Form 3A543 India Trade Survey

Policies in India Affecting U.S. Business Questionnaire

india_barriers_questionnaire_v133

India Trade Survey

OMB: 3117-0227

Document [pdf]

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POLICIES IN INDIA AFFECTING U.S. BUSINESS QUESTIONNAIRE (DRAFT)
Interactive Completion Version
United States International Trade Commission
Attention: India Survey Project Team
Office of Industries, Room 511-G
500 E Street, SW, Washington, DC 20436
Fax: 202-205-2217
The U.S. International Trade Commission (USITC) is conducting a fact-finding investigation regarding Indian industrial policies
that discriminate against U.S. imports and investment, and their effect on the U.S. economy. The House Committee on Ways
and Means and the Senate Committee on Finance requested this investigation. The Committees directed the USITC to survey
U.S. companies about recent changes in Indian policies and the effect these changes have had on company strategies
towards India. This questionnaire has been designed to collect information to fulfill this request. You can learn more about
this investigation (no. 332-543) by clicking on the following button:
Link to USITC website

What we are asking you

DRAFT - NOT FOR COMPLETION

If your organization has:

No exports and no foreign affiliates

Exports to, or foreign affiliates in, countries
other than India
Exports to India or foreign affiliates there

This survey asks:
Limited information about your company so we can ensure our
survey accurately represents your industry
Whether Indian policies have affected your decision not to engage
with India
Your experience with Indian policies and how they have affected
your company

Your organization is required by law to respond to this questionnaire.
Please read all instructions and return the completed questionnaire
to the USITC no later than March 18, 2014.
We are requesting this information under the authority of section 332(g) of the Tariff Act of 1930 (19 U.S.C. §
1332(g)). Completing the questionnaire is mandatory, and failure to reply as directed can result in a
subpoena or other order to compel the submission of records or information in your possession (19 U.S.C. §
1333(a)). For more information on this questionnaire, contact project team members William Powers or
Renee Berry at [email protected]. You may also call the team at 202-708-4721 or 202-708-2719.

Confidentiality
The Commission has designated as “confidential business information” the information you provide in response to this
questionnaire, to the extent that such information would reveal the operations of your organization and is not otherwise
available to the public. The Commission will not disclose such confidential business information except as provided for in
section 9 of this questionnaire. Information received in response to this questionnaire will be aggregated with information
from other questionnaire responses and will not be published in a manner that would reveal the operations of your
organization.
OMB no. 3117-XXXX; Expiration date: XX/XX/XXXX
No response is required if a currently valid OMB control number is not displayed

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Instructions
1.

Completing the questionnaire. The best way to answer this questionnaire is to use an interactive version that is
available online. To retrieve this version, go to the website shown below. Follow the instructions on this web page and
save the questionnaire to your computer. Use this version of the questionnaire if you are completing it interactively.
http://www.usitc.gov/indiasurvey
If you prefer not to use the interactive version, you must contact the project team (see cover for contact information)
and request a hard copy of the questionnaire. This is the only way to obtain a hard copy of the questionnaire; if you
print out the interactive version, you will not have access to drop-down menus, and critical information will be missing.

Accessing the file. Open the questionnaire file using Adobe Reader software. If you have an old version of this
software, you may be prompted by your computer operating system to upgrade (this is free software). Contact the
project team if you cannot open the file (see cover for contact information).
Note: Once opened, the file will accept information. It has been designed to make it easy for you to
complete the questionnaire electronically, and to minimize the need for the Commission's project team to
contact you for clarifications.

Entering information. Please answer each question that applies to your organization. You can answer questions using
the provided checkboxes, drop-down lists, and type-in entry areas. These entry areas are normally highlighted in blue,
although this color may vary depending on your computer's settings. Some questions with drop-down lists let you
customize the way you enter information (these cases will be indicated in the question text).

DRAFT - NOT FOR COMPLETION

You will not be able to change the questionnaire itself or enter information outside the entry areas. Certain type-in
entry areas will accept only numbers and not text.
4.

Navigation. Move to entry areas by clicking on them. You can use the tab key to do this, but only within a page. Use
the navigation buttons on the bottom of the page to move directly to a specific section.

Entering numeric data. Enter data for sales, employees, exports, etc. in full figures, not in thousands, millions, or
similar format. For example, enter "123400000," not "123400" or "123.4." (Commas between digits will appear
automatically after you enter the numbers.)

Submitting the questionnaire. Please keep the file as an Acrobat pdf file and do not convert it to another file format.
The preferred method of submission is transmitting your questionnaire to our secure drop box at the website shown
below. The PIN is 1969.
https://dropbox.usitc.gov
Please see section 10 for all submission options.

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General information
1.

Coordinating your organization's response. If separate persons or departments within your organization will share
responsibility for completing this questionnaire, please coordinate your responses so that the information your
organization gives us is consistent. This will minimize our need to call you back for clarifications.

Relationship to corporate structure. Please provide a single response for your organization's activities. This may
require your organization to combine information from two or more business units.
If it is not possible to combine responses, or it is unreasonably burdensome, then your organization may provide
separate responses for business units, but please ensure that the information is complete and that there is no
double-counting. If you have joint venture organizations operating in the United States, please ensure there is no
double-counting with other business units of the joint venture partners.

U.S. affiliates of foreign companies. Please respond as if the affiliate were an independent organization operating in
the United States. For example, show total sales for the affiliate and its subsidiaries only, and not for the foreign
corporation.

"You” and “Your.” Parts of the questionnaire refer to “you” and “your.” These words refer to the organization that is
responding to the questionnaire.

"United States." This refers to the customs territory of the United States, which includes the 50 states, the District of
Columbia, and Puerto Rico.

Year. All references to years means calendar years. If you normally use fiscal years, please convert to a calendar year
basis for the responses in this questionnaire.

Questionnaire structure. This questionnaire is composed of ten sections, as shown below.

DRAFT - NOT FOR COMPLETION
Table of Contents
Item

Page

Instructions

Definitions

Sections

First Page

Instructions

1. Basic information

2. Activity in India

3. Exports of goods to India

4. Foreign affiliate sales of goods in India

5. Services trade with India

6. Effects of Indian policies and policy-related
issues

7. Barriers suppressing trade

8. Other information

9. Certification

10. Submitting the questionnaire

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Definitions
1. Goods: Products that are covered by the Harmonized Tariff System (i.e., any product for which imports are typically
recorded by the Customs bureaus of national governments). This includes all agricultural products, natural resources, and
manufactured products. If your firm exports “goods” that are provided digitally, such as software files transferred over the
Internet, you should generally record these as exports of services (see definition below), rather than as goods, unless you also
export the files on physical media (e.g., disks, hard drives) and cannot separate export figures for the two different forms.
2. Services: Products that do not have physical form. This includes wholesale trade, retail trade, transportation and
warehousing, information, finance and insurance, real estate and rental and leasing, professional, scientific, and technical
services, certain services provided by mining, utilities, and construction firms, and other services as defined in the 2007
version of the North American Industry Classification System (NAICS 2007). Products that are exported digitally and that are
not also distributed on physical media (e.g., disks, hard drives) should be recorded as exports of services. Please see the
definition of goods (above) for further guidance on the classification of digital exports.
3. Foreign affiliate: A firm in a foreign country in which your organization has an equity stake of 10 percent or more.
4. Establishment: A single physical location at which business is conducted and/or services are provided. It is not necessarily
identical with a company or enterprise, which may consist of one establishment or more. The main objective of the site
should be to conduct business. Independent contractors or employees working out of their homes should not be considered
separate establishments.
5. Sales: Goods or services sales, net of returns, discounts, and allowances. Includes internal consumption and transfers to
related organizations, as applicable, at fair market value. Same as sales as shown on a typical income statement.

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6. Employees: The number of employees (including part-time and temporary workers) at your your organization's facilities.
Include production and related workers, managers, supervisors, technicians, office workers, etc. related to your organization's
activities. If your firm is an affiliate of a foreign firm, include only employees that can be attributed directly to your
organization's U.S. affiliates.

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Section 1: Basic Information
1.1

Please enter the 5 digit identification number that was in the notification letter we sent to your organization. This will
allow the project team to track your response. If you do not know this number, leave the entry area blank and proceed
to the next question.
Identification number

1.2

Please list your organization's primary address and a contact person.

Organization name
Address
City

State

Website address (www.name.domain)

Zip code

Contact person's name

Contact person's job title

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Contact person's email address ([email protected])

Contact person's telephone number (xxx-xxx-xxxx)
1.3

Is the organization named above a subsidiary of an organization operating in the United States?
Yes
No
If this questionnaire has been sent to one or more subsidiaries and/or the related parent company, then there should
be one coordinated response. If it is not possible to coordinate responses, or it is unreasonably burdensome, then your
organization may provide separate responses for subsidiaries, but please ensure that the information is complete for
your entire organization and that there is no double-counting.

1.4

Is the organization named above a parent company operating in the United States?
Yes
No
If your organization is a parent company, then this submission should reflect all the activities of the subsidiaries that
have U.S. operations. Alternatively, each subsidiary with U.S. operations may provide a separate questionnaire
response.

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How to report numeric figures
If sales or costs are $1,200,500, enter in full figures as:

1200500

If the number of employees is 1,550, enter in full figures as:

1550

Note: After you enter a numeric figure, commas between digits will appear automatically.

Employee definition
1.5

Please list the number of employees (including part-time and temporary workers) during the years indicated below for
your organization's U.S. and foreign activities. Your best estimates are acceptable. If your organization is an affiliate of
a foreign organization, include only employees that can be directly attributed to your organization's U.S. affiliate and to
foreign locations that report to the U.S. affiliate.

Employees

Number of employees for all your organization's activities in the
United States and all foreign countries (in full-figures, not in
millions or other format)

1.6

2007

2010

2013

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What is your organization's primary sector and corresponding subsector? If your organization is in multiple sectors,
please select the one that composes the highest percentage of your revenue in 2013. Check one primary sector below,
and then select one subsector from the corresponding drop-down list.
Primary sector (pick one)

First Page

Subsector

Agricultural products,
processed foods, and beverages

Make selection if this corresponds to your primary sector

Natural resources, metals, and
related downstream products

Make selection if this corresponds to your primary sector

Chemicals, textiles and other
manufactured goods/equipment

Make selection if this corresponds to your primary sector

Financial services

Make selection if this corresponds to your primary sector

Retail, wholesale, and related
services

Make selection if this corresponds to your primary sector

Telecommunication, broadcasting,
publishing, information, and IP
licensing services

Make selection if this corresponds to your primary sector

Other services

Make selection if this corresponds to your primary sector

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1.7

During 2013, how important to your business were the following types of intellectual property?

Intellectual property type

Patents

Trademarks

Copyrights

Trade secrets, including protection of test data

Other (specify):

1.8

Not important

Somewhat important

Very important

During 2007-2013, did your organization (check all that apply):
Export goods or services from the United States to any foreign country?
Have an equity stake of 10 percent or more in an affiliated organization in any foreign country?

If you checked any of the boxes in question 1.8, please go to the next section.

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If you did not check any of the boxes in question 1.8, please go to section 9.

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 2: Activity in India
Beginning with this section, you will be asked to provide data on goods and services separately. You will also be
asked to separate these data depending on whether these goods or services originate from your U.S. facilities or
your Indian facilities. Please note:
The export of goods (or merchandise) includes the sale of goods by your U.S. facilities to customers in India. If
these same goods were sold by your operations in India, then it would count as a foreign affiliate sale.
Service exports occur when your organization sells services from facilities based in the United States to
consumers in India, with people, information, or money crossing national boundaries in the process. For example,
if your organization has accountants based in the United States that provide services for a firm in India, these are
service exports. If your organization sells the same service from accountants based in Indian facilities, then these
count as foreign affiliate sales.
See the definitions section for more information about these terms.

2.1

During 2007-2013, did your organization (check all that apply):
Export goods or services from the United States to India?

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Have an equity stake of 10 percent or more in an affiliated organization in India?

If you checked any of the boxes in question 2.1, please go to the next question.
If you did not check any of the boxes in question 2.1, please go to section 7.

2.2

Go to Section 7

In what year did your organization first engage in the Indian market via exports or foreign affiliate sales?
Year (XXXX)

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2.3

#
1
2

Please list the value of your organization's exports of goods and services from the United States to India during the
years indicated below. Your best estimates are acceptable. If you did not have any such exports, please leave these
question response areas blank.
Category
Total exports of goods to India from U.S. operations (in fullfigures, not in millions or other format)
Total exports of services to India from U.S. operations (in fullfigures, not in millions or other format)

2007

2010

2013

Note: Total exports should include all exports that originated in the United States and whose final destination was India. The
value should include exports to both affiliated and unaffiliated organizations in India, as well as any exports directly to final
consumers. If your organization exported a product that combined or bundled a service, please allocate the values across the
two categories.
2.4

A. Do Indian firms produce goods or services that have equivalent quality and compete directly with your products or
services in the Indian market ?
Yes
No
B. If yes, please indicate below how the price of the directly competing Indian goods or services compare, on average,
with the goods or services sold by your firm in the Indian market. Your best estimate is acceptable.

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Prices are comparable

percent

Prices of your goods or services are higher than Indian goods or services by

percent

Prices of your goods or services are lower than Indian goods or services by
2.5

#
1

Please list the value of your organization's equity investment in Indian affiliates and the value of sales by those affiliates
during the years indicated below. Your best estimates are acceptable. If you did not have any such investment or
sales, please leave these question response areas blank.
Category
Total investment into India (in full-figures, not millions or other
format)

2007

2010

2013

Foreign affiliate sales:
2
3

Total foreign affiliate sales of goods in India (in full-figures,
not in millions or other format)
Total foreign affiliate sales of services in India (in full-figures,
not in millions or other format)

Total foreign affiliate sales

Note: Total investment should include the cumulative value of debt, equity, and reinvested earnings invested into the foreign
affiliate as of the end of the year. For both investment and sales, include only entities in which your organization controls 10
percent or more of the voting stock. If your organization sold a product that combined or bundled a service, please allocate
the values across the two categories.

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2.6

Please indicate the states in India in which your organization had establishments at the end of 2013. If you had no
such establishments, please leave the question response check box(es) blank.
An establishment is a single physical location at which business is conducted and/or services are provided. It is
not necessarily identical with a company or enterprise, which may consist of one or more establishments. The
main objective of the site should be to conduct business. Independent contractors or employees working out of
their homes should be excluded.

Region
North India:

Check if you have
establishments in
the state

State

Check if you have
establishments in
the state

State

Delhi National Capital Territory

Madhya Pradesh

Chandigarh

Punjab

Chhattisgarh

Rajasthan

Haryana

Uttar Pradesh

Himachal Pradesh

Uttarakhand

Jammu and Kashmir
West India:

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Goa

Karnataka

Gujarat

Maharashtra

Andra Pradesh

Tamil Nadu

South India:

Kerala
East India:
Bihar

Odisha

Jharkhand

West Bengal

North East India, Islands, and other Union Territories:
Andaman and Nicobar Islands

Meghalaya

Arunachal Pradesh

Mizoram

Assam

Nagaland

Dadra and Nagar Haveli

Puducherry

Daman and Diu

Sikkim

Lakshadweep

Tripura

Manipur

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Section 3: Exports of Goods To India
3.1

Did your organization export goods from the United States to India at any point during 2007-2013?
Yes
No

If you answered "Yes" to question 3.1, please go to the next question.
If you answered "No" to question 3.1, please go to section 4.

3.2

Go to Section 4

What types of goods did your organization export from the United States to India during 2007-2013? Check all that
apply.
Agricultural products, manufactured food products, alcohol, tobacco
Mineral products (e.g., petroleum, ores), precious stones (e.g., diamonds), or metals (e.g., gold)
Manufactured goods (other than manufactured food products, alcohol, and tobacco products)

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3.3

Were your exports of goods from the United States to India affected by any of the following issues during the years
indicated below? For each issue faced, please rate how severely it affected your organization's exports to India (0 = did
not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate effect; 4 = severe effect; 5 =
prohibitive effect). Also, please indicate how the issue affects your organization as compared with Indian firms, and
how policies in Indian states compare with Indian national policies in 2013 (Yes/No/unknown). If you have multiple
lines of business, report the average effect.
Check if
Your
Indian state-level
not
organization policies negafaced
more
tively affected
during Severity Severity Severity affected
your organization
2007- of effect of effect of effect than Indian more than Indian
#
Issue (full name)
2013
in 2007 in 2010 in 2013 firms?
national policies?
1 High import duties
2 High taxes (excluding duties)
Inconsistent, variable, or non-transparent
duties or taxes
Uncertainty or inconsistency of
4 implementation of current or draft Indian
regulations
3

Requirements that items you sell in India
5 contain domestic Indian content (including
local "working" requirements)

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Subsidies, price supports, or other assistance
6 given to your Indian-owned competitors by
the Indian government

7 Inadequate protection of intellectual property
8 Inadequate protection of regulatory test data
Involuntary technology transfer (including
compulsory licensing)
Import bans on specific products (including
10
bans on genetically modified organisms)
9

Customs administration problems (e.g.,
11 transparency of rules, documentation
requirements, valuation of goods)
Difficulty complying with Indian standards,
sanitary and phytosanitary rules, or
12 regulations on product characteristics; or
problems obtaining or maintaining
certifications
13

Difficulty complying with consumer labeling
requirements

14 Market control by state trading enterprises
15 Other (specify):

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3.4

If your organization has experienced specific instances of the issues listed in the last question, please provide more
detail on the type of measure you have faced. Please focus on those that pose the most significant challenges (those
that you rated as a 4 or 5 in 2013). First select an issue in the table below (up to a maximum of two), then enter
comments in the adjacent column.

Issue (short name)

Make selection

3.5

Select the product that was most affected by the issues listed in question 3.3 in 2013 in the column below, and then
list the exports of this product as a share of your organization's total exports of goods from the United States to India
that you reported on line 1 of question 2.2. Your best estimates are acceptable.

#
1

Comment

Exports of specific product as a share of your
organization's total exports of goods to India
(percent)
2007
2010
2013

Specific product (choose from list below)

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Make selection

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Section 4: Foreign Affiliate Sales of Goods in India
4.1

Did your organization sell goods through a foreign affiliate in India during 2007-2013?
Yes
No

If you answered "Yes" to question 4.1, please go to the next question.
If you answered "No" to question 4.1, please go to section 5.

Go to Section 5

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4.2

Were your organization's sales of goods by your Indian affiliates affected by any of the following issues during the years
indicated below? For each issue faced, please rate how severely it affected your organization's exports to India (0 = did
not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate effect; 4 = severe effect; 5 =
prohibitive effect). Also, please indicate how the issue affects your organization as compared with Indian firms, and how
policies in Indian states compare with Indian national policies in 2013 (Yes/No/unknown). If you have multiple lines of
business, report the average effect.
Check if
Your
Indian state-level
not
organization policies negafaced
more
tively affected
during Severity Severity Severity affected
your organization
2007- of effect of effect of effect than Indian more than Indian
#
Issue (full name)
2013
in 2007 in 2010 in 2013 firms?
national policies?
1 High taxes (excluding duties)
2 Inconsistent, variable, or nontransparent taxes
Uncertainty or inconsistency of
3 implementation of current or draft Indian
regulations
Requirements that items you sell in India must
4 contain domestic Indian content (including
local "working" requirements)
Subsidies, price supports, or other assistance
5 given to your Indian-owned competitors by the
Indian government

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6 Inadequate protection of intellectual property
7 Inadequate protection of regulatory test data
Involuntary technology transfer (including
compulsory licensing)
Difficulty importing intermediate inputs into
9 India or other problems with customs
administration
Difficulty getting required permits/approvals/
10 licenses for investment from the Indian
government
8

Requirement that a share of goods you
produce in an Indian affiliate must be exported

Requirements that certain staff or a share of
staff must be Indian citizens

Difficulty complying with Indian standards,
sanitary and phytosanitary rules, or regulations
13
on product characteristics; or problems
obtaining or maintaining certifications
Continued on next page.

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4.2

Continued from previous page:

Were your organization's sales of goods by your Indian affiliates affected by any of the following issues during the years
indicated below? For each issue faced, please rate how severely it affected your organization's exports to India (0 = did
not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate effect; 4 = severe effect; 5 =
prohibitive effect). Also, please indicate how the issue affects your organization as compared with Indian firms, and how
policies in Indian states compare with Indian national policies in 2013 (Yes/No/unknown). If you have multiple lines of
business, report the average effect.
Check if
Your
Indian state-level
not
organization policies negafaced
more
tively affected
during Severity Severity Severity affected
your organization
2007- of effect of effect of effect than Indian more than Indian
#
Issue (full name)
2013
in 2007 in 2010 in 2013 firms?
national policies?
Restrictions on the share of an investment in
India that can be owned by a foreign firm, or
14
requirements to enter into a joint venture with
an Indian firm
Requirements that investments must be of a
minimum amount in order to obtain approval
Financial requirements that limit what your
firm may do with profits earned in India (e.g.,
16
you reinvest in India, divest to an Indian
partner)
15

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17 Restrictions on buying or using land
18 Other (specify):

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4.3

Make selection

4.4

Select the product that was most affected by the issues shown in question 4.2 in 2013 in the column below, and then
list the sales of this product by your foreign affiliate in India as a share of this affiliate's total sales of goods in India that
you reported on line 2 of question 2.2. Your best estimates are acceptable.
Foreign affiliate sales of specific product in India as
a share of your organization's total Indian affiliate
sales of goods (percent)

#
1

4.5

Specific product (choose from list below)

2007

2010

2013

Make selection

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In 2013, have Indian state-level policies affected where your foreign affiliates are located? If this varies by state and
product, report the average effect. Check one.
State-level policies are irrelevant. Location decisions are based on other factors (e.g., proximity to the United
States, local job market).
State-level policies have a minimal effect
State-level policies have a moderate effect
State-level policies have a substantial effect

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Section 5: Services Trade with India
5.1

Did your organization export services to India or sell services through a foreign affiliate in India during 2007-2013?
Yes
No

If you answered "Yes" to question 5.1, please go to the next question.
If you answered "No" to question 5.1, please go to section 6.

Go to Section 6

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5.2

Were your organization's exports of services or sales of services by your Indian affiliates affected by any of the following
issues during the years indicated below? For each issue faced, please rate how severely it affected your organization's
exports to India (0 = did not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate
effect; 4 = severe effect; 5 = prohibitive effect). Also, please indicate how the issue affects your organization as
compared with Indian firms, and how policies in Indian states compare with Indian national policies in 2013 (Yes/No/
unknown). If you have multiple lines of business, report the average effect.
Check if
Your
Indian state-level
not
organization policies negafaced
more
tively affected
during Severity Severity Severity affected
your organization
2007- of effect of effect of effect than Indian more than Indian
in 2007 in 2010 in 2013 firms?
Issue (full name)
2013
national policies?

1 High taxes (excluding duties)
2 Inconsistent, variable, or nontransparent taxes
Uncertainty or inconsistency of
3 implementation of current or draft Indian
regulations
Requirements that items sold or used in the
provision of a service contain domestic Indian
4
content (including local "working"
requirements)
Subsidies, price supports, or other assistance
5 given to your Indian-owned competitors by
the Indian government

DRAFT - NOT FOR COMPLETION

6 Inadequate protection of intellectual property
7 Inadequate protection of regulatory test data
8
9

Involuntary technology transfer (including
compulsory licensing)
Difficulty importing intermediate inputs into
India or other problems with customs
administration
Difficulty getting required permits/approvals/
licenses for investment from the Indian
government
Restrictions on the share of an investment in
India that can be owned by a foreign firm, or
requirements to enter into a joint venture with
an Indian firm
Policies other than equity caps (including
limitations on juridical form, ability to apply for
a license, limits on number of licenses) that
restrict investment

13 Limits on geographic expansion within India
14

Requirements that investments must be of a
minimum amount in order to obtain approval

Continued on next page.
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USITC India Policies Questionnaire - DRAFT Interactive completion version

5.2

Continued from previous page:

Were your organization's exports of services or sales of services by your Indian affiliates affected by any of the following
issues during the years indicated below? For each issue faced, please rate how severely it affected your organization's
exports to India (0 = did not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate
effect; 4 = severe effect; 5 = prohibitive effect). Also, please indicate how the issue affects your organization as
compared with Indian firms, and how policies in Indian states compare with Indian national policies in 2013 (Yes/No/
unknown). If you have multiple lines of business, report the average effect.
Check if
Your
Indian state-level
not
organization
policies negfaced
more
atively affected
during Severity Severity Severity
affected your organization
2007- of effect of effect of effect than Indian more than Indian
#
Issue
2013
in 2007 in 2010 in 2013
firms?
national policies?
Requirements that certain staff or a share of
15
staff must be Indian citizens
Financial requirements that limit what your
organization may do with profits earned in
16
India (e.g., reinvest in India, divest to an Indian
partner)
Inability of non-Indian staff to be licensed/
17
certified in India
Restriction on cross-border transmission of
18
data

DRAFT - NOT FOR COMPLETION

19 Unclear legal liability
20 Other (specify):

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USITC India Policies Questionnaire - DRAFT Interactive completion version

5.3

Make selection

5.4

Select the exported service that was most affected by the issues shown in question 5.2 in 2013 in the column below,
and then list the value of your organization's exports from the United States to India of this service as a share of your
organization's total exports of services that you reported on line 2 of question 2.2. Your best estimates are
acceptable. If you did not export services, please leave these question response areas blank.
Exports of specific service as a share of total
exports of services to India (percent)
#
Specific service (choose from list below)
2007
2010
2013
1

5.5

Make selection

DRAFT - NOT FOR COMPLETION

Select the service sold by your Indian affiliate that was most affected by the issues shown in question 5.2 in 2013 in the
column below, and then list the value of sales of this service by your foreign affiliate in India as a share of the value of
that affiliate's total sales of services that you reported on line 3 of question 2.3. Your best estimates are acceptable. If
you did not have foreign affiliate sales, please leave these question response areas blank.
Indian affiliate sales of specific service as a share of
total Indian affiliate sales (percent)

#
1

5.6

Specific service (choose from list below)

2007

2010

2013

Make selection

In 2013, have Indian state-level policies affected where your foreign affiliates are located? If this varies by state and
product, report the average effect. Check one.
State-level policies are irrelevant. Location decisions are based on other issues (e.g., proximity to the United States,
local job market).
State-level policies have a minimal effect
State-level policies have a moderate effect
State-level policies have a substantial effect

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 6: Effects of Indian Policies and Policy-Related Issues
In the preceding section(s), you were asked to identify Indian policies and policy-related issues. In this section, you will be
asked to estimate the total effect of the changes in these issues between 2007 and 2013--as you have identified in the
sections above--on your organization's activities in 2013. Please do not include effects from policies or market conditions not
described in sections 3-5.
Example 1 (decrease): Suppose you believe that your firm could have exported $5 million in total exports to India in
2013, but lost out on approximately $200,000 of orders due to changes in Indian policies that occurred between 2007
and 2013. In that case, the percent effect is calculated:
Effect on exports in 2013 = $200,000/$5 million = 0.04 = 4 percent decrease
(Note that this calculation should agree with responses to question 2.3. In this case, actual 2013 exports
should be listed as $4.8 million ($5 million less $200,000).)
Example 2 (increase): Suppose you believe that your firm would have had foreign affiliate sales of $10 million in 2013,
but due to a relaxation of Indian policies pertaining to foreign affiliates that occurred between 2007 and 2013, your
firm's sales increased by $2 million (for a total of $12 million). The percent effect is calculated:
Effect on foreign affiliate sales in 2013 = $2 million/$10 million = 0.20 = 20 percent increase
6.1

Please estimate the total effect of the changes in all Indian policies and policy-related issues on your organization's
2013 exports and foreign affiliate sales.
Would
Would
decrease
increase
Would
by more
Would
Would
by more
Would
decrease than 5 but decrease
increase than 5 but increase
by 10
by 5
by 5
by 10
less than
less than
Cannot percent or
10
percent or
percent or
10
percent or
Item
estimate more
percent
less
No effect
less
percent
more
Exports of goods and
services from the United
States to India

DRAFT - NOT FOR COMPLETION

#
1

6.2

Foreign affiliate sales of
goods and services in
India
Considering your estimates in the previous question, estimate the total effect of changes in Indian policies and policyrelated issues on your organization's U.S. operations in 2013. If you did not have any U.S. sales, please base your
response on U.S. revenue, net margin interest, or similar measure instead of sales.

Would
Would decrease Would
Would
decrease by more decrease
increase
by 4
than 2 but
by 2
by 2
Cannot percent or less than percent or
percent or
estimate more
4 percent
less
No effect
less

Item

U.S. sales

U.S. employment

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Would
increase
Would
by more increase
than 2 but
by 4
less than percent or
4 percent
more

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USITC India Policies Questionnaire - DRAFT Interactive completion version

6.3

How did you obtain the estimates provided in questions 6.1 and 6.2? Check all that apply.
Compared with earlier projections
Compared with organization's performance in other countries
Relied on industry or trade association publication or estimates
Other (specify):
Not applicable

6.4

To the extent the effect of changes in policy or policy-related issues cannot be exactly quantified for your organization,
but there was a notable effect on your organization, please describe these effects.

6.5

If you reported that you faced regulatory impediments since 2007 (as described in sections 3 through 5), did you make
any strategic changes in response? Check all that apply.
Have not faced regulatory impediments since 2007

DRAFT - NOT FOR COMPLETION

Made no changes despite facing regulatory impediments

Directed less attention/fewer resources to Indian export market
Directed less attention/fewer resources to affiliates in India

Increased investment in affiliates in India to comply with local-content requirements or other regulations
Halted or slowed plans for affiliate expansion
Shifted business operations from one state within India to another
Shifted business operations from one product or business line within India to another
Reduced or limited the scope of work done in R&D facilities in India
Changed Indian partners
Halted all exports to and/or affiliate activity in India (exited Indian market)
Other (specify):
6.6

Please list the value of your organization's sales in the United States and number of your U.S. employees in 2013. Your
best estimates are acceptable. If your organization is an affiliate of a foreign organization, include only U.S. sales and
employment that can be directly attributed to your organization's U.S. affiliate. If you did not have sales, please list
revenue, net interest margin, or similar measure instead of sales.

Sales definition

Employee definition
Item

2013

U.S. sales (in full-figure dollars, not in millions or other format)

Number of U.S. employees (in full-figures, not in millions or other format)

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USITC India Policies Questionnaire - DRAFT Interactive completion version

6.7

Were your organization's exports or foreign affiliate sales in India affected by any of the following issues during the
years indicated below? For each issue faced, please rate how severely it affected on your organization's affiliate sales in
India (0 = did not face it; 1 = existed but had no effect; 2 = existed but had minimal effect; 3 = moderate effect;
4 = severe effect; 5 = prohibitive effect). If you have multiple lines of business, report the average effect.

Check if not
faced during
2007-2013

Issue

Severity of
effect in 2007

Severity of
effect in 2010

Severity of
effect in 2013

1 Corruption, informal payments
2 Inadequate legal system
3 Judicial delays
4

Bureaucratic or regulatory delays or other red
tape

5 Poor physical infrastructure
6 Poor communications infrastructure
7 Insufficient/unstable electricity supply
8 Lack of trained workforce

DRAFT - NOT FOR COMPLETION

9 Labor market regulations
10

Government price controls on specific
products

11 Other (specify):

6.8

Overall, was your organization affected more by infrastructure and other issues (as reported in question 6.7) or policy
and regulatory issues as reported in sections 3 through 5)? Please select one for each of the years shown below.

#
1

Item

2007

2010

Policy issues with greatest effect on your business Make selection

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2013

Make selection

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 7: Barriers Suppressing Trade
7.1

Was your ability to source goods and services through global supply chains in countries other than the United States
and India suppressed by Indian policies? Please indicate the effects below.
Make selection

7.2

Was your organization prevented or deterred from conducting business in India, or deterred from exporting to or
selling certain products in India, at any point during 2007-2013 as a direct result of Indian policy barriers?
Yes
No
If you answered "Yes" to question 7.2, please proceed to the next question.
If you answered "No" to question 7.2, please proceed to section 8.

7.3

Go to Section 8

In the checklist below, please indicate which type(s) of activity you were prevented or deterred from doing during the
years indicated below because of Indian policy barriers. Check all that apply.
Type of activity
2007
2010
2013

Completely unable to export from the United States to India

Unable to export certain products from the United States to India

Completely unable to export from countries other than the United States to India

Unable to export certain products from countries other than the United States to India

Completely unable to operate foreign affiliates in India

Unable to sell certain products via affiliates in India

Other (specify):

7.4

DRAFT - NOT FOR COMPLETION

If the specific prohibitive barrier(s) in India that you face were removed, but the business environment and other
policies in India remained the same, what is the likelihood that you would begin exporting or begin establishing a
foreign affiliate within the next 12 months? Check one.
Highly unlikely
Unlikely
Likely
Highly likely
Not sure

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USITC India Policies Questionnaire - DRAFT Interactive completion version

7.5
#
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

Which of the following issues did your organization find prohibitive with respect to exports to India or foreign affiliate
sales in India during 2007-2013? Check all that apply.
Issue
High import duties
High taxes (excluding duties)
Inconsistent, variable, or nontransparent duties or taxes
Uncertainty or inconsistency of implementation of current or draft Indian regulations
Requirements that items you sell in India must contain domestic Indian content (including local "working"
requirements)
Requirements that items sold or used in the provision of a service contain domestic Indian content
(including local "working" requirements)
Subsidies, price supports, or other assistance given to your Indian-owned competitors by the Indian
government
Inadequate protection of intellectual property
Inadequate protection of regulatory test data
Involuntary technology transfer (including compulsory licensing)
Difficulty importing intermediate inputs into India or other problems with customs administration
Difficulty getting required permits/approvals/licenses for investment from the Indian government
Import bans on specific products (including bans on genetically modified organisms)
Customs administration problems (e.g., transparency of rules, documentation requirements, valuation of
goods)
Requirement that a share of goods you produce in an Indian affiliate must be exported
Restrictions on the share of an investment in India that can be owned by a foreign firm, or requirements to
enter into a joint venture with an Indian firm
Policies other than equity caps (including limitations on juridical form, ability to apply for a license, limits on
number of licenses) that restrict investment

DRAFT - NOT FOR COMPLETION

18 Limits on geographic expansion within India
19
20
21
22
23
24
25
26
27
28

Difficulty complying with Indian standards, sanitary and phytosanitary rules, or regulations on product
characteristics; or problems obtaining or maintaining certifications
Requirements that certain staff or a share of staff must be Indian citizens
Difficulty complying with consumer labeling requirements
Market control by state trading enterprises
Inability of non-Indian staff to be licensed/certified in India
Requirements that investments must be of a minimum amount in order to obtain approval
Financial requirements that limit what your firm may do with profits earned in India (e.g., you reinvest in
India, divest to an Indian partner)
Restriction on cross-border transmission of data
Restrictions on buying or using land
Regulations governing liability in clinical trials

29 Other (specify):

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 8. Other Information
8.1

If your organization would like to further explain any of the responses in this questionnaire, use the space below.
Please do not use the Enter or Tab keys when entering text.

8.2

If your organization would like to give more details about any other negative effects of trade barriers in India, use the
space below. Please do not use the Enter or Tab keys when entering text.

8.3

If your organization would like to give us a written submission for the public record, click on the link below to view the
Federal Register notice about this investigation and go to page 2 of this notice for instructions. All written submissions
are due by April 11, 2014.

DRAFT - NOT FOR COMPLETION

Federal Register notice

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 9. Certification
The undersigned certifies that the information supplied herein in response to this questionnaire is complete and correct to
the best of his/her knowledge and belief and understands that the information submitted is subject to audit and verification
by the USITC.
Section 332(g) of the Tariff Act of 1930 (19 U.S.C. 1332(g)) provides that the Commission may not release information which it
considers to be confidential business information unless the party submitting such information had notice, at the time of
submission, that such information would be released by the Commission, or such party subsequently consents to the release
of the information. The undersigned acknowledges that information submitted in this questionnaire response and
throughout this investigation may be used by the USITC, its employees, and contract personnel who are acting in the
capacity of USITC employees, for the purposes of developing or maintaining the records of this investigation or related
proceedings for which this information is submitted, or in internal audits, evaluations, and in investigations relating to the
programs and operations of the USITC, including under 5 U.S.C. Appendix 3. The undersigned understands that all contract
personnel will sign nondisclosure agreements.
The information your organization provides in response to this questionnaire will be treated by the Commission as
confidential and will not be disclosed to the public unless required by law. The information will be aggregated with
information from other questionnaire responses and will not be published in a manner that would reveal the operations of
your organization. The House Committee on Ways and Means and the Senate Committee on Finance have asked that the
Commission not include any confidential business information in the report it transmits to them.

DRAFT - NOT FOR COMPLETION

Certifier's name and title

Date of certification (m/d/yy)

Certifier's signature (not necessary if submitting electronically)
If submitting an electronic version of this certificate to the Commission, check the box below in place of a written signature to
indicate that the authorized official listed has certified the information provided.
Certified

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USITC India Policies Questionnaire - DRAFT Interactive completion version

Section 10. Submitting the Questionnaire
10.1 Before submitting your organization's completed questionnaire, please report the actual number of hours required and
the cost to your organization of completing this questionnaire, including all preparatory activities.
Hours

Cost ($)

10.2 Please make sure that all numeric data are in full-figures, not in thousands, millions, or similar format.
10.3 For a final quality check, please click on the button below after you have completed the questionnaire. You may get
one or more error messages indicating which questions have possible inconsistencies. After completing the quality
check, please return to the question(s) shown in the error message(s) and make corrections, then perform this quality
check again. If you believe the responses are correct despite an error message, please explain in question 9.1.
Quality check

10.4 Please save the questionnaire.

Save

10.5 Please use one of the submission options shown below.
Use this option to transmit your completed questionnaire through our secure
electronic
drop box. Click on the link and follow the instructions. In the PIN entry
Drop box?submit
box, type: 1969

DRAFT - NOT FOR COMPLETION
Email submit

Use this option if you prefer to send your completed questionnaire on a CD (or
other removable media). Click on the button and save the questionnaire to a CD.
Mail the CD to us (see address on page 1). We don't recommend sending the CD
by regular U.S. mail because this type of mail undergoes extra processing to
screen for hazardous material that will likely delay the delivery and may damage
the CD. Instead, we recommend overnight mail service.

Save to CD

Use this option if you prefer to send your completed questionnaire in hard copy
(paper) form. Click on the button and your print screen will appear. After printing,
mail or fax the completed questionnaire to us (see address and fax number on
page 1). We don't recommend sending the questionnaire by regular U.S. mail
because this type of mail undergoes extra processing to screen for hazardous
material that will likely delay the delivery. Instead, we recommend overnight mail
service.

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Use this option to send your completed questionnaire as an email attachment.
Click on the button and follow the instructions. Note that submitting your
questionnaire response by email will subject your organization's confidential
business information (CBI) to transmission over an unsecured environment and to
possible disclosure to third parties. Any risk of disclosure of CBI during
transmission is assumed by your organization and not us. However, once we
receive the email, we will store your questionnaire response in our secured
environment and safeguard it as detailed in the certification in section 7.

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File Type	application/pdf
File Title	Invoice
Subject	Adobe Designer Template
File Modified	2014-01-23
File Created	2014-01-23