shirts, hats, bumper
stickers, or refrigerator magnets), the only information necessary is
the company name of the responsible advertiser or brand name of the
product.
Sec. 5.234 Legibility of mandatory information.
(a) Statements required under this subpart to appear in any written,
printed, or graphic advertisement shall be in lettering or type size
sufficient to be conspicuous and readily legible.
(b) In the case of signs, billboards, and displays the name and
address or name and other contact information (such as, telephone
number, website, or email) of the permittee responsible for the
advertisement may appear in type size of lettering smaller than the
other mandatory information, provided such information can be
ascertained upon closer examination of the sign or billboard.
(c) Mandatory information shall be so stated as to be clearly a part
of the advertisement and shall not be separated in any manner from the
remainder of the advertisement.
(d) Mandatory information for two or more products shall not be
stated unless clearly separated.
(e) Mandatory information shall be so stated in both the print and
audio-visual media that it will be readily apparent to the persons
viewing the advertisement.
Sec. 5.235 Prohibited practices.
(a) Restrictions. An advertisement of distilled spirits shall not
contain:
(1) Any statement that is false or untrue in any material
particular, or that, irrespective of falsity, directly, or by ambiguity,
omission, or inference, or by the addition of irrelevant, scientific or
technical matter tends to create a misleading impression.
(2) Any false or misleading statement that explicitly or implicitly
disparages
[[Page 96]]
a competitor's product. This does not prevent truthful and accurate
comparisons between products (such as, ``Our liqueur contains more
strawberries than Brand X'') or statements of opinion (such as, ``We
think our rum tastes better than any other distilled spirits on the
market'').
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards or tests, irrespective of falsity, which the
appropriate TTB officer finds to be likely to mislead the consumer.
(5) Any statement, design, device, or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate TTB
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) The words ``bond'', ``bonded'', ``bottled in bond'', ``aged in
bond'', or phrases containing these or synonymous terms, unless such
words or phrases appear, pursuant to Sec. 5.88, on labels of the
distilled spirits advertised, and are stated in the advertisement in the
manner and form in which they are permitted to appear on the label.
(7) The word ``pure'' unless:
(i) It refers to a particular ingredient used in the production of
the distilled spirits, and is a truthful representation about the
ingredient; or
(ii) It is part of the bona fide name of a permittee or retailer
from whom the distilled spirits are bottled; or
(iii) It is part of the bona fide name of the permittee who bottled
the distilled spirits.
(8) The words ``double distilled'' or ``triple distilled'' or any
similar terms unless it is a truthful statement of fact. For purposes of
this paragraph only, a distillation means a single run through a pot
still or a single run through a column of a column (reflux) still. The
number of distillations may be understated but may not be overstated.
(b) Statements inconsistent with labeling. (1) Advertisements shall
not contain any statement concerning a brand or lot of distilled spirits
that is inconsistent with any statement on the labeling thereof.
(2) Any label depicted on a container in an advertisement shall be a
reproduction of an approved label.
(c) Statement of age. The advertisement shall not contain any
statement, design, or device directly or by implication concerning age
or maturity of any brand or lot of distilled spirits unless a statement
of age appears on the label of the advertised product. When any such
statement, design, or device concerning age or maturity is contained in
any advertisement, it shall include (in direct conjunction therewith and
with substantially equal conspicuousness) all parts of the statement, if
any, concerning age and percentages required to be made on the label
under the provisions of Sec. 5.74. An advertisement for any whisky or
brandy (except immature brandies, pomace brandy, marc brandy, Pisco
brandy, and grappa brandy) which is not required to bear a statement of
age on the label or an advertisement for any rum or agave spirits, which
has been aged for not less than 4 years may, however, contain
inconspicuous, general representations as to age, maturity or other
similar representations even though a specific age statement does not
appear on the label of the advertised product and in the advertisement
itself.
(d) Health-related statements--(1) Definitions. When used in this
paragraph (d), terms are defined as follows:
(i) Health-related statement means any statement related to health
and includes statements of a curative or therapeutic nature that,
expressly or by implication, suggest a relationship between the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, and health benefits or effects on health. The
term includes both specific health claims and general references to
alleged health benefits or effects on health associated with the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, as well as health-related directional statements.
The term also includes statements and claims that imply that a physical
or psychological sensation results from consuming the distilled
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spirits, as well as statements and claims of nutritional value (e.g.,
statements of vitamin content). Statements concerning caloric,
carbohydrate, protein, and fat content do not constitute nutritional
claims about the product.
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
distilled spirits, alcohol, or any substance found within the distilled
spirits, to a disease or health-related condition. Implied specific
health claims include statements, symbols, vignettes, or other forms of
communication that suggest, within the context in which they are
presented, that a relationship exists between distilled spirits,
alcohol, or any substance found within the distilled spirits, and a
disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of
distilled spirits or alcohol consumption.
(2) Rules for advertising--(i) Health-related statements. In
general, advertisements may not contain any health-related statement
that is untrue in any particular or tends to create a misleading
impression as to the effects on health of alcohol consumption. TTB will
evaluate such statements on a case-by-case basis and may require as part
of the health-related statement a disclaimer or some other qualifying
statement to dispel any misleading impression conveyed by the health-
related statement. Such disclaimer or other qualifying statement must
appear as prominent as the health-related statement.
(ii) Specific health claims. A specific health claim will not be
considered misleading if it is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health claim
and in a manner as prominent as the specific health claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of distilled spirits or alcohol
consumption is presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of distilled spirits or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, the following disclaimer: ``This statement should not
encourage you to drink or increase your alcohol consumption for health
reasons;'' or
(2) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, some other qualifying statement that the appropriate TTB
officer finds is sufficient to dispel any misleading impression conveyed
by the health-related directional statement.
(e) Place of origin. The advertisement shall not represent that the
distilled spirits were manufactured in or imported from a place or
country other than that of their actual origin, or were produced or
processed by one who was not in fact the actual producer or processor.
(f) Confusion of brands. Two or more different brands or lots of
distilled spirits shall not be advertised in one advertisement (or in
two or more advertisements in one issue of a periodical or newspaper, or
in one piece of other written, printed, or graphic matter) if the
advertisement tends to create the impression that representations made
as to one brand or lot apply to the other or others, and if as to such
latter the representations contravene any provisions of this subpart or
are in any respect untrue.
(g) Representations of the armed forces or flags. Advertisements may
not show an image of any government's flag or
[[Page 98]]
any representation related to the armed forces of the United States if
the representation, standing alone or considered together with any
additional language or symbols, creates a false or misleading impression
that the product was endorsed by, made by, used by, or made under the
supervision of, the government represented by that flag or by the armed
forces of the United States. This section does not prohibit the use of a
flag as part of a claim of American origin or another country of origin.
(h) Deceptive advertising techniques. Subliminal or similar
techniques are prohibited. ``Subliminal or similar techniques,'' as used
in this subpart, refers to any device or technique that is used to
convey, or attempts to convey, a message to a person by means of images
or sounds of a very brief nature that cannot be perceived at a normal
level of awareness.
(i) Any use of the term ``organic'' in the advertising of distilled
spirits must comply with the United States Department of Agriculture's
(USDA) National Organic Program rules, 7 CFR part 205, as interpreted by
the USDA.
Sec. 5.236 Comparative advertising.
(a) General. Comparative advertising shall not be disparaging of a
competitor's product in a manner that is false or misleading.
(b) Taste tests. (1) Taste test results may be used in
advertisements comparing competitors' products unless they are
disparaging in a false or misleading manner; deceptive; or likely to
mislead the consumer.
(2) The taste test procedure used shall meet scientifically accepted
procedures. An example of a scientifically accepted procedure is
outlined in the Manual on Sensory Testing Methods, ASTM Special
Technical Publication 434, published by the American Society for Testing
and Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103, ASTM,
1968, Library of Congress Catalog Card Number 68-15545.
(3) A statement shall appear in the advertisement providing the name
and address of the testing administrator.
Subpart O_Paperwork Reduction Act
Sec. 5.241 OMB control numbers assigned under the Paperwork Reduction Act.
(a) Purpose. This subpart displays the control numbers assigned to
information collection requirements in this part by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995,
Public Law 104-13.
(b) Table. The following table identifies each section in this part
that contains an information collection requirement and the OMB control
number that is assigned to that information collection requirement.
Table 1 to Paragraph (b)
------------------------------------------------------------------------
Current OMB
Section where contained control No.
------------------------------------------------------------------------
5.11.................................................... 1513-0111
5.21.................................................... 1513-0020
5.22.................................................... 1513-0020
5.23.................................................... 1513-0020
5.24.................................................... 1513-0020
1513-0064
5.25.................................................... 1513-0020
5.27.................................................... 1513-0020
5.28.................................................... 1513-0122
5.29.................................................... 1513-0020
5.30.................................................... 1513-0064
5.62.................................................... 1513-0087
5.63.................................................... 1513-0084
1513-0087
5.82.................................................... 1513-0121
5.83.................................................... 1513-0121
5.84.................................................... 1513-0087
5.87.................................................... 1513-0087
5.88.................................................... 1513-0087
5.89.................................................... 1513-0087
5.90.................................................... 1513-0087
5.91.................................................... 1513-0087
5.192................................................... 1513-0122
5.193................................................... 1513-0122
5.194................................................... 1513-0122
5.203................................................... 1513-0064
5.205................................................... 1513-0020
5.233................................................... 1513-0087
------------------------------------------------------------------------
PART 6_``TIED-HOUSE''--Table of Contents
Subpart A_Scope of Regulations
Sec.
6.1 General.
6.2 Territorial extent.
6.3 Application.
6.4 Jurisdictional limits.
6.5 Delegations of the Administrator.
6.6 Administrative provisions.
[[Page 99]]
Subpart B_Definitions
6.11 Meaning of terms.
Subpart C_Unlawful Inducements
General
6.21 Application.
Interest in Retail License
6.25 General.
6.26 Indirect interest.
6.27 Proprietary interest.
Interest in Retail Property
6.31 General.
6.32 Indirect interest.
6.33 Proprietary interest.
6.34 Mortgages.
6.35 Renting display space.
Furnishing Things of Value
6.41 General.
6.42 Indirect inducement through third party arrangements.
6.43 Sale of equipment.
6.44 Free warehousing.
6.45 Assistance in acquiring license.
6.46-6.47 [Reserved]
Paying for Advertising, Display or Distribution Service
6.51 General.
6.52 Cooperative advertising.
6.53 Advertising in ballparks, racetracks, and stadiums.
6.54 Advertising in retailer publications.
6.55 Display service.
6.56 Renting display space.
Guaranteeing Loans
6.61 Guaranteeing loans.
Extension of Credit
6.65 General.
6.66 Calculation of period.
6.67 Sales to retailer whose account is in arrears.
Quota Sales
6.71 Quota sales.
6.72 ``Tie-in'' sales.
Subpart D_Exceptions
6.81 General.
6.82 [Reserved]
6.83 Product displays.
6.84 Point of sale advertising materials and consumer advertising
specialties.
6.85 Temporary retailers.
6.86-6.87 [Reserved]
6.88 Equipment and supplies.
6.89-6.90 [Reserved]
6.91 Samples.
6.92 Newspaper cuts.
6.93 Combination packaging.
6.94 Educational seminars.
6.95 Consumer tasting or sampling at retail establishments.
6.96 Consumer promotions.
6.97 [Reserved]
6.98 Advertising service.
6.99 Stocking, rotation, and pricing service.
6.100 Participation in retailer association activities.
6.101 Merchandise.
6.102 Outside signs.
Subpart E_Exclusion
6.151 Exclusion, in general.
6.152 Practices which put retailer independence at risk.
6.153 Criteria for determining retailer independence.
Authority: 15 U.S.C. 49-50; 27 U.S.C. 202 and 205; 44 U.S.C.
3504(h).
Source: T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, unless otherwise
noted.
Subpart A_Scope of Regulations
Sec. 6.1 General.
The regulations in this part, issued pursuant to section 105 of the
Federal Alcohol Administration Act (27 U.S.C. 205), specify practices
that are means to induce under section 105(b) of the Act, criteria for
determining whether a practice is a violation of section 105(b) of the
Act, and exceptions to section 105(b) of the Act. This part does not
attempt to enumerate all of the practices that may result in a violation
of section 105(b) of the Act. Nothing in this part shall operate to
exempt any person from the requirements of any State law or regulation.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
Sec. 6.2 Territorial extent.
This part applies to the several States of the United States, the
District of Columbia, and Puerto Rico.
Sec. 6.3 Application.
(a) General. This part applies only to transactions between industry
members and retailers. It does not apply to transactions between two
industry members (for example, between a producer and a wholesaler), or
to transactions between an industry member
[[Page 100]]
and a retailer wholly owned by that industry member.
(b) Transaction involving State agencies. The regulations in this
part apply only to transactions between industry members and State
agencies operating as retailers as defined in this part. The regulations
do not apply to State agencies with regard to their wholesale dealings
with retailers.
Sec. 6.4 Jurisdictional limits.
(a) General. The regulations in this part apply where:
(1) The industry member induces a retailer to purchase distilled
spirits, wine, or malt beverages from such industry member to the
exclusion in whole or in part of products sold or offered for sale by
other persons in interstate or foreign commerce; and
(2) If: (i) The inducement is made in the course of interstate or
foreign commerce; or
(ii) The industry member engages in the practice of using an
inducement to such an extent as substantially to restrain or prevent
transactions in interstate or foreign commerce in any such products; or
(iii) The direct effect of the inducement is to prevent, deter,
hinder or restrict other persons from selling or offering for sale any
such products to such retailer in interstate or foreign commerce.
(b) Malt beverages. In the case of malt beverages, this part applies
to transactions between a retailer in any State and a brewer, importer,
or wholesaler of malt beverages inside or outside such State only to the
extent that the law of such State imposes requirements similar to the
requirements of section 105(b) of the Federal Alcohol Administration Act
(27 U.S.C. 205(b)), with respect to similar transactions between a
retailer in such State and a brewer, importer, or wholesaler or malt
beverage in such State, as the case may be.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20421, Apr. 26, 1995]
Sec. 6.5 Delegations of the Administrator.
Most of the regulatory authorities of the Administrator contained in
this part are delegated to appropriate TTB officers. These TTB officers
are specified in TTB Order 1135.6, Delegation of the Administrator's
Authorities in 27 CFR Part 6, Tied-House. You may obtain a copy of this
order by accessing the TTB Web site (http://www.ttb.gov) or by mailing a
request to the Alcohol and Tobacco Tax and Trade Bureau, National
Revenue Center, 550 Main Street, Room 1516, Cincinnati, OH 45202.
[T.D. TTB-44, 71 FR 16922, Apr. 4, 2006]