Form TTB F 5110.41 TTB F 5110.41 Registration of Distilled Spirits Plant

1.

DEPARTMENT OF THE TREASURY
ALCOHOL AND TOBACCO TAX AND TRADE BUREAU (TTB)

OMB No. 1513-0048
SERIAL NUMBER (Begin with "1"
for original registration)

REGISTRATION OF DISTILLED SPIRITS PLANT
3.
6.

8.

9.

(Prepare in duplicate. See instructions below.)
PART I - APPLICATION
TO: DIRECTOR, NATIONAL REVENUE CENTER, ALCOHOL AND 4.
TOBACCO TAX AND TRADE BUREAU

2.EIN
5. PLANT NUMBER

DATE

NAME AND PRINCIPAL BUSINESS ADDRESS OF APPLICANT
7.
(Name and street, city, county, State, and ZIP code. If rural address,
show county, name or number of highway, approximate distance
and direction from applicant's post office, and ZIP code.)

PLANT ADDRESS (If different from address in Item 5)

OPERATIONS TO BE CONDUCTED (Check applicable boxes)
DISTILLER

WAREHOUSEMAN

PROCESSOR WHO:

DENATURES

BOTTLES

MANUFACTURES ARTICLES

PURPOSE FOR WHICH FILED (Such as original registration, extension of premises, changes in equipment, etc. Give brief description of
changes)

10. I am
or am not
required to furnish a bond under 27 CFR 19.151. I am not required to furnish a bond only if all of the following are
true: I will withdraw spirits for deferred payment of tax under 27 CFR 19.235, I was liable for not more than $50,000 in distilled spirits taxes
in the preceding calendar year, I reasonably expect to be liable for not more than $50,000 in such taxes during the current calendar year,
and I have no operations or withdrawals involving spirits for industrial use.
11. This application includes: (1) this form; (2) the papers and documents (including revisions) which are being submitted for the first time,
and which are listed in Items 11A and 11B; (3) the current papers and documents of the latest approved Form TTB 5110.41,
Serial No. ___________, which are listed in Items 11A-1 and 11B-1; and (4) the supporting organizational documents filed in connection
with another establishment but incorporated in this application by reference, and listed below in Item 11C.
11A-1. PAGES FROM CURRENT APPROVED FORM TTB F 5110.41:
11A. PAGES ATTACHED TO THIS FORM:

11B. ORGANIZATIONAL DOCUMENTS ATTACHED TO THIS FORM:
(List each document)

11B-1. ORGANIZATIONAL DOCUMENTS FILED WITH PRIOR
APPROVED FORM TTB F 5110.41: (List each document)

11C. ORGANIZATIONAL DOCUMENTS FILED IN CONNECTION WITH ANOTHER ESTABLISHMENT BUT INCORPORATED IN THIS APPLICATION BY REFERENCE: (List each document, and show the name or plant number under which filed)

Under penalties of perjury, I declare that I have examined this application, including accompanying documents, statement of security, and those
documents incorporated in the application by reference, and to the best of my knowledge and belief it is true, correct, and complete.
12. SIGNATURE

13. TITLE

PART II - NOTICE OF REGISTRATION
Registration is approved, effective __________________________________________________________, ________
SIGNATURE AND TITLE OF TTB OFFICIAL, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU

TTB F 5110.41 (11/2016)

DATE

GENERAL INSTRUCTION

1. Application for registration (or amended registration) of a distilled
spirits plant must be submitted on this form, in duplicate, to the
Director, National Revenue Center, 550 Main St, Ste 8002,
Cincinnati, OH 45202-5215. The application when
approved constitutes the notice of registration required by law
(26 U.S.C. 5171(c)) to be held before the operations of distiller,
warehouseman, processor, or any combination thereof, may be
commenced or continued.

2. The proprietor is responsible for keeping information in his/her
notice of registration current and complete. When a change
affects the notice, the proprietor must, as required by 27 CFR
Part 19, submit an application for amended registration, together
with supplemental or replacement pages, or documents necessary

to bring the notice of registration up to date. Replacement pages must
be numbered to correspond to the pages being replaced.
3. For a partnership, the application must be signed by all partners, or
by a partner authorized to sign on behalf of the firm, or by an
authorized attorney. For a corporation, the application must be
executed in the corporate name, followed by the signature and title
of the person authorized to act for the corporation.
4. A current notice of registration must be maintained at the plant by
the proprietor.

PAPERS AND DOCUMENTS TO BE SUBMITTED WITH APPLICATION
1. Applicants are required to furnish, in duplicate, as prescribed in 27
CFR Part 19, the following information on consecutively numbered,
dated, looseleaf pages assembled under this form;
a. List of applicant's operating and basic permits and the
operations, withdrawal, or unit bonds, and the penal sums
thereof (including those filed with this application), with the
name of the surety or sureties. Note--If the bond(s) is in an
amount less than the maximum penal sum, applicants must
include a statement of the maximum number of proof gallons
which will be stored on, and in transit to such bonded premises
during any 15 day period. Information related to bonds need
not be provided if no bond is required under 27 CFR 19.151.
b. List of the offices whose incumbents are authorized by the
articles of incorporation or the board of directors to act on behalf
of the proprietor, or to sign his name.
c. A statement of the type of business organization and of the
persons interested in the business, supported by the corporate
documents, articles of partnership, and statement of interest in
the business, as required by 27 CFR Part 19. (Where any
statement or document required by this paragraph is on file with
the Director, NRC, it may, by reference thereto by the applicant,
be made a part of the registration application.)
d. Description of the distilled spirits plant.
e. List of major equipment.
f. A certified statement that relevant and material accounting records
will be in accordance with generally accepted accounting principles which enable the proprietor to file a correct distilled spirits
tax return and to determine whether he/she is liable for distilled
spirits taxes.

g. Statement of physical security measures employed (see 27 CFR 19.76).
h. As applicable, the following;
(1) For the operations of a distiller:
(a) Statement of daily producing capacity;
(b) Statement of production procedure;
(2) For the operations of a warehouseman;
(a) Description of the storage operation;
(3) For the operations of a processor:
(a) Statement whether bottling operations will be
conducted;
(b) Statement whether denaturing operations will be conducted;
(c) Statement whether articles will be manufactured;
(d) Statement whether spirits will be redistilled;
(e) Description of the system for storage of spirits
products bottled and cased or otherwise packaged or
placed in approved containers for removal from
bonded premises.
(4) For any other business to be conducted on the plant
premises, a description of the business, a list of the
buildings and equipment to be used, and a statement
of the relationship, if any, of the business to distilled
spirits operations at the plant.
2. Applicants, when instructed by the Director, NRC are required to
furnish as part of the registration application such additional
information as may be necessary for the Director, NRC to
determine whether the application should be approved.

PRIVACY ACT INFORMATION
The following information is provided pursuant to Section 3 of the Privacy Act of 1974 (5 U.S.C. §552a(e)(3)):
1. AUTHORITY. Solicitation of this information is made pursuant to 26 U.S.C. §5172. Disclosure of this information by the applicant is
mandatory if the applicant wishes to register his distilled spirits plant.
2. PURPOSE. To identify the applicant, to identify the nature, location, and extent of the premises, and the specific type or types of operations to be conducted on the premises, and to determine the eligibility of the applicant to register the plant.
3. ROUTINE USES. The information will be used by TTB to make determinations set forth in paragraph 2. In addition, the information may
be disclosed to other Federal, State, foreign, and local law enforcement and regulatory agency personnel to verify information on the form
where such disclosure is not prohibited by law. The information may further be disclosed to the Justice Department if it appears that the
furnishing of false information may constitute a violation of Federal law. Finally, the information may be disclosed to members of the
public in order to verify the information on the form where such disclosure is not prohibited by law.
4. EFFECTS OF NOT SUPPLYING REQUESTED INFORMATION. Failure to supply complete information will delay processing and may
result in the denial of the application.
PAPERWORK REDUCTION ACT NOTICE
This request is in accordance with the Paperwork Reduction Act of 1995. The information collection is used to determine the eligibilty of the
applicant to engage in certain operations, to determine location and extent of operations, and to determine whether the operations will be in
conformity with Federal laws and regulations. The information requested is required to obtain or retain a benefit and is mandatory by statute
(26 U.S.C. 5172).
The estimated average burden associated with this collection of information is 2 hours per respondent or recordkeeper, depending on
individual circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be
addressed to the Reports Management Officer, Regulations and Rulings Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G
Street, NW, Box 12, Washington, DC 20005.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a current,
valid OMB control number.
TTB F 5110.41 (11/2016)