TTB F 5000.9 Personnel Questionnaire—Alcohol and Tobacco Products

OMB No. 1513-0002

DEPARTMENT OF THE TREASURY

DATE

ALCOHOL AND TOBACCO TAX AND TRADE BUREAU (TTB)

PERSONNEL QUESTIONNAIRE --ALCOHOL AND TOBACCO PRODUCTS

MAIL TO: Director, National Revenue Center, 550 Main St., Ste 8002, Cincinnati, OH 45250-5215

I. THIS FORM IS FILED AS A SUPPLEMENT APPLICATION FILED BY:
(Identify the business that has submitted an application for a TTB permit or has submitted a Brewer’s Notice or other
request for TTB approval to operate.)
1. Name of Business
3. Premises (Physical) Address (No., Street, City, State,
and Zip Code)
2. Primary Business Telephone Number
EXT
(
)
II. INFORMATION FOR THE INDIVIDUAL RELATED TO THE APPLICATION FILED BY THE BUSINESS IN SECTION I
(Related individuals may be owners, officers, directors, members, partners, etc., with a connection to the business
identified in Section I.)
4. First Name, Middle Name, Last Name
8. Your Email Address
5. Have you ever been known by ANY other name?

(Select Yes or No. If yes, provide other names used including
nicknames, aliases, married name, maiden name, and include the
date of any legal name change.)

Yes

9. Your Primary Personal Telephone Number

10. Your Place of Birth (City, State, Country)

□

No
11. Your Birth Date

12. Your Social Security No.

6. Your Legal Residence (No., Street, City, State, and ZIP
Code)

13. Your Gender
□ MALE

7. Your Work Address (No., Street, City, State, and ZIP
Code)

14. Your Position or Title with the Business Listed in
Section I.

FEMALE

Check if the
same as:
Item 3 □

Item 6 □

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TTB F 5000.9 (03/2023)

III. INDIVIDUAL’S ARREST, CRIMINAL, AND BUSINESS BACKGROUND HISTORY
(TTB will conduct a background check on the individual listed in Section II. Make sure answers in this document are
completely truthful. If necessary, please use the additional space in Item 23 on the last page or attach a separate
sheet of paper to provide further explanations, making sure to identify the question to which you are responding.)
If the answer to any question in this section is “Yes,” please provide full details in the area provided, the additional space in
Item 30 on the last page, or on a separate sheet, taking care to number the responses to correspond with the question.
Convictions, arrests, or charges for minor traffic violations need not be reported.

15. Have you ever been summoned for, arrested for, or charged with any violation of any FEDERAL or STATE law related to
products regulated by Chapter 51 (distilled spirits, wine, and beer) or 52 (tobacco products, processed tobacco, and
cigarette papers and tubes) of the Internal Revenue Code or the Federal Alcohol Administration Act?

□
No □

Yes

16. Have you ever been summoned for, arrested for, or charged with a FELONY violation of any other FEDERAL or STATE law?

□
No □

Yes

17. Have you been summoned for, arrested for, or charged with a MISDEMEANOR violation of any other FEDERAL or STATE
law within the last ten (10) years?
Yes
No

□
□

18. Have you ever been convicted of any FELONY or MISDEMEANOR under FEDERAL or STATE law?
Yes
No

□
□

19. Have you ever compromised or settled, by payment (including fines), stipulated suspension, surrender of permit, or otherwise
any violation of FEDERAL law relating to products regulated by Chapter 51 (distilled spirits, wine, and beer) or 52 (tobacco
products, processed tobacco, and cigarette papers and tubes) of the Internal Revenue Code or any violation of the conditions of
a permit or registration issued to you under the Federal Alcohol Administration Act or the Internal Revenue Code?

□
No □

Yes

20. Has disapproval ever been given to any application or notice of intention to distill, produce, brew, manufacture, use, store,
rectify or blend, bottle, distribute, sell, or import products regulated by Chapter 51 (distilled spirits, wine, and beer) or 52
(tobacco products, processed tobacco, and cigarette papers and tubes) of the Internal Revenue Code or the Federal Alcohol
Administration Act filed by you or any firm or corporation of which you were proprietor or a partner, officer, director, principal
stockholder, or responsible employee?

□
No □

Yes

20a. If your answer is “Yes,” provide the name under which the application was filed and the reason(s) for disapproval.

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TTB F 5000.9 (03/2023)

21. Have you as an individual or in connection with a partnership, LLC, firm, or corporation ever been affiliated with a FEDERAL
permit or approval to distill, produce, brew, manufacture, use, store, rectify or blend, bottle, distribute, sell, deal in, or import
products regulated by Chapter 51 (distilled spirits, wine, and beer) or 52 (tobacco products, processed tobacco, and cigarette
No
papers and tubes) of the Internal Revenue Code or the Federal Alcohol Administration Act?
Yes

□

□

21a. If your answer is “Yes,” please provide the following, as applicable:
(Continued from item iv., at the bottom of left column.)
i. Permit or Registry Number, if known
ii. Dates of involvement (month and year)
iii. Name and address under which the permit/approval

v. If your connection was as an employee, please provide

was issued.

the following information:

(a) Dates of involvement as an employee (month and year).
(b) Your Capacity and Position.

iv. During your period of involvement, did the partnership,
LLC, firm, or corporation discontinue operations?

□

□

Yes
No
If your answer is “Yes,” please provide details, use box at the
top of the next column.

(c) Name of employer.

22. Your Investments in the Business Listed in Section I.
22a. Have you invested any funds in the business to date? Yes

No

If yes, please list the amount and the source of the funds, including the name and address of the location
where the funds were held and the type of account and account number, if applicable. Savings / Checking
Account □ Amount (in U.S. Dollars): ____________________________________________________
Name and Address of Institution:
____________________________________________________________________________________________
Account Number: ________________________________________________________________________________
Personal or Business (please circle) Loan from a Lending Institution
Personal or Business (please circle) Loan from an Individual
Credit cards

□

□

□

Amount (in USD): ____________________

Amount (in USD): ___________________________

Amount (in USD): ________________________________________________________________

Gift (please specify the source and your relationship)

□

Amount (in USD): __________________________________

Source(s): __________________________________ Relationship(s): ______________________________________

Other □ If other, please describe:

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TTB F 5000.9 (03/2023)

IV. ADDITIONAL INFORMATION OR EXPLANATION

23. Please use this space to provide additional information or explanation, if necessary, taking care to number the responses
to correspond to the question (continue on separate sheet, if needed).

V. CERTIFICATION
(The individual named in Section II should sign below.)
Under the penalties of perjury, I declare that this statement, including the documents submitted in support thereof, has been
examined by me and, to the best of my knowledge and belief, is true, correct, and complete.

24. Applicant Signature

25. Date

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TTB F 5000.9 (03/2023)

PRIVACY ACT STATEMENT
The following information is provided pursuant to Section 3 and 7(b) of the Privacy Act of 1974 (5 U.S.C. 552a(e)(3)):

1.

AUTHORITY. Solicitation of this information is made pursuant to the following statutes: 26 U.S.C. 5171(d),
5181, 5271(b), 5356, 5401(a), 5502(b), 5511(3), and 5712, and 27 U.S.C. 204(c). Disclosure of this information
is mandatory if the applicant wishes to receive a TTB permit or TTB approval to operate a regulated alcohol or
tobacco busniess.

2. PURPOSE. To enable TTB to determine the eligibility, suitability, and/or qualifications of an applicant who
proposes to engage in a business regulated by TTB.
3. ROUTINE USES. The information will be used by TTB to make the 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 INFORMATION REQUESTED. Failure to provide complete information may
prevent TTB from making an informed judgment regarding the eligibility, suitability, and/or qualification of the
applicant. This may result in either a delay in the approval of an application or its disapproval.
5. DISCLOSURE OF SOCIAL SECURITY NUMBER. Disclosure of the individual social security number is voluntary.
Pursuant to the statutes above, TTB is authorized to solicit this information. The number may be used to verify
the individual's identity.

PAPERWORK REDUCTION ACT NOTICE
This request is in accordance with the Paperwork Reduction Act of 1995. The information collection is used by TTB
to determine if an applicant is eligible to receive a TTB permit or TTB approval to operate a regulated alcohol or
tobacco business . The information is mandatory (26 U.S.C. 5171(d), 5181, 5271(b), 5356, 5401(a), 5502(b), 5511(3),
and 5712; 27 U.S.C. 204).
The estimated average burden associated with this collection of information is 60 minutes per respondent,
depending on individual circumstances. Comments concerning the accuracy of this burden estimate and suggestions
for reducing this burden should be addressed to the Paperwork Reduction Act Officer, Regulations and Rulings
Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., Box 12, Washington, DC 20005 (please do
not mail complete forms to that address).

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.

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TTB F 5000.9 (03/2023)