Delegation of Authority (99R-159P)

DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco and Firearms

27 CFR Part 1

[T.D. ATF-416]

RIN 1512-AB94

Delegation of Authority (99R-159P)

AGENCY: Bureau of Alcohol, Tobacco and Firearms (ATF), Treasury.

ACTION: Treasury Decision, final rule.

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SUMMARY: This final rule places most ATF authorities contained in part

1, title 27 Code of Federal Regulations (CFR), with the ``appropriate

ATF officer'' and requires that persons file documents required by part

1, title 27 Code of Federal Regulations (CFR), with the ``appropriate

ATF officer'' or in accordance with the instructions on the ATF form.

Also, this final rule removes the definitions of, and references to,

specific officers subordinate to the Director. Concurrently with this

Treasury Decision, ATF Order 1130.6 is being published. Through this

order, the Director has delegated most of the authorities in 27 CFR

part 1 to the appropriate ATF officers and specified the ATF officers

with whom applications, notices and other reports that are not ATF

forms are filed.

DATES: This rule is effective September 15, 1999.

FOR FURTHER INFORMATION CONTACT: Robert Ruhf, Regulations Division,

Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue NW,

Washington, DC 20226 (202-927-8210).

SUPPLEMENTARY INFORMATION:

Background

Pursuant to Treasury Order 120-01 (formerly 221), dated June 6,

1972, the Secretary of the Treasury delegated to the Director of the

Bureau of Alcohol, Tobacco and Firearms (ATF), the authority to

enforce, among other laws, the provisions of the Federal Alcohol

Administration (FAA) Act. The Director has subsequently redelegated

certain of these authorities to appropriate subordinate officers by way

of various means, including by regulation, ATF delegation orders,

regional directives, or similar delegation documents. As a result, to

ascertain what particular officer is authorized to perform a particular

function under the FAA Act, each of these various delegation

instruments must be consulted. Similarly, each time a delegation of

authority is revoked or redelegated, each of the delegation documents

must be reviewed and amended as necessary.

ATF has determined that this multiplicity of delegation instruments

complicates and hinders the task of determining which ATF officer is

authorized to perform a particular function. ATF also believes these

multiple delegation instruments exacerbate the administrative burden

associated with maintaining up-to-date delegations, resulting in an

undue delay in reflecting current authorities.

Accordingly, this final rule rescinds all authorities of the

Director in part 1 that were previously delegated and places those

authorities with the ``appropriate ATF officer.'' Most of the

authorities of the Director that were not previously delegated are also

placed with the ``appropriate ATF officer.'' Along with this final

rule, ATF is publishing ATF Order 1130.6, Delegation Order--Delegation

of the Director's Authorities in Part 1, Basic Permit Requirements

Under the Federal Alcohol Administration Act, Nonindustrial Use of

Distilled Spirits and Wine, Bulk Sales and Bottling of Distilled

Spirits, which delegates certain of these authorities to the

appropriate organizational level. The effect of these changes is to

consolidate all delegations of authority in part 1 into one delegation

instrument. This action both simplifies the process for determining

what ATF officer is authorized to perform a particular function and

facilitates the updating of delegations in the future. As a result,

delegations of authority will be reflected in a more timely and user-

friendly manner.

In addition, this final rule also eliminates all references in the

regulations that identify the ATF officer with whom an ATF form is

filed. This is because ATF forms will indicate the officer with whom

they must be filed. Similarly, this final rule also amends part 1 to

provide that the submission of documents other than ATF forms (such as

letterhead applications, notices and reports) must be filed with the

``appropriate ATF officer'' identified in ATF Order 1130.6. These

changes will facilitate the identification of the officer with whom

forms and other required submissions are filed.

This final rule also makes three various technical amendments to

Subpart A--Scope of 27 CFR part 1. First, a new section is added to

recognize the authority of the Director to delegate regulatory

authorities in part 1 and to identify ATF Order 1130.6 as the

instrument reflecting such delegations. Second, Sec. 1.3 is amended to

provide that the instructions for an ATF form identify the ATF officer

with whom it must be filed. Third, references to ATF Form 5100.18 are

amended to remove its previous form number cited in parentheses.

ATF has begun to make similar changes in delegations to other parts

of Title 27 of the Code of Federal Regulations through separate

rulemakings. By amending the regulations part by part, rather than in

one large rulemaking document and ATF Order, ATF minimizes the time

expended in notifying interested parties of current delegations of

authority.

Paperwork Reduction Act

The provisions of the Paperwork Reduction Act of 1995, Public Law

104-13, 44 U.S.C. Chapter 35, and its implementing regulations, 5 CFR

part 1320, do not apply to this final rule because there are no new or

revised recordkeeping or reporting requirements.

Regulatory Flexibility Act

Because no notice of proposed rulemaking is required for this rule,

the provisions of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.)

do not apply. A copy of this final rule was submitted to the Chief

Counsel for Advocacy of the Small Business Administration in accordance

with 26 U.S.C. 7805(f). No comments were received.

Executive Order 12866

It has been determined that this rule is not a significant

regulatory action because it will not: (1) Have an annual effect on the

economy of $100 million or more or adversely affect in a material way

the economy, a sector of the economy, productivity, competition, jobs,

the environment, public health or safety, or State, local or tribal

governments or communities; (2) Create a serious inconsistency or

otherwise interfere with an action taken or planned by another agency;

(3) Materially alter the budgetary impact of entitlements, grants, user

fees, or loan programs or the rights and obligations of recipients

thereof; or (4) Raise novel legal or policy issues arising out of legal

mandates, the President's priorities, or the principles set forth in

Executive Order 12866.

Administrative Procedure Act

Because this final rule merely makes technical amendments and

conforming changes to improve the clarity of the regulations, it is

unnecessary to issue this final rule with notice and public procedure

under 5 U.S.C. 553(b). Similarly it is unnecessary to subject this

final rule to the effective date limitation of 5 U.S.C. 553(d).

[[Page 49985]]

Drafting information. The principal author of this document is

Robert Ruhf, Regulations Division, Bureau of Alcohol, Tobacco and

Firearms.

List of Subjects in 27 CFR Part 1

Administrative practices and procedures, Alcohol and alcoholic

beverages, Authority delegations, Imports, Liquors, Warehouses, Wine.

Authority and Issuance

Title 27, part 1 of the Code of Federal Regulations is amended as

follows:

PART 1--BASIC PERMIT REQUIREMENTS UNDER THE FEDERAL ALCOHOL

ADMINISTRATION ACT, NONINDUSTRIAL USE OF DISTILLED SPIRITS AND

WINE, AND BULK SALES AND BOTTLING OF DISTILLED SPIRITS

1. The authority citation for part 1 continues to read as follows:

Authority: 27 U.S.C. 203, 204, 206, and 211 unless otherwise

noted.

2. In Section 1.3 paragraph (a) is amended by removing the word

``Director'' and adding, in substitution, the phrase ``appropriate ATF

officer'', and by adding a sentence at the end of paragraph (a) and

paragraph (b) is revised to read as follows:

Sec. 1.3 Forms prescribed.

(a)* * * The form will be filed in accordance with the instructions

for the form.

(b) Forms may be requested from the ATF Distribution Center, P.O.

Box 5950, Springfield, Virginia 22153-5190, or by accessing the ATF web

site (http://www.atf.treas.gov/).

3-4. Redesignate Sec. 1.4 as Sec. 1.10.

5. A new Sec. 1.4 is added to Subpart A and reads as follows:

Sec. 1.4 Delegations of the Director.

Most of the regulatory authorities of the Director contained in

this part 1 are delegated to appropriate ATF officers. These ATF

officers are specified in ATF Order 1130.6, Delegation Order--

Delegation of the Director's Authorities in Part 1, Basic Permit

Requirements Under the Federal Alcohol Administration Act,

Nonindustrial Use of Distilled Spirits and Wine, Bulk Sales and

Bottling of Distilled Spirits. ATF delegation orders, such as ATF Order

1130.6, are available to any interested person by mailing a request to

the ATF Distribution Center, P.O. Box 5950, Springfield, Virginia

22150-5190, or by accessing the ATF web site (http://www.atf.treas.gov/

).

6. Section 1.10 is amended by removing the definitions of ``ATF

officer'' and ``Regional director (compliance)'', by revising the

definitions of ``Applicant'' and ``Basic permit'', and by adding a new

definition of ``Appropriate ATF officer'' to read as follows:

Sec. 1.10 Meaning of terms.

* * * * *

Applicant. Any person who has filed an application for a basic

permit under the Federal Alcohol Administration Act with the

appropriate ATF officer.

Appropriate ATF officer. An officer or employee of the Bureau of

Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions

relating to the administration or enforcement of this part by ATF Order

1130.6, Delegation Order--Delegation of the Director's Authorities in

27 CFR Part 1, Basic Permit Requirements Under the Federal Alcohol

Administration Act, Nonindustrial Use of Distilled Spirits and Wine,

Bulk Sales and Bottling of Distilled Spirits.

* * * * *

Basic permit. A document issued under the Act authorizing a person

to engage in activities at a particular location.

* * * * *

Secs. 1.24, 1.27, 1.31, 1.42, 1.50, 1.51, 1.52, and 1.55

7. In part 1 remove the words ``regional director (compliance)''

each place it appears and add, in substitution, the words ``appropriate

ATF officer'' in the following places:

(a) Section 1.24 introductory text;

(b) Section 1.27;

(c) Section 1.31;

(d) Section 1.42;

(f) Section 1.50;

(g) Section 1.51;

(h) Section 1.52; and

(i) Section 1.55.

8. Section 1.25 is revised to read as follows:

Sec. 1.25 General.

Applications for basic permits to engage in any of the operations

set forth in Secs. 1.20 to 1.22 must be made on ATF Form 5100.24,

5170.4 or 5100.18, verified as required by Sec. 1.56, and will be

accompanied by such affidavits, documents, and other supporting data,

as the appropriate ATF officer may require. The application will

include all data, written statements, affidavits, documents, or other

evidence submitted in support of the application, or upon a hearing.

9. Section 1.29 is revised to read as follows:

Sec. 1.29 Individual plant or premises.

An application for a basic permit must be filed, and permit issued,

to cover each individual plant or premises where any of the businesses

specified in section 103 of the Act is engaged in.

10. The last sentence of Sec. 1.30 is amended by removing the comma

after ``(1534)'' and ``in triplicate, and submitted to the regional

director (compliance)'' and by adding in its place a period.

11. Section 1.35 is revised to read as follows:

Sec. 1.35 Authority to issue, amend, deny, suspend, revoke, or annul

basic permits.

The authority and power of issuing, amending, or denying basic

permits, or amendments thereof, is conferred upon the appropriate ATF

officer except as to agency initiated curtailment. The Director, upon

consideration of appeals on petitions for review in part 200 of this

chapter, may order the appropriate ATF officer to issue, deny, suspend,

revoke, or annul basic permits.

Secs. 1.40, 1.41 Amended

12. Part 1 is further amended by removing ``(1643), with the

regional director (compliance),'' each place it appears in the

following places:

(a) Section 1.40; and

(b) Section 1.41.

13. Section 1.56 is revised to read as follows:

Sec. 1.56 Oaths and affirmations.

A document must be verified by an oath or affirmation taken before

a person authorized by the laws of the United States or by State or

local law to administer oaths or affirmations in the jurisdiction where

the document is executed when required by:

(a) Regulation; or

(b) An appropriate ATF officer.

14. Section 1.58 is amended by adding the word ``appropriate''

before the words ``ATF officers.''

15. The introductory text and paragraph (c) of Sec. 1.59 are

amended by removing the words ``regional director (compliance)'' and

``regional director's (compliance)'' each place they appear and adding,

in substitution, the words ``appropriate ATF officer'' and

``appropriate ATF officer's'', respectively.

Signed: July 7, 1999.

John W. Magaw,

Director.

Approved: August 13, 1999.

John P. Simpson,

Deputy Assistant Secretary (Regulatory, Tariff and Trade Enforcement).

[FR Doc. 99-23618 Filed 9-14-99; 8:45 am]

BILLING CODE 4810-31-P