nota sobre la exigencia de certificado de practicas...

OFICINA ECONÓMICA Y COMERCIAL DE ESPAÑA

WASHINGTON

Ödön Pálla Consejero Comercial

NOTA SOBRE LA EXIGENCIA DE CERTIFICADO DE PRACTICAS PRODUCTIVAS PARA VINOS IMPORTADOS EN EEUU

ANTECEDENTES LEGALES Con fecha 24 de agosto de 2005 el TTB (Alcohol and Tobacco Tax and Trade Bureau), Agencia adscrita al Departamento del Tesoro, ha publicado una norma transitoria por la que regula la exigencia de un nuevo certificado relativo a las prácticas y procedimientos de producción de vinos importados en EEUU. Dicha exigencia viene determinada por lo establecido en la Sección 2002 de la Miscellaneous Trade and Technical Corrections Act de 2004, firmada por el Presidente de los EEUU el 3 de diciembre del mismo año, que ha venido a modificar la sección 5382 del Internal Revenue Code. La fecha de efectos de esta Ley era el 1 de enero de 2005. La regulación aprobada viene a desarrollar lo establecido en la Ley. Con esta disposición quedan por lo tanto modificadas las regulaciones en materia de vinos, incorporando las exigencias legales anteriores. Tanto las leyes como las regulaciones en esta materia que de ellas se derivan deben a su vez también enmarcarse en el ámbito general de la negociación del acuerdo de vinos entre EEUU y la UE. OBJETO, AMBITO DE APLICACION Y ENTRADA EN VIGOR DE LA REGULACIÓN APROBADA El objeto de esta norma no es otro que el de exigir que los vinos importados, producidos después del 31 de diciembre de 2004, que entren en EEUU procedentes de países terceros vengan amparados por un certificado y un análisis de laboratorio específico emitidos oficialmente por parte de las Autoridades del país exportador en los que se acredite la conformidad del producto y de las prácticas de elaboración con la legislación norteamericana. Existen no obstante excepciones a la exigencia general de aportar dicho certificado entre las que cabe destacar la existencia de un acuerdo internacional de reconocimiento mutuo entre EEUU y el país (o área económica) exportador del vino por el que sean aceptadas las prácticas y los procedimientos de elaboración utilizados en el país exportador.

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e-mail: [email protected]

EMBAJADA DE ESPAÑA OFICINA ECONÓMICA Y COMERCIAL DE ESPAÑA WASHINGTON

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La exigencia de aportar o disponer del referido certificado la ha de materializar el propio importador norteamericano a través de su presentación a la Autoridades (bien al TTB con ocasión de la solicitud de la aprobación de etiquetas COLA, bien a las Aduanas previamente al despacho de la mercancía si el COLA se solicitó con anterioridad) bien conservando dicho documento a futuros, el cual sin duda trasladará la obligación de su obtención a su proveedor extranjero. La entrada en vigor de dicha disposición es el mismo día de su publicación (24 de agosto de 2005) si bien la norma incluye una expresión que señala que los importadores que no dispongan del certificado tendrán la obligación de tenerlo a finales del verano (¿?). CONTENIDO ESENCIAL DE LA REGULACIÓN La regulación propuesta que se encuentra en el Anexo 1 que afecta a varias partes del Titulo 27 del CFR (dedicado, entre otros, a bebidas alcohólicas) que establece una nueva Sección (la 27.140) en su parte 27 denominada Certification Requirements for Imported Natural Wine donde además de una serie de definiciones contenidas en su apartado a) incluye uno b) relativo a la Certificación. En este apartado se señala que, salvo lo establecido en su parte b 2) relativo a las excepciones y alternativas a la certificación, un importador de “vino natural” deberá disponer de un certificado original o copia del mismo emanado de las Autoridades del país productor estableciendo que los procedimientos y prácticas seguidos en su elaboración son conformes a los “apropiados tratamientos en bodega” (proper cellar treatment). La definición oficial de vino natural se puede consultar en el Anexo 2 señalándose no obstante que se entenderá por “vino natural” el producto de la fermentación de uvas u otras frutas maduras, elaborado de acuerdo con las prácticas autorizadas en la legislación estadounidense, y cuyo contenido en sólidos totales no supere el 21% en peso. Incluye, por tanto, a la sidra y otros vinos obtenidos de frutas, independientemente de su grado alcohólico. Cabe señalar no obstante, que el concepto de vino natural depende más de cómo se ha producido que de sus características finales. Por “apropiados tratamientos en bodega” se entiende: la práctica productiva o el procedimiento autorizado en las subpartes F y L de la parte 24 del Titulo 27 del CFR (véase el Anexo 3 con el contenido de estas dos partes) o con respecto al vino natural producido e importado en EEUU aquél que esté elaborado conforme a lo establecido en acuerdos internacionales entre EEUU y el país productor y que contemplen como aceptables dichos procedimientos productivos del país exportador. Por lo tanto, con carácter general todo vino importado en EEUU deberá ir acompañado de la referida certificación que deberá cumplir lo siguiente: 1.- La certificación deberá ser emitida por un organismo gubernamental o una entidad reconocida oficialmente con capacidad de control sobre las prácticas enológicas legales aplicadas en el país exportador.


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2.- La certificación deberá ser acompañada o incluir los resultados del análisis de laboratorio correspondiente al vino realizado bien por un laboratorio oficial o por uno certificado (reconocido) oficialmente. 3.- La certificación deberá estar en posesión del importador en el momento del despacho aduanero y podrá utilizarse para sucesivas importaciones y despachos aduaneros siempre y cuando se trate del mismo tipo producto, elaborado por la misma empresa/bodega, sometido al mismo tipo de tratamiento enológico y conforme con lo establecido en la certificación. Por otra parte, la regulación aprobada establece en el punto b (2) las alternativas a la certificación y las excepciones a la misma y al análisis de laboratorio que son las siguientes: A).- En el caso de que exista, un acuerdo o tratado internacional para “vino natural” producido y posteriormente importado en EEUU que especifique que las prácticas y procedimientos de elaboración de ese producto son aceptados por los EEUU. De darse este caso no será necesario que el producto venga amparado por la certificación ni por el análisis de laboratorio salvo que el referido Acuerdo o Tratado así lo especifique, en cuyo caso el importador debería disponer del original o de la copia del certificado y del análisis en el momento del despacho aduanero. B).- Si un importador de vino natural o su “afiliado” (veáse la definición en la norma) posee o controla una bodega que opera bajo un permiso legalmente otorgado por el TTB no tendrá que obtener ni la certificación ni el correspondiente análisis Además, esta regulación no será de aplicación a: 1.- El vino natural producido con antelación al 1 de enero de 2005. En este caso el importador deberá tener documentación que permita verificar dicho extremo. 2.- Las importaciones de vino natural que sean de naturaleza personal no comercial. Ejemplos de ello son los vinos traídos por personas que entran en el país en régimen de viajeros, los envíos como regalo entre personas físicas, las importaciones por diplomáticos para el uso en Embajadas y Consulados. 3.- Las importaciones de vino natural que tengan consideración de muestras, muestras para ferias y muestras para análisis de laboratorio. 4.- Vino natural utilizado en los medios de transporte internacional de pasajeros como buques o aeronaves. MODELO DE CERTIFICACIÓN Si bien no existe un formulario como tal, el TTB ha publicado un modelo que se puede seguir y cuyo contenido se puede encontrar en el Anexo 4.


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Contenido del certificado: El certificado, deberá contener la siguiente información: 1) Nombre y dirección del productor/bodeguero, con inclusión del país. 2) Descripción del vino, incluyendo la marca, año de producción, clase o tipo, y el país de

origen. 3) Señalar si se certifica por parte del país productor, o si se trata de auto- certificación

del importador. En este caso, el importador deberá ser capaz de demostrar la propiedad, el control, o la naturaleza de la asociación.

4) La certificación en sí misma, declarando que las prácticas y procedimientos utilizados en la elaboración del vino descrito en el apartado 2) anterior son apropiadas de acuerdo con la legislación estadounidense contenida en el Código de los EEUU 26- 5382 y en el Código de Regulaciones Federales 27.140. Debe constar el nombre y la dirección de la entidad certificadora, la firma autorizada, el nombre en letras de imprenta de la persona que firma, y la fecha (día/mes/año).

5) Los resultados analíticos del vino a) Porcentaje de alcohol, en volumen, b) Dióxido de azufre total, en ppm, c) Acidez volátil, en gramos por 100 ml. A continuación, el nombre y dirección del laboratorio, la firma y el nombre en letras de imprenta del firmante, y la fecha.

6) El número de aprobación de la etiqueta por el TTB, en el caso de que la certificación se emita después de que la etiqueta se ha aprobado.

Validez del certificado. Una vez que un importador obtiene un certificado, no necesita obtener uno nuevo para sucesivas importaciones del mismo vino (misma marca, clase o tipo, mismo productor y tratamiento de elaboración, y cuyas características respondan a la información contenida en el certificado). Los importadores pueden usar un original o una copia del certificado, por lo que varios importadores pueden utilizar copias de un mismo documento. Además una misma Certificación es válida para varios posibles importadores del mismo producto. PREGUNTAS Y RESPUESTAS MAS FRECUENTES Finalmente en el Anexo 5 se recogen las preguntas más frecuentes que se han formulado respecto a esta Certificación.

Washington DC, 1 de septiembre de 2005

Ödön Pálla Katherine Bedard Consejero Comercial Responsable área de vinos


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ANEXO 1- TEXTO DE LA REGULACIÓN TRANSITORIA [[Page 49479]] DEPARTMENT OF THE TREASURY Alcohol and Tobacco Tax and Trade Bureau 27 CFR Parts 4, 24 and 27 [T.D. TTB-31] RIN 1513-AB00 Certification Requirements for Imported Natural Wine (2005R-002P) AGENCY: Alcohol and Tobacco Tax and Trade Bureau, Treasury. ACTION: Temporary rule; Treasury decision. ----------------------------------------------------------------------- SUMMARY: This temporary rule implements the new certification requirements regarding production practices and procedures for imported natural wine contained in section 2002 of the Miscellaneous Trade and Technical Corrections Act of 2004, which amended section 5382 of the Internal Revenue Code of 1986. We are amending the wine regulations to incorporate these changes. We also are soliciting comments from all interested parties on the implementation of these new requirements through a notice of proposed rulemaking published elsewhere in this issue of the Federal Register. DATES: Temporary rule effective August 24, 2005. FOR FURTHER INFORMATION CONTACT: Gail Davis, International Trade Division, Alcohol and Tobacco Tax and Trade Bureau (202-927-8110). SUPPLEMENTARY INFORMATION: Background This temporary rule implements section 2002 of the Miscellaneous Trade and Technical Corrections Act of 2004, Public Law 108-429, 118 Stat. 2434 (``the Act''), signed by President Bush on December 3, 2004. Section 2002 of the Act revised section 5382(a) of the Internal Revenue Code of 1986 (IRC), 26 U.S.C. 5382(a), which sets forth standards regarding what constitutes proper cellar treatment of natural wine. The


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Alcohol and Tobacco Tax and Trade Bureau (TTB) is responsible for the administration of the IRC provisions relating to wine. The revision of section 5382(a) took effect on January 1, 2005, and involved the following two principal substantive changes: (1) The addition of a new paragraph (1)(B) to provide that, in the case of wine produced and imported subject to an international agreement or treaty, proper cellar treatment of natural wine includes those practices and procedures acceptable to the United States under the agreement or treaty; and (2) the addition of a paragraph (3) setting forth a new certification requirement regarding production practices and procedures for imported natural wine produced after December 31, 2004. The new certification provision directs the Secretary of the Treasury to accept the practices and procedures used to produce the wine if, at the time of importation, one of the following conditions is met: 1. The Secretary has on file or is provided with a certification from the government of the producing country, accompanied by an affirmed laboratory analysis, that the practices and procedures used to produce the wine constitute proper cellar treatment under regulations prescribed by the Secretary; 2. The Secretary has on file or is provided with a certification required by an international agreement or treaty covering proper cellar treatment, or the wine is covered by an international agreement or treaty covering proper cellar treatment that does not require a certification; or 3. In the case of an importer that owns or controls or that has an affiliate that owns or controls a winery operating under a basic permit issued by the Secretary, the importer certifies that the practices and procedures used to produce the wine constitute proper cellar treatment under regulations prescribed by the Secretary. For purposes of this provision, the new paragraph (3) text also defines ``affiliate'' as having the meaning contained in section 117(a)(4) of the Federal Alcohol Administration Act (27 U.S.C. 211(a)(4)) and as including ``a winery's parent or subsidiary or any other entity in which the winery's parent or subsidiary has an ownership interest.'' Based on the January 1, 2005, effective date of the section 2002 statutory change and the fact that the new requirements apply to natural wine produced on or after that date, TTB believes that proper administration and enforcement of those requirements necessitates the adoption of implementing regulations as a temporary rule with immediate effect. TTB believes that such implementing action will ensure that affected industry members have sufficient advance knowledge of the regulatory requirements, and TTB notes in this regard that, given the ``produced'' statutory standard, the vast majority of, if not all, wine importers will not have to meet the certification requirements until the summer of 2005. Public Meeting; Submission of Comments TTB held a public meeting regarding these new requirements on December 15, 2004, in Washington, DC, which was announced in Notice No.


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26, published in the Federal Register (69 FR 71873) on December 10, 2004. The purpose of the meeting was to advise the public of TTB's plans for implementation of the certification requirements and to answer questions from the public regarding these provisions. TTB also encouraged, both at the meeting and in Notice No. 26, the submission of written comments regarding its implementation plans. The public comment period ended January 15, 2005. TTB received eleven comments regarding implementation of the new requirements. Comments were received from: Allied Domecq, on behalf of Allied Domecq Wines USA; the government of Australia; the California Fine Wine Alliance; the government of Canada; the Comit[eacute] Europ[eacute]en des Entreprises Vins; the Distilled Spirits Council of the United States; the F[eacute]d[eacute]ration des Exportateurs de Vins et Spiritueux de France; Green Mountain Beverage; Kalik Lewin, on behalf of the Wine Institute; the National Association of Beverage Importers, Inc.; and the government of New Zealand. TTB took into consideration the comments of the parties mentioned above in drafting this document. The principal points made by the comment submitters, TTB's responses regarding [[Page 49480]] those comments, and TTB's observations on other aspects of the implementing regulatory texts are set forth below. The regulatory text to implement the section 2002 statutory changes is set forth in this document as a new Sec. 27.140 within subpart I (Importer's Records and Reports) of part 27 of the TTB regulations, which concerns the importation of distilled spirits, wines, and beer. The document includes conforming cross-reference changes to Sec. Sec. 24.301 and 24.302 of the TTB regulations (27 CFR 24.301 and 24.302), which concern records applicable to imported bulk still and effervescent wines received in bond. The document also includes a new requirement in our regulations promulgated under the labeling provisions of the Federal Alcohol Administration Act (FAA Act), 27 U.S.C. 205(e). This new provision is in a new paragraph (b) of 27 CFR 4.45, and provides that importers must submit copies of certifications to TTB for use in enforcing the labeling provisions of the FAA Act. These certifications will be made available to the public on the TTB Web site. 1. Filing of Certifications During the public meeting, TTB stated its intention not to require presentation of the certification as part of the customs entry process. TTB took this position based on the view that compliance with the statutory requirement could be adequately assured if importers simply maintain the certifications in their records where TTB officers can inspect them as may be necessary. Most of the comment submitters addressing this issue agreed with TTB's position, stating that it will be less burdensome to importers.


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However, two of them dissented. One contended that the statute requires importers to provide the certification, or at least proof that the certification is on file, to U.S. Customs and Border Protection at the time of importation. The second dissenting comment submitter argued that importers should file certifications with TTB, which would then maintain them in a database that would be available to other importers. On the other hand, another commenter urged TTB to confirm that the affirmed laboratory analyses would be treated as confidential information, asserting that such analyses would necessarily include sensitive proprietary information. TTB does not agree that the statutory language requires the certification to be presented as part of the customs entry process. Instead, we believe that the requirements of the amended IRC provision will be satisfied if importers maintain copies of the certifications in their records. Moreover, noting that the statute requires that the Secretary have ``on file'' or be ``provided with'' a certification, we believe the ``provided with'' standard is satisfied by a retention requirement because, under 27 CFR 27.137, any record required under part 27 must be retained and made available to TTB for inspection. Finally, we believe the record retention approach will be least burdensome for both the U.S. Government and the industry. However, as stated above, we have decided to require importers to submit a copy of the certification to TTB under regulations promulgated under the FAA Act. Section 105(e) of the FAA Act, 27 U.S.C. 205(e), authorizes TTB, as the delegate of the Secretary of the Treasury, to issue regulations that will ensure that alcohol beverage labels provide adequate information to consumers as to the identity and quality of the product. Pursuant to this authority, we have issued regulations requiring both domestic and imported wines to be labeled with information regarding the class and type designation of the product. See 27 CFR part 4, subparts C and D. These regulations also set forth rules regarding the blending and cellar treatment of wine. See 27 CFR 4.22. An importer's inability to provide a certification regarding proper cellar treatment may indicate that the wine has been treated in a fashion that would change the class and type designation under the pertinent regulations in part 4. Moreover, Congress by amending section 5382 has indicated an increased concern with such treatment. Consequently, TTB will also require importers to submit certifications of natural wine as part of the label approval process and TTB may use such information for purposes of verifying the appropriate class and type designation of the wine under the labeling provisions of part 4. While TTB is requiring that the certification be submitted as part of the label approval process, labels for wines for which a certification is not yet available will be provisionally approved pending submission of the certification prior to the time of release from Customs custody. Certifications that are submitted subsequent to provisional approval must include the label approval number. Certifications submitted subsequent to provisional approval of the label approval should be submitted to the Director, Knowledge


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Management Staff, with the mailing address as Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street NW., Suite 200E, Attention: Wine Certification Docket, Washington, DC 20220. Furthermore, an importer may rely on a certificate of label approval approved prior to the effective date of this regulatory change. In such a case, the importer consequently would not be required to obtain a new certificate of label approval, but must instead submit the required certification to the Director, Knowledge Management Staff, at the address indicated above before the wine in question is released from Customs custody. The temporary rule also provides that certifications submitted under section Sec. 4.45 shall be made available to the public on the TTB Internet Web site at: http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ttb.gov, in the same way that approved labels are made available to the public. Consistent with the objectives of the FAA Act, TTB believes that making this information available to the public provides assurance to consumers that the wine was produced in accordance with acceptable practices. However, in order to minimize implementation time and costs, certifications will be displayed on a separate Web page. The certifications on the Web will be indexed to the label approval by the label approval number. We do not agree with the comment that suggested that the affirmed laboratory analyses necessarily included sensitive proprietary information that should be kept confidential. Unlike formulas, which include sensitive and confidential data about the formulation of products, the laboratory analysis merely sets out in summary form the percentage alcohol by volume, the total sulphur dioxide content (ppm), and the volatile acidity of the product. This is information that could be obtained by anyone who bought a bottle of the product in the marketplace and submitted the sample to a private laboratory for analysis. In many cases, the alcohol content of the wine is already on the label. TTB does not believe that the information included in the analysis is confidential or proprietary, and thus we have concluded that it may be made available to the public. Several comment submitters asked if the importer must obtain a certification for each shipment, or merely for the initial shipment of a specific wine. Others proposed that once one importer has imported a specific wine, other importers should be able to use the same certification. [[Page 49481]] TTB believes if an importer has an original or copy of the certification in his or her possession at the time of the initial importation the statutory requirement will be met for multiple shipments of the same wine (that is, wine of the same brand, class or type, producer, and cellar treatment). Thus, the importer could import

http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ttb.gov


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additional shipments of the same wine without obtaining a new certification, as long as the certification for the initial shipment is maintained in his or her records and continues to accurately apply to the wine in the subsequent shipments. In addition, because importers may use either an original or copy of a certification, different importers may use copies of the same certification. 2. Wines Produced Under an International Agreement Some comment submitters requested clarification on the scope of the provision regarding wine produced and imported subject to an international agreement or treaty. In response, the TTB position is that wines fall under this provision if they are imported from a country that has ratified an agreement that provides for acceptance by the United States of the enological practices of the exporting country. On the other hand, wines covered by agreements that do not provide for acceptance of enological practices will not qualify for inclusion under this provision. The comments also revealed some confusion over whether TTB would require some type of government certification for wines falling under this provision. In response, TTB notes that while the statute does mention a certification in this context, it refers only to a ``certification, if any, as may be required by an international agreement or treaty under paragraph (1)(B).'' TTB does not believe that it is necessary to require retention of a certification if the terms of such an international agreement or treaty do not require a certification, because the existence of the agreement or treaty is sufficient for purposes of verification of the statutory standard by TTB. However, a different approach appears to be necessary under the terms of the statute if the international agreement or treaty provides for a certification. Accordingly, in this case the regulatory text requires the importer to have only the certification required under the agreement or treaty. 3. Importers Affiliated With a U.S. Winery A number of commenters requested clarification of what qualifies as an ``affiliate,'' while others stated that the statutory definition of affiliate is clear and does not need explanation. One commenter interpreted this provision as permitting an importer in this category to self-certify only wines produced by an affiliated winery. Another commenter questioned whether TTB would allow self-certification by an importer when the importer is controlled by the winery rather than the other way around. TTB has included in the regulatory text a definition of ``affiliate'' that includes the terms of section 117(a)(4) of the Federal Alcohol Administration (FAA) Act as well as the additional definitional language added by section 2002 of the Act. The following points are noted regarding this definition: The language added by section 2002 of the Act is included


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with the first part of the FAA Act definition because it appears to be more relevant there. We have added the word ``controlling'' before the words `òwnership interest'' to ensure consistency with the ``control'' concept in the existing FAA Act definition. In this regard, we do not believe that Congress intended to create an ambiguity by having a definition that contradicts its own terms. TTB believes that the statute allows an importer that has an affiliate that owns or controls a winery operating under a basic permit issued by the Secretary to self-certify any natural wine he or she imports, not just wine produced by its affiliated winery. With regard to the other comment, TTB believes that the statutory language does not provide for self-certification when the winery controls the importer. 4. Definition of Natural Wine As the new requirements apply only to ``natural'' wine, a number of comment submitters requested that TTB clarify the definition of natural wine. For example, some commenters questioned whether non-grape wines, wines under 7 percent alcohol by volume, or wines that are not ``standard'' wines are included in the definition. TTB has included in the Sec. 27.140 text the definition of natural wine currently found in 27 CFR 24.10, which is based on the definition contained in section 5381 of the IRC. Although Congress had the opportunity to amend the definition of natural wine for purposes of the amendment made by section 2002 of the Act, it did not do so. Accordingly, the current definition of natural wine, which includes some wines made from fruits other than grapes as well as wines under 7 percent alcohol by volume, applies in this regulatory context. Whether a wine falls within the definition of ``natural'' wine or not depends on how it is produced. Because the definition of ``standard'' wine under section 24.10 includes ``natural wine,'' a wine that is not a ``standard wine'' cannot be a ``natural wine.'' Two comment submitters asked if the alcohol content limitations in the definition of natural wine refer to `àcquired'' or `àctual'' alcohol, or to ``total'' alcohol (which includes the alcohol equivalent of residual sugar contained in the wine). Consistent with the approach taken throughout the U.S. wine regulations, the alcohol content limitations contained in the definition of natural wine have reference to the wine's `àctual'' alcohol by volume content, which does not include the alcohol equivalent of the residual sugar. 5. Certifying Government Agencies and Laboratories A few comment submitters suggested that TTB allow the required government certification to be from a quasi-governmental organization having a regulatory role in the country of origin. They pointed out that in some countries such organizations have significant regulatory authority. They also suggested that TTB should accept analyses not just from government laboratories, but also from laboratories that have been


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certified by the country of origin to conduct the analyses. TTB is aware of the fact that quasi-governmental organizations play a significant role in regulating some countries' wine industries. For this reason, TTB will accept the required certification from either a governmental or government-approved entity, provided that the entity has oversight or control over enological practices in the producing country under the laws of the producing country. Likewise, TTB understands that government laboratories in some countries may not easily be able to handle the additional work required by this certification requirement. TTB will therefore accept a laboratory analysis conducted by a laboratory certified by the government of the producing country. TTB expects that each country exporting wine to the United States that is subject to the government certification and laboratory analysis requirements of the statute will make available to TTB and the general public a list of its governmental or government-approved certifying entities and a list of its government or government-certified laboratories. To assist importers in verifying that the certification and laboratory analysis are from a proper source, TTB will maintain a list [[Page 49482]] containing all such available information on its Internet Web site. 6. Other Issues In addition to the points made above in connection with the submitted comments, TTB notes the following in regard to the new Sec. 27.140 text: 1. The definition of ``produced'' refers to removal from the fermenter. TTB believes that this constitutes an objective standard that identifies a specific, definable point in the wine production process. 2. The definition of ``proper cellar treatment'' includes language regarding international agreements and treaties, to reflect the effect of the addition of new paragraph (1)(B) to section 5382(a). 3. TTB must be able to determine if wine imported after December 31, 2004, was produced on or before that date, particularly since significant quantities of wine produced both before and after the statutory cutoff date will be imported. However, TTB also recognizes that, as time goes on, the proportion of imported wine that consists of post-2004 production will increase, with a consequent increase in the recordkeeping burden on importers. In order to reduce the potential burden on importers, the regulatory text merely requires the maintenance of records (which the importer would already have in the normal course of business) to show that the wine was produced before December 31, 2004. Paperwork Reduction Act


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The collections of information contained in this temporary rule have been reviewed by the Office of Management and Budget (OMB) in accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3507) and, pending the receipt of public comments, approved under OMB control number 1513-0119. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid control number. The collections of information in this regulation are in Sec. 4.45 and Sec. 27.140. The first information collection involves consumer information under the Federal Alcohol Administration Act. The second information collection is required by the Internal Revenue Code of 1986 in connection with the importation of wine from foreign countries. Failure to provide the required information may result in administrative sanctions against the importer. The likely respondents are individuals and business or other for-profit institutions, including partnership, associations, and corporations. Estimated total annual reporting and/or recordkeeping burden: 6,600 hours. Estimated average annual burden per respondent/ recordkeeper: 1.65 hours. Estimated number of respondents and/or recordkeeping: 4,000. Estimated annual number of responses: 20,000. Please refer to the related notice of proposed rulemaking published elsewhere in this issue of the Federal Register for the procedures for submitting comments on the collection of information. Regulatory Flexibility Act For applicability of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), please refer to the cross-referenced notice of proposed rulemaking published elsewhere in this issue of the Federal Register. Pursuant to section 7805(f) of the Internal Revenue Code, we will submit this temporary rule to the Chief Counsel for Advocacy of the Small Business Administration for comment on the impact of the temporary regulations. Executive Order 12866 We have determined that this temporary rule is not a significant regulatory action as defined in Executive Order 12866. Therefore, a regulatory assessment is not required. Inapplicability of Prior Notice and Comment and Delayed Effective Date Requirements With respect to the provisions of these regulations that implement section 5382 of the Internal Revenue Code, it has been determined that sections 553(b) and (d)(3) of the Administrative Procedure Act (5


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U.S.C. chapter 5) do not apply. With respect to section 5382 and the provisions of these regulations issued under the authority of the Federal Alcohol Administration Act, it has been determined, pursuant to 5 U.S.C. 553(b)(B) and (d), that good cause exists to issue these regulations without prior notice and public procedure, and without a delayed effective date. Because foreign wine subject to these regulations will begin entering the United States shortly, it is impracticable and contrary to the public interest to issue these regulations for prior notice and comment, and with a delayed effective date. Although we are not required to issue a prior notice of proposed rulemaking, we are soliciting comments from all interested parties on the implementation of these new requirements through a concurrent notice of proposed rulemaking published elsewhere in this issue of the Federal Register. Drafting Information The principal author of this document was Jennifer K. Berry, Regulations and Procedures Division, Alcohol and Tobacco Tax and Trade Bureau. However, other personnel participated in its development. List of Subjects 27 CFR Part 4 Advertising, Customs duties and inspection, Imports, Labeling, Packaging and containers, Reporting and recordkeeping requirements, Trade practices, Wine. 27 CFR Part 24 Administrative practice and procedure, Claims, Electronic fund transfers, Excise taxes, Exports, Food additives, Fruit juices, Labeling, Liquors, Packaging and containers, Reporting and recordkeeping requirements, Research, Scientific equipment, Spices and flavoring, Surety bonds, Vinegar, Warehouses, Wine. 27 CFR Part 27 Alcohol and alcoholic beverages, Beer, Customs duties and inspection, Electronic funds transfers, Excise taxes, Imports, Labeling, Liquors, Packaging and containers, Reporting and recordkeeping requirements, Wine. Amendments to the Regulations 0 For the reasons discussed in the preamble, TTB amends 27 CFR parts 4, 24, and 27 as follows:


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PART 4--LABELING AND ADVERTISING OF WINE 0 1. The authority citation for part 4 continues to read as follows: Authority: 27 U.S.C. 205, unless otherwise noted. 0 2. Section 4.45 is amended by revising the section heading, designating the existing text as paragraph (a), adding a heading to newly designated paragraph (a), and adding a new paragraph (b) to read as follows: Sec. 4.45 Certificates of origin, identity and proper cellar treatment. (a) Origin and identity. * * * (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 [[Page 49483]] 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


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will make certifications submitted under paragraph (b)(1) of this section available to the public on the TTB Internet Web site at http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ttb.gov. PART 24--WINE 0 3. The authority citation for part 24 continues to read as follows: Authority: 5 U.S.C. 552(a); 26 U.S.C. 5001, 5008, 5041, 5042, 5044, 5061, 5062, 5081, 5111-5113, 5121, 5122, 5142, 5143, 5173, 5206, 5214, 5215, 5351, 5353, 5354, 5356, 5357, 5361, 5362, 5364- 5373, 5381-5388, 5391, 5392, 5511, 5551, 5552, 5661, 5662, 5684, 6065, 6091, 6109, 6301, 6302, 6311, 6651, 6676, 7011, 7302, 7342, 7502, 7503, 7606, 7805, 7851; 31 U.S.C. 9301, 9303, 9304, 9306. 0 4. Section 24.301 is amended by removing the word `ànd'' at the end of paragraph (i), removing the period at the end of paragraph (j) and adding, in its place, a semicolon followed by the word `ànd'', and adding a new paragraph (k) to read as follows: Sec. 24.301 Bulk still wine record. * * * * * (k) If the proprietor is an importer of wine to which the provisions of Sec. 27.140 of this chapter apply, any certification or other records required at the time of release from customs custody under that section. 0 5. Section 24.302 is amended by removing the word `ànd'' at the end of paragraph (h), removing the period at the end of paragraph (i) and adding, in its place, a semicolon followed by the word `ànd'', and adding a new paragraph (j) to read as follows: Sec. 24.302 Effervescent wine record. * * * * * (j) If the proprietor is an importer of wine to which the provisions of Sec. 27.140 of this chapter apply, any certification or other records required at the time of release from customs custody under that section. PART 27--IMPORTATION OF DISTILLED SPIRITS, WINES, AND BEER

http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ttb.gov


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0 6. The authority citation for part 27 is revised to read as follows: Authority: 5 U.S.C. 552(a), 19 U.S.C. 81c, 1202; 26 U.S.C. 5001, 5007, 5008, 5010, 5041, 5051, 5054, 5061, 5111, 5112, 5114, 5121, 5122, 5124, 5201, 5205, 5207, 5232, 5273, 5301, 5313, 5382, 5555, 6302, 7805. 0 7. Subpart I, Importer's Records and Reports, is amended by adding a new Sec. 27.140 to read as follows: Sec. 27.140 Certification requirements for wine. (a) Definitions. When used in this section, the following terms have the meaning indicated: Affiliate means any one of two or more persons if one of such persons has actual or legal control, directly or indirectly, whether by stock ownership or otherwise, of the other or others of such persons, and includes a winery's parent or subsidiary or any other entity in which the winery's parent or subsidiary has a controlling ownership interest. An affiliate also means any one of two or more persons subject to common control, actual or legal, directly or indirectly, whether by stock ownership or otherwise. Importer means any person importing wine who must obtain a permit as provided in Sec. 27.55. Natural wine means the product of the juice or must of sound, ripe grapes or other sound, ripe fruit (including berries) made with any cellar treatment authorized by subparts F and L of part 24 of this chapter and containing not more than 21 percent by weight (21 degrees Brix de-alcoholized wine) of total solids. Produced, when used with reference to wine, means removed from the fermenter. Proper cellar treatment means a production practice or procedure authorized by subparts F and L of part 24 of this chapter and, in the case of natural wine produced and imported subject to an international agreement or treaty, those practices and procedures acceptable to the United States under that agreement or treaty. (b) Certification--(1) General. Except as otherwise provided in paragraph (b)(2) of this section, an importer of natural wine must have an original or copy of a certification from the producing country stating that the practices and procedures used to produce the imported wine constitute proper cellar treatment. The certification: (i) Must be from a governmental or government-approved entity having oversight or control over enological practices in the producing country under the laws of that country; (ii) Must include the results of a laboratory analysis of the wine conducted either by a government laboratory of the producing country or


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by a laboratory certified by the government of the producing country; and (iii) Must be in the possession of the importer at the time of release of the wine from customs custody and may cover multiple importations provided that the wine in each case 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. (2) Alternative certifications and exemptions--(i) The following are alternatives to the producing country certification and laboratory analysis requirement described in paragraph (b)(1) of this section: (A) In the case of natural wine produced and imported subject to an international agreement or treaty specifying that the practices and procedures used to produce the wine are acceptable to the United States, no producing country certification and laboratory analysis is required, unless that international agreement or treaty requires a certification, in which case the importer must have in his or her possession at the time of release of the wine from customs custody an original or copy of that certification. (B) If an importer of natural wine or its affiliate owns or controls a winery operating under a basic permit issued under part 1 of this chapter, in lieu of a producing country certification and laboratory analysis, the importer may [[Page 49484]] self-certify that the practices and procedures used to produce the wine constitute proper cellar treatment. The self-certification must be either in the format set forth in paragraph (c) of this section with blocks 1 through 4 completed or in an alternative format that sets forth the same information, and it must be in the possession of the importer at the time of release of the wine from customs custody. In the case of self-certification the importer also must have at the time of release from customs custody records to establish that the requirements for self-certification are met. (ii) The following are exempt from any certification requirement under this section: (A) Natural wine produced before January 1, 2005. However, in this case, the importer must have in his or her possession at the time of release of the wine from customs custody records to establish that the wine was produced before January 1, 2005. (B) Importations of natural wine that are of a personal, non- commercial nature. Examples of non-commercial importations include importations by travelers, gift shipments between individuals, and importations by diplomats for embassy or consular use. (C) Importations of natural wine that constitute commercial samples. Commercial samples include sales samples, samples for trade shows, and samples for laboratory analysis. (D) Imported natural wine held on board international passenger carriers, such as cruise ships or airliners.


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(c) Form. The format for certification referred to in paragraph (b) of this section is the following: BILLING CODE 4810-31-P [[Page 49485]] [GRAPHIC] [TIFF OMITTED] TR24AU05.000 BILLING CODE 4810-31-C [[Page 49486]] (d) Preparation of Certification. The following rules apply for the completion of the certification set forth in paragraph (c) of this section: (1) Block 1 must state the legal name and address (including country) of the producer of the wine. (2) Block 2 must include a complete description of the wine, including its brand name, year of production, class or type, and country of origin. (3) The importer must check the applicable box in block 3: (i) The importer must check box 3a and ensure that blocks 4 and 5 are completed if no alternative certification applies to the wine under paragraph (b)(2)(i) of this section. (ii) If paragraph (b)(2)(i)(B) applies to the wine, the importer must check box 3b and complete the certification in block 4. (4) If the certification is submitted subsequent to approval of a label, the importer must complete block 6 by including the TTB identification number from the certificate of label approval, TTB Form 5100.31. Signed: August 4, 2005. John J. Manfreda, Administrator. Approved: August 4, 2005. Timothy E. Skud, Deputy Assistant Secretary (Tax, Trade, and Tariff Policy). [FR Doc. 05-16772 Filed 8-23-05; 8:45 am] BILLING CODE 4810-31-U


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ANEXO 2 – DEFINICIÓN DE “APROPIADOS TRATAMIENTOS EN BODEGA” TITLE 26--INTERNAL REVENUE CODE Subtitle E--Alcohol, Tobacco, and Certain Other Excise Taxes CHAPTER 51--DISTILLED SPIRITS, WINES, AND BEER Subchapter F--Bonded and Taxpaid Wine Premises PART III--CELLAR TREATMENT AND CLASSIFICATION OF WINE Sec. 5382. Cellar treatment of natural wine (a) General Proper cellar treatment of natural wine constitutes those practices and procedures in the United States and elsewhere, whether historical or newly developed, of using various methods and materials to correct or stabilize the wine, or the fruit juice from which it is made, so as to produce a finished product acceptable in good commercial practice. Where a particular treatment has been used in customary commercial practice, it shall continue to be recognized as a proper cellar treatment in the absence of regulations prescribed by the Secretary finding such treatment not to be a proper cellar treatment within the meaning of this subsection. (b) Specifically authorized treatments The practices and procedures specifically enumerated in this subsection shall be deemed proper cellar treatment for natural wine: (1) The preparation and use of pure concentrated or unconcentrated juice or must. Concentrated juice or must reduced with water to its original density or to not less than 22 degrees Brix or unconcentrated juice or must reduced with water to not less than 22 degrees Brix shall be deemed to be juice or must, and shall include such amounts of water to clear crushing equipment as regulations prescribed by the Secretary may provide. (2) The addition to natural wine, or to concentrated or unconcentrated juice or must, from one kind of fruit, of wine spirits (whether or not tax-paid) distilled in the United States from the same kind of fruit; except that (A) the wine, juice, or concentrate shall not have an alcoholic content in excess of 24 percent by volume after the addition of wine spirits, and (B) in the case of still wines, wine spirits may be added in any State only to natural wines produced by fermentation in bonded wine cellars located within the same State.


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(3) Amelioration and sweetening of natural grape wines in accordance with section 5383. (4) Amelioration and sweetening of natural wines from fruits other than grapes in accordance with section 5384. (5) In the case of effervescent wines, such preparations for refermentation and for dosage as may be acceptable in good commercial practice, but only if the alcoholic content of the finished product does not exceed 14 percent by volume. (6) The natural darkening of the sugars or other elements in juice, must, or wine due to storage, concentration, heating processes, or natural oxidation. (7) The blending of natural wines with each other or with heavy- bodied blending wine or with concentrated or unconcentrated juice, whether or not such juice contains wine spirits, if the wines, juice, or wine spirits are from the same kind of fruit. (8) Such use of acids to correct natural deficiencies and stabilize the wine as may be acceptable in good commercial practice. (9) The addition-- (A) to natural grape or berry wine of the winemaker's own production, of volatile fruit-flavor concentrate produced from the same kind and variety of grape or berry at a plant qualified under section 5511, or (B) to natural fruit wine (other than grape or berry) of the winemaker's own production, of volatile fruit-flavor concentrate produced from the same kind of fruit at such a plant, so long as the proportion of the volatile fruit-flavor concentrate to the wine does not exceed the proportion of the volatile fruit- flavor concentrate to the original juice or must from which it was produced. The transfer of volatile fruit-flavor concentrate from a plant qualified under section 5511 to a bonded wine cellar and its storage and use in such a cellar shall be under such applications and bonds, and under such other requirements, as may be provided in regulations prescribed by the Secretary. (c) Other authorized treatment The Secretary may by regulations prescribe limitations on the preparation and use of clarifying, stabilizing, preserving, fermenting, and corrective methods or materials, to the extent that such preparation or use is not acceptable in good commercial practice. (d) Use of juice or must from which volatile fruit flavor has been removed For purposes of this part, juice, concentrated juice, or must processed at a plant qualified under section 5511 may be deemed to be pure juice, concentrated juice, or must even though volatile fruit flavor has been removed if, at a plant qualified under section 5511 or at the bonded wine cellar, there is added to such juice, concentrated


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juice, or must, or (in the case of a bonded wine cellar) to wine of the winemaker's own production made therefrom, either the identical volatile flavor removed or-- (1) in the case of natural grape or berry wine of the winemaker's own production, an equivalent quantity of volatile fruit-flavor concentrate produced at such a plant and derived from the same kind and variety of grape or berry, or (2) in the case of natural fruit wine (other than grape or berry wine) of the winemaker's own production, an equivalent quantity of volatile fruit-flavor concentrate produced at such a plant and derived from the same kind of fruit. (Added Pub. L. 85-859, title II, Sec. 201, Sept. 2, 1958, 72 Stat. 1383; amended Pub. L. 88-653, Secs. 1, 2, Oct. 13, 1964, 78 Stat. 1085; Pub. L. 89-44, title VIII, Sec. 806(c)(1), June 21, 1965, 79 Stat. 164; Pub. L. 90-619, Sec. 2, Oct. 22, 1968, 82 Stat. 1237; Pub. L. 94-455, title XIX, Sec. 1906(b)(13)(A), Oct. 4, 1976, 90 Stat. 1834.) Prior Provisions A prior section 5382, act Aug. 16, 1954, ch. 736, 68A Stat. 668, consisted of provisions similar to those comprising this section, prior to the general revision of this chapter by Pub. L. 85-859. Amendments 1976--Pub. L. 94-455 struck out ``or his delegate'' after ``Secretary'' wherever appearing. 1968--Subsec. (b)(2)(B). Pub. L. 90-619 permitted wine spirits to be added to natural wine produced by fermentation in any bonded wine cellars located within the same State in which the addition is to take place. 1965--Subsec. (b)(2). Pub. L. 89-44 struck out ``made without added sugar or reserved as provided in sections 5383(b) and 5384(b)'' after ``winemaker's own production''. 1964--Subsec. (b)(9). Pub. L. 88-653, Sec. 1, added par. (9). Subsec. (d). Pub. L. 88-653, Sec. 2, added subsec. (d). Effective Date of 1968 Amendment Amendment by Pub. L. 90-619 effective on first day of first month which begins 90 days or more after Oct. 22, 1968, see section 6 of Pub. L. 90-619, set out as a note under section 5373 of this title. Effective Date of 1965 Amendment


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Amendment by Pub. L. 89-44 effective Jan. 1, 1966, see section 806(d)(2) of Pub. L. 89-44, set out as a note under section 5383 of this title. Effective Date of 1964 Amendment Section 4 of Pub. L. 88-653 provided that: ``The amendments made by the first section [amending this section] and sections 2 and 3 of this Act [amending this section and section 5511 of this title] shall take effect on the first day of the second month which begins more than 10 days after the date on which this Act is enacted [Oct. 13, 1964].'' Section Referred to in Other Sections This section is referred to in sections 5381, 5385 to 5387 of this title.


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ANEXO 3 - PRÁCTICAS ENOLÓGICAS TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS CHAPTER I--ALCOHOL AND TOBACCO TAX AND TRADE BUREAU, DEPARTMENT OF THE TREASURY PART 24_WINE--Table of Contents Subpart F_Production of Wine Sec. 24.175 General. The kinds of wine which may be produced on bonded wine premises are as follows: (a) Natural wine produced in accordance with subparts F and G of this part; (b) Special natural wine produced in accordance with subpart H of this part; (c) Agricultural wine produced in accordance with subpart I of this part; and (d) Other than standard wine produced in accordance with subpart J of this part. (Sec. 201, Pub. L. 85-859, 72 Stat. 1380, as amended, 1383, as amended, 1384, as amended, 1385, as amended, 1386, as amended (26 U.S.C. 5361, 5382, 5384, 5385, 5386, 5387)) Sec. 24.176 Crushing and fermentation. (a) Natural wine production. Water may be used to flush equipment during the crushing process or to facilitate fermentation but the density of the juice may not be reduced below 22 degrees Brix. However, if the juice is already less than 23 degrees Brix, the use of water to flush equipment or facilitate fermentation is limited to a juice density reduction of no more than one degree Brix. At the start of fermentation no material may be added except water, sugar, concentrated fruit juice from the same kind of fruit, malo-lactic bacteria, yeast or yeast cultures grown in juice of the same kind of fruit, and yeast foods, sterilizing agents, precipitating agents or other approved fermentation adjuncts. Water may be used to rehydrate yeast to a maximum to two gallons of water for each pound of yeast; however, except for an operation involving the preparation of a yeast culture starter and must mixture for later use in initiating fermentation, the maximum volume increase of the juice after the addition of rehydrated yeast is limited to 0.5 percent. After fermentation natural wines may be blended with each other only if produced from the same kind of fruit. (b) Determination of wine produced. Upon completion of fermentation or removal from the fermenter, the volume of wine will be accurately


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determined, recorded and reported on ATF F 5120.17, Report of Bonded Wine Premises Operations, as wine produced. Any wine or juice remaining in fermentation tanks at the end of the reporting period will be recorded and reported on ATF F 5120.17. [T.D. ATF-312, 56 FR 31078, July 9, 1990, as amended by ATF-338, 58 FR 19064, Apr. 12, 1993] Sec. 24.177 Chaptalization (Brix adjustment). In producing natural grape wine from juice having a low sugar content, pure dry sugar or concentrated grape juice may be added before or during fermentation to develop alcohol. In producing natural fruit wine from juice having a low sugar content, sugar, or concentrated juice of the same kind of fruit may be added before or during fermentation to develop alcohol. The quantity of sugar or concentrated juice added may not raise the original density of the juice above 25 degrees Brix. If grape juice or grape wine is ameliorated after chaptalization, the quantity of pure dry sugar added to juice for chaptalization will be included as ameliorating material. If fruit juice or fruit wine is ameliorated after chaptalization, pure dry sugar added under this section is not considered as ameliorating material. However, if fruit juice or fruit wine is ameliorated after chap talization and liquid sugar or invert sugar syrup is used to chaptalize the fruit juice, the volume of water contained in the liquid sugar or invert sugar syrup will be included as ameliorating material. (Sec. 201, Pub. L. 85-859, 72 Stat. 1385, as amended (26 U.S.C. 5382, 5384)) [T.D. ATF-299, 55 FR 24989, June 19, 1990, as amended by T.D. ATF-312, 56 FR 31078, July 9, 1991; T.D. ATF-413, 64 FR 46844, Aug. 27, 1999] Sec. 24.178 Amelioration. (a) General. In producing natural wine from juice having a fixed acid level exceeding 5.0 grams per liter, the winemaker may adjust the fixed acid level by adding ameliorating material (water, sugar, or a combination of both) before, during and after fermentation. The fixed acid level of the juice is determined prior to fermentation and is calculated as tartaric acid for grapes, malic acid for apples, and citric acid for other fruit. Each 20 gallons of ameliorating material added to 1,000 gallons of juice or wine will reduce the fixed acid level of the juice or wine by 0.1 gram per liter (the fixed acid level of the juice or wine may not be less than 5.0 gram per liter after the addition of ameliorating material). (b) Limitations. (1) Amelioration is permitted only at the bonded wine premises where the natural wine is produced. (2) The ameliorating material added to juice or wine may not reduce the fixed acid level of the ameliorated juice or wine to less than 5.0


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grams per liter. (3) For all wine, except for wine described in paragraph (b)(4) of this section, the volume of ameliorating material added to juice or wine may not exceed 35 percent of the total volume of ameliorated juice or wine (calculated exclusive of pulp). Where the starting fixed acid level is or exceeds 7.69 grams per liter, a maximum of 538.4 gallons of ameliorating material may be added to each 1,000 gallons of wine or juice. (4) For wine produced from any fruit (excluding grapes) or berry with a natural fixed acid of 20 parts per thousand or more (before any correction of such fruit or berry), the volume of ameliorating material added to juice or wine may not exceed 60 percent of the total volume of ameliorated juice or wine (calculated exclusive of pulp). If the starting fixed acid level is or exceeds 12.5 grams per liter, a maximum of 1,500 gallons of ameliorating material may be added to each 1,000 gallons of wine or juice. (26 U.S.C. 5383, 5384). [T.D. ATF-299, 55 FR 24989, June 19, 1990, as amended by T.D. ATF-403, 64 FR 50253, Sept. 16, 1999; T.D. ATF-458, 66 FR 37578, July 19, 2001] Sec. 24.179 Sweetening. (a) General. In producing natural wine, sugar, juice or concentrated fruit juice of the same kind of fruit may be added after fermentation to sweeten wine. When juice or concentrated fruit juice is added, the solids content of the finished wine may not exceed 21 percent by weight. When liquid sugar or invert sugar syrup is used, the resulting volume may not exceed the volume which would result from the maximum use of pure dry sugar only. (b) Grape wine. Any natural grape wine of a winemaker's own production may have sugar added after amelioration and fermentation provided the finished wine does not exceed 17 percent total solids by weight if the alcohol content is more than 14 percent by volume or 21 percent total solids by weight if the alcohol content is not more than 14 percent by volume. (c) Fruit wine. Any natural fruit wine of a winemaker's own production may have sugar added after amelioration and fermentation provided the finished wine does not exceed 21 percent total solids by weight and the alcohol content is not more than 14 percent by volume. (d) Specially sweetened natural wine. Specially sweetened natural wine is produced by adding to natural wine of the winemaker's own production sufficient pure dry sugar, juice or concentrated fruit juice of the same kind of fruit, separately or in combination, so that the finished product has a total solids content between 17 percent and 35 percent by weight, and an alcohol content of not more than 14 percent by volume. Natural wine containing added wine spirits may be used in the production of specially sweetened natural wine; however, wine spirits may not be added to specially sweetened natural wine. Specially sweetened natural wines may be blended with each other, or with natural


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wine or heavy bodied blending wine (including juice or concentrated fruit juice to which wine spirits have been added), in the further production of specially sweetened natural wine only if the wines (or juice) so blended are made from the same kind of fruit. (Sec. 201, Pub. L. 85-859, 72 Stat. 1383, as amended, 1384, as amended, 1385, as amended, 1386, as amended (26 U.S.C. 5382, 5383, 5384, 5385)) [T.D. ATF-299, 55 FR 24989, June 19, 1990, as amended by T.D. ATF-312, 56 FR 31078, July 9, 1991] Sec. 24.180 Use of concentrated and unconcentrated fruit juice. Concentrated fruit juice reduced with water to its original density, or to 22 degrees Brix, or to any degree of Brix between its original density and 22 degrees Brix, and unconcentrated fruit juice reduced with water to not less than 22 degrees Brix, is considered juice for the purpose of standard wine production. Concentrated fruit juice reduced with water to any degree of Brix greater than 22 degrees Brix may be further reduced with water to any degree of Brix between its original density and 22 degrees Brix.The proprietor, prior to using concentrated fruit juice in wine production, shall obtain a statement in which the producer certifies the kind of fruit from which it was produced and the total solids content of the juice before and after concentration. Concentrated or unconcentrated fruit juice may be used in juice or wine made from the same kind of fruit for the purposes of chaptalizing or sweetening, as provided in this part. Concentrated fruit juice, or juice which has been concentrated and reconstituted, may not be used in standard wine production if at any time it was concentrated to more than 80 degrees Brix. (Sec. 201, Pub. L. 85-859, 72 Stat. 1383, as amended (26 U.S.C. 5382)) Sec. 24.181 Use of sugar. Only sugar, as defined in Sec. 24.10, may be used in the production of standard wine. The quantity of sugar used will be determined either by measuring the increase in volume or by considering that each 13.5 pounds of pure dry sugar results in a volumetric increase of one gallon. (Sec. 201, Pub. L. 85-859, 72 Stat. 1383, as amended, 1384, as amended, 1385, as amended, 1387, as amended (26 U.S.C. 5382, 5383, 5384, 5392)) Sec. 24.182 Use of acid to correct natural deficiencies. (a) General. Acids of the kinds occurring in grapes or other fruit (including berries) may be added within the limitations of Sec. 24.246 to juice or wine in order to correct natural deficiencies; however, no acid may be added to juice or wine which is ameliorated to correct natural deficiencies except that in the production of grape wine, tartaric acid may be used to reduce the pH of the juice or wine. If tartaric acid is used to correct the pH of grape juice or wine, the fixed acid level of the juice shall be measured prior to the addition of


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any tartaric acid to determine the maximum quantity of ameliorating material allowed. In addition, when using tartaric acid to reduce the pH of ameliorated grape juice or wine, the pH cannot be reduced below 3.0. (b) Grape wine. Tartaric acid or malic acid, or a combination of tartaric acid and malic acid, may be added prior to or during fermentation, to grapes or juice from grapes. In addition, after fermentation is completed, citric acid, fumaric acid, malic acid, lactic acid or tartaric acid, or a combination of two or more of these acids, may be added to correct natural deficiencies. However, the use of these acids, either prior to, during or after fermentation, may not increase the fixed acid level of the finished wine (calculated as tartaric acid) above 9.0 grams per liter. In cases where the wine contains 8.0 or more grams of total solids per 100 milliliters of wine, acids may be added to the extent that the finished wine does not contain more than 11.0 grams per liter of fixed acid (calculated as tartaric acid). (c) Fruit wine. Only citric acid may be added to citrus fruit, juice or wine, only malic acid may be added to apples, apple juice or wine, and only citric acid or malic acid may be added to other fruit (including berries) or to juice or wine derived from other fruit (including berries) to correct natural deficiencies to 9.0 grams per liter of finished wine; however, if the wine contains 8.0 or more grams of total solids per 100 milliliters of wine, acids may be added to correct natural deficiencies to the extent that the finished wine does not contain more than 11.0 grams per liter of fixed acid (calculated as malic acid for apples and citric acid for other fruit (including berries). (d) Other use of acid. A winemaker desiring to use an acid other than the acids allowed in paragraphs (a) and (b)of this section to correct natural deficiencies shall follow the procedure prescribed in Sec. 24.250. A winemaker desiring to use acid to stabilize standard wine shall follow the requirements prescribed by Sec. 24.244. (Sec. 201, Pub. L. 85-859, 72 Stat. 1383, as amended (26 U.S.C. 5382)) Sec. 24.183 Use of distillates containing aldehydes. Distillates containing aldehydes may be received on wine premises for use in the fermentation of wine and then returned to the distilled spirits plant from which distillates were withdrawn as distilling material. Distillates produced from one kind of fruit may not be used in the fermentation of wine made from a different kind of fruit. Distillates containing aldehydes which are received at bonded wine premises and not immediately used will be placed in a locked room or tank on bonded wine premises. Distillates containing aldehydes may not be mingled with wine spirits. If the distillates contain less than 0.1 percent of aldehydes, the proprietor shall comply with any additional condition relating to the receipt, storage, and use which the appropriate ATF officer may require to assure that the distillates are properly used and accounted for. (Sec. 201, Pub. L. 85-859, 72 Stat. 1381, as amended, 1382, as amended (26 U.S.C. 5367, 5373)) Sec. 24.184 Use of volatile fruit-flavor concentrate.


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(a) General. In the cellar treatment of natural wine of the winemaker's own production there may be added volatile fruit-flavor concentrate produced from the same kind of fruit or from the same variety of berry or grape so long as the proportion of volatile fruit- flavor concentrate added to the wine does not exceed the equivalent proportion of volatile fruit-flavor concentrate of the original juice or must from which the wine was produced. (b) Use of juice or must from which volatile fruit-flavor has been removed. Juice, concentrated fruit juice, or must processed at a concentrate plant is considered to be pure juice, concentrated fruit juice, or must even though volatile fruit-flavor has been removed if, at a concentrate plant or at bonded wine premises, there is added to the juice, concentrated fruit juice, or must (or in the case of bonded wine premises, to wine of the winemaker's own production made therefrom), either the identical volatile fruit-flavor removed or an equivalent quantity of volatile fruit-flavor concentrate derived from the same kind of fruit or from the same variety of berry or grape. (c) Certificate required. The proprietor, prior to the use of volatile fruit flavor concentrate in wine production, shall obtain a certificate from the producer stating the kind of fruit or the variety of berry or grape from which it was produced and the total solids content of the juice before and after concentration. (Sec. 201. Pub. L. 85-859, 72 Stat. 1383, as amended (26 U.S.C. 5382))


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ANEXO 4 MODELO DE CERTIFICACIÓN Certificación de vino natural importado en los Estados Unidos / Certification of Natural Wine Imported into the United States

1. Nombre y dirección del productor / Producer name and address: 2. Descripción del vino / Description of wine: 3. Marque lo que corresponda / Check applicable box:

a. Se incluye más abajo la certificación del país productor y los resultados de los análisis de laboratorio/Producing country certification and laboratory analysis results completed below.

b. Se incluye más abajo autocertificación del importador. El importador debe estar en condición de demostrar su afiliación, control, o propiedad de la entidad productora / Self-certification by importer completed below. An importer must be able to demonstrate the nature of the ownership or control as well as the nature of any affiliation.

4. Certificación – Certifico que las prácticas y procesos empleados en la elaboración del vino descrito en

el punto 2 constituyen prácticas enológicas reconocidas en 26 U.S.C. 5382 y 27 CFR 27.140 / I certify that the practices and procedures used to produce the wine described in block 2 constitute proper cellar treatment under 26 U.S.C. 5382 and 27 CFR 27.140.

Nombre y dirección de la entidad certificadora / Name and address of certifying entity: Firma autorizada / Authorized signature: Nombre (en mayúsculas) / Name (print or type): Fecha (Día/mes/año) / Date (DD/MM/YY) 5. Análisis del vino descrito en el punto 2 / Analysis for

wine described in block 2: Porcentaje de alcohol en volumen / Percentage of alcohol (actual) in volume: Total dióxido de azufre (ppm) / Total sulphur dioxide (ppm): Acidez volátil (gramos/100 ml.) / Volatile acidity (grams per 100 mL): Nombre y dirección del laboratorio / Name and address of laboratory:

Firma/Signature: Nombre (en mayúsculas) / Name (print or type): Fecha (día/mes/año) / Date (DD/MM/YY)

6. Número de aprobación de la etiqueta por el TTB (necesario si la certificación a continuación de la aprobación de la etiqueta) / TTB label approval identification number (required if certification is submitted subsequent to label approval)


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ANEXO 5 – PREGUNTAS MÁS FRECUENTES

Certification Requirements for Imported Wine Questions and Answers

Question #1 What is the basis for the new certification requirements for imported wine?

Section 2002 of the Miscellaneous Trade and Technical Corrections Act of 2004 amended section 5382(a) of the Internal Revenue Code of 1986, which sets forth standards regarding what constitutes proper cellar treatment of natural wine. The Act added new certification requirements regarding production practices and procedures for imported natural wine. TTB has issued a temporary rule document to implement this change and in a separate notice document is soliciting comments on the temporary rule.

Question #2 Who must comply with the certification requirements?

A person who imports natural wine produced after December 31, 2004, must comply with the certification requirements. Certain exemptions are outlined in Q&A #15 and #16.

Question #3 For the purpose of the certification requirements, what is a “natural wine”?

A natural wine is the product of the juice or must of sound, ripe grapes or other sound, ripe fruit (including berries) made with any cellar treatment authorized by subparts F and L of 27 CFR part 24, containing not more than 24 percent alcohol by volume and containing not more than 21 percent by weight (21 degrees Brix de-alcoholized wine) of total solids.

Question #4 Is Sake a “natural wine”?

No. Sake is produced from rice, not from the juice or must of sound, ripe grapes or other sound, ripe fruit.

Question #5 Is Honey Wine/Mead a “natural wine”?

No. Honey Wine/Mead is produced from honey, not from the juice or must of sound, ripe grapes or other sound, ripe fruit.

Question #6 Is Cider a “natural wine”?

Possibly. Cider is the product of the juice or must of sound, ripe fruit. However, ciders that have been made with cellar treatments or ingredient quantities not authorized by subparts F and L of 27 CFR part 24 are not natural wines.

Question #7 Is Effervescent wine a “natural wine”?

An effervescent wine is considered to be a natural wine only if it was made with cellar treatments or ingredient quantities authorized by subparts F and L of 27 CFR part 24.

Question #8 D th l h l t t li it ti f t l i f t “ i d” “ t l” l h l t “t t l” l h l


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Do the alcohol content limitations of natural wine refer to “acquired” or “actual” alcohol, or to “total” alcohol (which includes the alcohol equivalent of residual sugar contained in the wine)?

The alcohol content limitations in the definition of natural wine refer to the wine’s “actual” alcohol by volume content, which does not include the alcohol equivalent of the residual sugar.

Question #9 When does TTB consider wine to be “produced”?

For purposes of the certification requirement, which applies to wine produced after December 31, 2004, wine is “produced” when it is removed from the fermenter.

Question #10 What is “proper cellar treatment”?

Proper cellar treatment is a production practice or procedure authorized by subparts F and L of 27 CFR part 24 and, in the case of natural wine produced and imported subject to an international agreement or treaty on enological practices, those practices and procedures acceptable to the United States under that agreement or treaty.

Question #11 What is “certification”?

Certification is a statement that the practices and procedures used to produce the imported wine constitute proper cellar treatment. Certification may consist of a statement from the producing country’s government, or government-approved entity having oversight or control of enological practices. This form of certification includes the results of a laboratory analysis of the wine performed by either a government laboratory or a laboratory certified by the government of the producing country. Certification may also be in the form of a statement from the importer, that is, a self-certification (see Q&A #12).

Question #12 Who may self-certify?

If an importer or its affiliate owns or controls a winery operating under a basic permit issued under the Federal Alcohol Administration Act, that importer may certify that the practices and procedures used to produce the wine constitute proper cellar treatment (self-certification). An importer who self-certifies does not need to obtain a producing country certification and laboratory analysis.

Question #13 What is an “affiliate”?

For purposes of self-certification, a person is an "affiliate" if one of two or more persons has actual or legal control, directly or indirectly, whether by stock ownership or otherwise, of the other person or persons. The term includes a winery’s parent or subsidiary or any other entity in which the winery’s parent or subsidiary has a controlling ownership interest. An affiliate also includes any one of two or more persons subject to common control, actual or legal, directly or indirectly, whether by stock ownership or otherwise.

Question #14 What are some examples of companies that may or may not self-certify?

An importer with an affiliate that owns a winery may self-certify. An importer with an affiliate that controls a winery may self-certify. An importer who controls a winery may self-certify.


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An importer controlled by a winery may not self-certify. A person qualified as both an importer and a winery may not self-certify. (Note: The foreign producer of the wine need not be an affiliate of the importer.)

Question #15 Are there any exemptions from the certification requirements?

Yes. Natural wine is exempt from the certification requirements if it is:

• Produced before January 1, 2005;

• Imported for personal use, for example, importations by travelers or gift shipments between individuals;

• Imported by diplomats for embassy or consular use;

• Imported for use as commercial samples, for example, as trade samples, for trade shows, for laboratory analysis; and

• Imported for use on international passenger carriers, for example, cruise ships or airliners. Question #16 If I import wine from a country with which the United States has an enological practices agreement, is the wine subject to certification?The wine is subject to certification only if a certification is required by the agreement. (For a listing of countries with which the United States currently has an enological agreement, see Q&A #17.) Question #17 Which countries currently have an enological practices agreement with the United States?The following five countries have an enological practices agreement with the United States: Argentina, Australia, Canada, Chile and New Zealand. Based on the enological practices agreement between the United States and these countries, natural grape wines containing 7 to 22 percent alcohol by volume from these countries are not subject to certification. Currently, wine from berries and other fruit is not a part of this agreement and is subject to the certification requirement. Question #18 Where can I find the certification form?There is no TTB form; however, the format for certification is in the regulations document. A Word version is also available at: [Word] Question #19 When must I obtain the certification?You must have the certification in your possession when your wine is released from customs custody. However, you do not need to present the document for certification as part of the customs entry process. Question #20 Must my certification document be an original?No. The certification may be an original or a copy. Question #21 Must I submit my certification to TTB?Submission to TTB is required only for Federal Alcohol Administration Act purposes. Therefore, you must submit your certification with your Certificate of Label Approval (COLA) application. Also see Q&A #25, #26 and #27. Question #22 Must I keep a copy of the certification? If yes, for how long?Yes, the certification is part of your required records and must be maintained as provided by subpart I of 27 CFR part 27. Therefore, you must keep the certifications for three years, unless TTB directs you to keep them for longer, that

http://www.ttb.gov/wine/word/webwinecertificationformat.doc


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is, up to another three years. If the certification also supports a COLA, you must keep it as long as you use the COLA to import wine. Question #23 I submitted my certification with my COLA application. My application was returned to me for correction. When I submit my corrected COLA application, must I resubmit a copy of my certification with it?Yes. The corresponding certification must be submitted with the resubmitted COLA application. TTB will not retain certifications that do not correspond to approved COLAs. Question #24 Why is my COLA qualified with "Approved subject to compliance with 27 CFR 4.45(b)"?This is a reminder of your responsibility to submit the certification to TTB in the event that the required certification was not available when you filed the COLA application. TTB is placing this qualification on all COLAs for imported wine even if under the new regulations you are exempt from the certification requirements portion. If you are required to submit a certification for the wine and do not do so, you may not use the label on the wine. Question #25 My COLA was issued before the certification requirements were imposed. I am now using the approved labels to import wine produced after December 31, 2004, and a certification is required for the wine. When do I submit the certification to TTB? You must submit your certification when the wine is released from customs custody. Question #26 My certification was not available when I submitted my COLA application. When should I submit my certification to TTB?You must submit your certification when the wine is released from customs custody. Question #27 If I am unable to submit my certification with my COLA application and have to submit it later, what do I do? Certifications submitted after label approval must be annotated with the TTB label approval identification number, a 14 digit number assigned by TTB as a unique identifier for each COLA. It may be found in the upper left-hand corner of the COLA form in the box labeled TTB ID. Send the annotated certification to: Director, Knowledge Management Staff Alcohol and Tobacco Tax and Trade Bureau 1310 G Street, NW Suite 200E Attention: Wine Certification Docket Washington, DC 20220 Question #28 What will TTB do with my certification?Your certification will be made publicly available on TTB’s web site at www.ttb.gov. Question #29 May I use another importer’s certification?Yes. You may use another importer’s certification provided the wine is of the same brand, class or type, producer, cellar treatment and conforms to the statements made on the certification. When you submit the certification to TTB, please ensure that it reflects the TTB ID number (a 14 digit number assigned by TTB, located in the upper left-hand corner of the approved COLA form) that corresponds to your COLA, rather than that of another importer. Question #30 I am not eligible to self-certify. May I use another importer’s self-certification?Yes, if you are importing wine of the same brand, class or type, producer, and cellar treatment and the wine conforms to the statements made on the certification. When you submit the certification to TTB, please ensure that it reflects the TTB ID number (a 14 digit number assigned by TTB, located in the upper left-hand corner of the approved COLA form) that corresponds to your COLA, rather than that of another importer.

http://www.ttb.gov/


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Question #31 Where can I obtain a copy of another importer’s certification?You can print a copy from TTB’s web site at www.ttb.gov. Question #32 Is there a public listing of foreign governmental and/or government-approved certifying entities? TTB will maintain a list containing all such available information at www.ttb.gov. Question #33 Do I need to submit to TTB and retain in my records a separate certification for each shipment of the same wine?No. One certification submission and retention will cover multiple shipments provided the wine is of the same brand, class or type, producer, cellar treatment and conforms to the statements made on the certification. Question #34 If another importer has already submitted to TTB a certification for the same wine I import, must I also submit a certification?Yes. Question #35 May I use the same certification for the red and white wines that I import?Both are made by the same producer, under the same brand name and subjected to the same cellar treatment. No. You may use the same certification only for wine of the same class or type, brand, producer and subjected to the same cellar treatment. “Red wine” and “white wine” are different types. Question #36 May I use the same certification for the Cabernet Sauvignon and Chardonnay wines that I import? Both are made by the same producer, under the same brand name and subjected to the same cellar treatment. No. You may use the same certification only for wine of the same class or type, brand, producer and subjected to the same cellar treatment. “Cabernet Sauvignon” and “Chardonnay” are different types. Question #37 Must I get a new certification when there has been a change in the cellar treatment of my wine, even though I don’t need a new COLA?Yes, any change in cellar treatment requires a new certification even if it doesn’t require a new COLA. Question #38 I will be importing 20 bottles of wine for use at an upcoming trade show. Is this wine subject to certification?No. Importations of commercial samples, including trade show samples, are exempt from the certification requirements. See Q&A #15. Question #39 Who should I contact if I have additional questions about certification requirements?Contact an International Trade Division staff member at (202) 927-8110.

http://www.ttb.gov/

http://www.ttb.gov/

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