Frozen Warmwater Shrimp from China, Ecuador, India, Indonesia, Malaysia, Thailand, and Vietnam (P), Inv. No. 701-491-497

INSTRUCTION BOOKLET

GENERAL INFORMATION, INSTRUCTIONS, AND
DEFINITIONS FOR COMMISSION FOREIGN
PRODUCER/EXPORTER QUESTIONNAIRES

Frozen Warmwater Shrimp from China, Ecuador, India, Indonesia, Malaysia,
Thailand, Vietnam
Investigation No. 701-TA-491-497 (Preliminary)

Further information.--If you have any questions concerning the enclosed
questionnaire(s) or other matters related to this proceeding, you may contact
the following member of the Commission=s staff (Fax 202-205-3205):
Fred Ruggles, investigator (202-205-3187; Email [email protected])

GENERAL INFORMATION
Background.--This proceeding was instituted in response to a petition filed on December 28, 2012
by the Coalition of Gulf Shrimp Industries, Biloxi, MS. Countervailing duties may be assessed on
the subject imports as a result of this proceeding if the Commission makes an affirmative
determination of injury, threat, or material retardation, and if the U.S. Department of Commerce
makes an affirmative determination of subsidization.
Questionnaires and other information pertinent to this proceeding are available at
http://www.usitc.gov/trade_remedy/731_ad_701_cvd/investigations/2012/shrimp/prelimphase.htm.

Address all correspondence to the United States International Trade Commission, Washington,
DC 20436. Hearing-impaired individuals can obtain information regarding this proceeding via
the Commission=s TDD terminal (202-205-1810).
Due date of questionnaire(s).--Please submit the completed questionnaire(s) to the United States
International Trade Commission so as to be received by no later than January 11, 2013. Because
Commission staff might contact you with questions during the course of the proceeding, save the
final version of the document(s) and retain all files and worksheets associated with the completed
questionnaire(s). Please also retain a copy of any paper original document that you submit.
Service of questionnaire response(s).--In the event that your firm is a party to this proceeding,
you are required to serve a copy of the questionnaire(s), once completed, on parties to the
proceeding that are subject to administrative protective order (see 19 CFR ' 207.7). A list of such
parties is maintained by the Commission=s Secretary and may be obtained by calling
202-205-1803. A certificate of service must accompany the copy of the completed questionnaire(s)
you submit (see 19 CFR ' 207.7).
Confidentiality.--The commercial and financial data furnished in response to the enclosed
questionnaire(s) that reveal the individual operations of your firm will be treated as confidential by
the Commission to the extent that such data are not otherwise available to the public and will not
be disclosed except as may be required by law (see 19 U.S.C. ' 1677f). Such confidential
information will not be published in a manner that will reveal the individual operations of your
firm; however, nonnumerical characterizations of numerical business proprietary information
(such as discussion of trends) will be treated as confidential business information only at the
request of the submitter for good cause shown.

2

GENERAL INFORMATION--Continued
Verification.--The information submitted in the enclosed questionnaire(s) is subject to audit
and verification by the Commission. To facilitate possible verification of data, please keep
all your files, worksheets, and supporting documents used in the preparation of the
questionnaire response(s).
Release of information.--The information provided by your firm in response to the
questionnaire(s), as well as any other business proprietary information submitted by your firm to
the Commission in connection with the proceeding, may become subject to, and released under,
the administrative protective order provisions of the Tariff Act of 1930 (19 U.S.C. ' 1677f) and
section 207.7 of the Commission=s Rules of Practice and Procedure (19 CFR ' 207.7). This means
that certain lawyers and other authorized individuals may temporarily be given access to the
information for use in connection with this proceeding or other import-injury proceedings
conducted by the Commission on the same or similar merchandise; those individuals would be
subject to severe penalties if the information were divulged to unauthorized individuals.
INSTRUCTIONS
Answer all questions.--Do not leave any question or section blank unless a questionnaire
expressly directs you to skip over certain questions or sections. If the answer to any question is
Anone,@ write Anone.@ If information is not readily available from your records in exactly the
form requested, furnish carefully prepared estimates. Answers to questions and any necessary
comments or explanations should be supplied in the space provided or on separate sheets attached
to the appropriate page of the questionnaire(s). If your firm is completing more than one
questionnaire in connection with this proceeding (i.e., a producer, importer, purchaser, and/or
foreign producer questionnaire), you need not respond to duplicated questions in the
questionnaires.
Consolidate all establishments in China, Ecuador, India, Indonesia, Malaysia, Thailand, or
Vietnam .--Report the requested data for your establishment(s) located in China, Ecuador, India,
Indonesia, Malaysia, Thailand, or Vietnam. Firms operating more than one establishment
should combine the data for all establishments into a single report.
Electronic completion.--Your firm is encouraged to complete the questionnaire electronically in
MS Word format. The MS Word versions of all the questionnaires in this proceeding are available
online at the ITC web page or may be obtained directly from the Commission’s Investigator, Fred
Ruggles ([email protected], or 202-205-3187).
Electronic submission.--To the degree that it is possible and not overly burdensome, the
Commission requests that responding firms submit their questionnaire responses electronically in
MS Word format. The submission of questionnaire responses in the MS Word format allows the
Commission to compile, assess, and analyze submitted data more promptly. There are three
electronic submissions options detailed below. Paper submissions are also accepted.

3

INSTRUCTIONS--Continued
OPTIONS FOR FILING
This questionnaire is available as a “fillable” form in MS Word format on the
Commission’s website at
http://www.usitc.gov/trade_remedy/731_ad_701_cvd/investigations/2012/shrimp/prelimphase.htm.

Please do not attempt to modify the format or permissions of the questionnaire
document. You may complete the questionnaire and submit it, electronically, or you may
print it out and submit it in paper form, as described below:
• Upload via Secure Drop Box.—Upload the completed questionnaire in MS Word format along
with a scanned copy of the signed certification page (page 1) through the Commission’s secure
upload facility:
Web address: https://dropbox.usitc.gov/oinv/

Pin: SHRIMP

• Compact disc (CD).—Copy your questionnaire onto a CD, include a signed certification page
(page 1) (either in paper form or scanned PDF copied onto CD), and mail to the address above. It
is strongly recommended that you use an overnight mail service. U.S. mail sent to government
offices undergoes additional processing which not only results in substantial delays in delivery but
may also damage CDs.
• E-mail.—E-mail your questionnaire to the investigator identified on page 1 of the Instruction
Booklet; include a scanned PDF of the signed certification page (page 1). Type the following in
the e-mail subject line: BPI Questionnaire, Inv. Nos. 701-TA-491-497. Please note that
submitting your questionnaire by e-mail may subject your firm’s business proprietary information
to transmission over an unsecure environment and to possible disclosure. If you choose this
option, the Commission warns you that any risk involving possible disclosure of such information
is assumed by the submitter and not by the Commission.
• Fax.—Fax to 202.205.3205.
• Overnight mail service.—Mail to the following address:
United States International Trade Commission
Office of Investigations, Room 615
500 E Street SW
Washington, DC 20024
• U.S. mail.—Mail to the address above, but use zip code 20436. This option is not recommended.
U.S. mail sent to government offices undergoes additional processing to screen for hazardous
materials; this additional processing results in substantial delays in delivery.
Note: If you are a party to the proceeding, and service of the questionnaire is required, such
service should be made in paper form.

4

DEFINITIONS
Frozen warmwater shrimp.--includes certain frozen warmwater shrimp and prawns, whether
wild–caught (ocean harvested) or farm–raised (produced by aquaculture), head–on or head–off,
shell–on or peeled, tail–on or tail–off,1 deveined or not deveined, cooked or raw, or otherwise
processed in frozen form, regardless of size.
The frozen warmwater shrimp and prawn products included the scope, regardless of
definitions in the Harmonized Tariff Schedule of the United States (“HTS”), are products which
are processed from warmwater shrimp and prawns through freezing and which are sold in any
count size.
The products described above may be processed from any species of warmwater shrimp
and prawns. Warmwater shrimp and prawns are generally classified in, but are not limited to, the
Penaeidae family. Some examples of the farmed and wild–caught warmwater species include, but
are not limited to, whiteleg shrimp (Penaeus vannemei), banana prawn (Penaeus merguiensis),
fleshy prawn (Penaeus chinensis), giant river prawn (Macrobrachium rosenbergii), giant tiger
prawn (Penaeus monodon), redspotted shrimp (Penaeus brasiliensis), southern brown shrimp
(Penaeus subtilis), southern pink shrimp (Penaeus notialis), southern rough shrimp
(Trachypenaeus curvirostris), southern white shrimp (Penaeus schmitti), blue shrimp (Penaeus
stylirostris), western white shrimp (Penaeus occidentalis), and Indian white prawn (Penaeus
indicus).
Frozen shrimp and prawns that are packed with marinade, spices or sauce are included in
the scope. In addition, food preparations (including dusted shrimp), which are not ‘‘prepared
meals,’’ that contain more than 20 percent by weight of shrimp or prawn are also included in the
scope.
Excluded from the scope are: (1) breaded shrimp and prawns; (2) shrimp and prawns
generally classified in the Pandalidae family and commonly referred to as coldwater shrimp, in
any state of processing; (3) fresh shrimp and prawns whether shell–on or peeled; (4) shrimp and
prawns in prepared meals; (5) dried shrimp and prawns; (6) canned warmwater shrimp and prawns;
and (7) certain “battered shrimp” (see below).
“Battered shrimp” is a shrimp–based product: (1) that is produced from fresh (or
thawed–from-frozen) and peeled shrimp; (2) to which a “dusting” layer of rice or wheat flour of
at least 95 percent purity has been applied; (3) with the entire surface of the shrimp flesh
thoroughly and evenly coated with the flour; (4) with the non–shrimp content of the end product
constituting between four and 10 percent of the product’s total weight after being dusted, but prior
to being frozen; and (5) that is subjected to individually quick frozen (“IQF”) freezing
immediately after application of the dusting layer. When dusted in accordance with the definition
of dusting above, the battered shrimp product is also coated with a wet viscous layer containing
egg and/or milk, and par–fried.
The products included in the scope are currently imported under the following HTS
statistical reporting numbers: 0306.17.0003, 0306.17.0006, 0306.17.0009, 0306.17.0012,
0306.17.0015, 0306.17.0018, 0306.17.0021, 0306.17.0024, 0306.17.0027, 0306.17.0040,
1605.21.1030 and 1605.29.1010. These HTS provisions are provided for convenience and for
customs purposes only and are not dispositive, but rather the written description of the scope is
dispositive.
1 “Tails” in this context means the tail fan, which includes the telson and the uropods.

5

DEFINITIONS--Continued
Firm.--An individual proprietorship, partnership, joint venture, association, corporation
(including any subsidiary corporation), business trust, cooperative, trustee in bankruptcy, or
receiver under decree of any court.
Related firm.--A firm that your firm solely or jointly owned, managed, or otherwise controlled; a
firm that solely or jointly owned, managed, or otherwise controlled your firm; and/or a firm that
was solely or jointly owned, managed, or otherwise controlled by a firm that also solely or jointly
owned, managed, or otherwise controlled your firm.
Establishment.--Each facility of a firm in China, Ecuador, India, Indonesia, Malaysia, Thailand,
or Vietnam involved in the production of frozen warmwater shrimp (as defined above), including
auxiliary facilities operated in conjunction with (whether or not physically separate from) such
facilities.
United States.--For purposes of this proceeding, the 50 States, Puerto Rico, the U.S. Virgin Islands,
and the District of Columbia.
Importer.--Any person or firm engaged, either directly or through a parent company or subsidiary,
in importing frozen warmwater shrimp (as defined above) into the United States from a foreign
manufacturer or through its selling agent.
Average production capacity.--The level of production that your establishment(s) could
reasonably have expected to attain during the specified periods. Assume normal operating
conditions (i.e., using equipment and machinery in place and ready to operate; normal operating
levels (hours per week/weeks per year) and time for downtime, maintenance, repair, and cleanup;
and a typical or representative product mix).
Production.--All production in your establishment(s) in China, Ecuador, India, Indonesia,
Malaysia, Thailand, or Vietnam, including production consumed internally within your firm.
Shipments.--Shipments of products produced in your establishment(s) in China, Ecuador, India,
Indonesia, Malaysia, Thailand, or Vietnam. Quantities reported should be net of returns.
Home market commercial shipments.--Shipments, other than internal consumption and
transfers to related firms, within China, Ecuador, India, Indonesia, Malaysia, Thailand, or
Vietnam.
Home market internal consumption/transfers to related firms.--Shipments made to
related firms in China, Ecuador, India, Indonesia, Malaysia, Thailand, or Vietnam,
including product consumed internally by your firm.
Export shipments.--Shipments to destinations outside China, Ecuador, India, Indonesia,
Malaysia, Thailand, or Vietnam, including shipments to related firms.
Inventories.--Finished goods inventory, not raw materials or work-in-progress.
6