Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form TTB 5640.2 Offer in Compromise of Liability Incurred Under the Federal Alcohol Administration Act, As Amended	Form and Instruction	Modified	Available
Form TTB 5640.2 Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act	Form and Instruction	Modified	Repair queued
OMB No. 1513-0055 Supporting Statement (03-2025).docx	Supporting Statement A	Uploaded 2025-03-19	Available
OMB No. 1513-0055 Supporting Statement (03-2025).docx	Supporting Statement A	Uploaded 2025-03-19	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
186129	Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act	Form and Instruction	Modified	Offer in Compromise of Liability Incurred Under the Federal Alcohol Administration Act, As Amended
186129	Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act	Form and Instruction	Modified

ICR Details

OMB Control No: 1513-0055	ICR Reference No: 202503-1513-004
Status: Active	Previous ICR Reference No: 202201-1513-004
Agency/Subagency: TREAS/TTB	Agency Tracking No:
Title: Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/02/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/31/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2028	36 Months From Approved	05/31/2025
Responses	10	0	20
Time Burden (Hours)	20	0	40
Cost Burden (Dollars)	160	0	40

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Abstract: To regulate interstate and foreign commerce in distilled spirits, wine, and malt beverages, the Federal Alcohol Administration Act (FAA Act; 27 U.S.C. 201 et seq.) requires certain alcohol beverage industry members to obtain a permit from the Secretary of the Treasury, and it prohibits unfair trade practices, deceptive advertising and labeling of alcohol beverages, and interlocking directorates. Under the FAA Act at 27 U.S.C. 207, violations of the Act are subject to civil and criminal penalties, but the Secretary is authorized to accept monetary compromise for such alleged violations. Under that authority, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations allow a proponent or their agent to submit a monetary offer in compromise to resolve alleged FAA Act violations using form TTB F 5640.2. The form identifies the proponent, the alleged FAA Act violation(s), the amount of the compromise offer, and the reason(s) why TTB should accept the offer. TTB uses the collected information to evaluate the adequacy of the compromise offer in relation to the alleged violation(s) of the FAA Act and to determine if it should accept the offer or pursue civil penalties or criminal prosecution against the alleged violator.

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Authorizing Statute(s): US Code: 27 USC 207 Name of Law: Federal Alcohol Administration Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 94871	11/29/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 14190	02/28/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Offer in Compromise of Liability Incurred under the Federal Alcohol Administration Act	TTB 5640.2	Offer in Compromise of Liability Incurred Under the Federal Alcohol Administration Act, As Amended

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	10	20	0	0	-10	0
Annual Time Burden (Hours)	20	40	0	0	-20	0
Annual Cost Burden (Dollars)	160	40	0	0	120	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There are no program changes associated with this information collection request at this time, and TTB is submitting it for extension purposes only. As for adjustments, due to changes in agency estimates, TTB is decreasing the estimated annual respondent burden associated with this collection, from 20 respondents to 10, from 20 total responses to 10, and the total annual burden from 40 hours to 20. The per-response burden of 2 hours remains the same as previously reported. These adjustments result from a decrease in the number of respondents submitting FAA Act-based offers in compromise to TTB. In addition, due to changes in agency estimates resulting from more complete data, TTB is revising the Federal Government labor costs associated with this information collection request to more accurately reflect how this collection is processed within TTB.

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Annual Cost to Federal Government: $11,402

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/31/2025

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