15-1-3354 U.S. Producers' Questionnaire

OMB No. 3117-0016/USITC No. 15-1-3354; Expiration Date: 6/30/2017
(No response is required if currently valid OMB control number is not displayed)

U.S. PRODUCERS’ QUESTIONNAIRE

CERTAIN POLYETHYLENE TEREPHTHALATE RESIN FROM CANADA, THE PEOPLE’S
REPUBLIC OF CHINA, INDIA, AND THE SULTANATE OF OMAN
This questionnaire must be received by the Commission by March 24, 2015
See last page for filing instructions.
The information called for in this questionnaire is for use by the United States International Trade Commission in
connection with its countervailing duty/antidumping investigation(s) concerning Certain Polyethylene Terephthalate
Resin (PET resin) from Canada, China, India, and Oman (Inv. Nos. 701-TA-531-533 and 731-TA-1270-1273 (Preliminary)).
The information requested in the questionnaire is requested under the authority of the Tariff Act of 1930, title VII. This
report 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 firm’s possession (19 U.S.C. § 1333(a)).

Name of firm
Address
City

State

Zip Code

Website
Has your firm produced PET resin (as defined on next page) at any time since January 1, 2012?

NO

(Sign the certification below and promptly return only this page of the questionnaire to the Commission)

YES

(Complete all parts of the questionnaire, and return the entire questionnaire to the Commission)

Return questionnaire via the U.S. International Trade Commission Drop Box by clicking on the
following link: https://dropbox.usitc.gov/oinv/. (PIN: PETR)
CERTIFICATION
I certify that the information herein supplied in response to this questionnaire is complete and correct to the best of my
knowledge and belief and understand that the information submitted is subject to audit and verification by the Commission.
By means of this certification I also grant consent for the Commission, and its employees and contract personnel, to use the
information provided in this questionnaire and throughout this proceeding in any other import-injury proceedings conducted by
the Commission on the same or similar merchandise.
I acknowledge that information submitted in this questionnaire response and throughout this proceeding may be used by the
Commission, its employees, and contract personnel who are acting in the capacity of Commission employees, for developing or
maintaining the records of this proceeding or related proceedings for which this information is submitted, or in internal audits and
proceedings relating to the programs and operations of the Commission pursuant to 5 U.S.C. Appendix 3. I understand that all
contract personnel will sign non-disclosure agreements.
Name of Authorized Official

Title of Authorized Official

Date

Phone:
Signature

Fax:

Email address

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U.S. Producers’ Questionnaire – Certain PET resin

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PART I.—GENERAL INFORMATION
Background. This proceeding was instituted in response to a petition filed on March 10, 2015, by DAK
Americas LLC (Charlotte, NC), M&G Chemicals (Houston, TX), and Nan Ya Plastics Corporation, America
(Lake City, SC). Countervailing and/or antidumping duties may be assessed on the subject imports as a
result of these proceedings 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/dumping. Questionnaires and other information pertinent to this proceeding are available
at PET resin investigation information.
Certain PET resin covered by these investigations is polyethylene terephthalate resin with an intrinsic
viscosity of at least 0.70 deciliters per gram but not more than 0.88 deciliters per gram. PET resin is
typically used in the production of plastic beverage bottles, in packaging for food and manufactured
products, in containers for household and automotive products, and in industrial strapping. The scope
includes PET resin that contains various additives introduced in the manufacturing process, as well as
blends of virgin PET resin and recycled PET.
The merchandise subject to this investigation is classified in subheading 3907.60.00 (statistical reporting
number 3907.60.0030) of the Harmonized Tariff Schedule of the United States (“HTSUS”). Although the
HTSUS subheading is provided for convenience and customs purposes, the written description of the
merchandise under investigation is dispositive.
Reporting of information.-- If information is not readily available from your records, provide carefully
prepared estimates. If your firm is completing more than one questionnaire (i.e., a producer, importer,
and/or purchaser questionnaire), you need not respond to duplicated questions.
Confidentiality.--The commercial and financial data furnished in response to this questionnaire 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, general 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.
Verification.--The information submitted in this questionnaire is subject to audit and verification by the
Commission. To facilitate possible verification of data, please keep all files, worksheets, and supporting
documents used in the preparation of the questionnaire response. Please also retain a copy of the final
document that you submit.
Release of information.--The information provided by your firm in response to this questionnaire, as
well as any other business proprietary information submitted by your firm to the Commission in
connection with this 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.

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U.S. Producers’ Questionnaire – Certain PET resin
I-1a.

Page 3

OMB statistics.--Please report below the actual number of hours required and the cost to your
firm of completing this questionnaire.
Hours

Dollars

The questions in this questionnaire have been reviewed with market participants to ensure that
issues of concern are adequately addressed and that data requests are sufficient, meaningful,
and as limited as possible. Public reporting burden for this questionnaire is estimated to average
50 hours per response, including the time for reviewing instructions, gathering data, and
completing and reviewing the questionnaire.
We welcome comments regarding the accuracy of this burden estimate, suggestions for
reducing the burden, and any suggestions for improving this questionnaire. Please attach such
comments to your response or send to the Office of Investigations, USITC, 500 E St. SW,
Washington, DC 20436.

I-1b.

TAA information release.--In the event that the U.S. International Trade Commission (USITC)
makes an affirmative final determination in this proceeding, do you consent to the USITC's
release of your contact information (company name, address, contact person, telephone
number, email address) appearing on the front page of this questionnaire to the Departments of
Commerce, Labor, and Agriculture, as applicable, so that your firm and its workers can be made
eligible for benefits under the Trade Adjustment Assistance program?
Yes

I-2.

No

Establishments covered.--Provide the city, state, zip code, and brief description of each
establishment covered by this questionnaire. If your firm is publicly traded, please specify the
stock exchange and trading symbol in the footnote to the table. Firms operating more than one
establishment should combine the data for all establishments into a single report.
“Establishment”--Each facility of a firm involved in the production of certain PET resin, including
auxiliary facilities operated in conjunction with (whether or not physically separate from) such
facilities.
Establishments
covered1

City, State

Zip (5 digit)

1
2
3
4
5
6
1

Additional discussion on establishments consolidated in this questionnaire:

Description

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U.S. Producers’ Questionnaire – Certain PET resin
I-3.

Page 4

Petition support.--Does your firm support or oppose the petition?
Country

Support

Oppose

Take no position

Canada
China
India
Oman

I-4.

Ownership.--Is your firm owned, in whole or in part, by any other firm?
No

Firm name

I-5.

Address

Extent of
ownership
(percent)

Related importers/exporters.--Does your firm have any related firms, either domestic or
foreign, that are engaged in importing certain PET resin from Canada, China, India, and/or
Oman into the United States or that are engaged in exporting certain PET resin from Canada,
China, India, and/or Oman to the United States?
No
Firm name

I-6.

Yes--List the following information.

Yes--List the following information.
Address

Affiliation

Related producers.--Does your firm have any related firms, either domestic or foreign, that are
engaged in the production of certain PET resin?
No
Firm name

Yes--List the following information.
Address

Affiliation

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U.S. Producers’ Questionnaire – Certain PET resin

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PART II.--TRADE AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from Michael Haberstroh (202205-3390, [email protected]). Supply all data requested on a calendar-year basis.
II-1.

Contact information.-- Please identify the responsible individual and the manner by which
Commission staff may contact that individual regarding the confidential information submitted
in part II.
Name
Title
Email
Telephone
Fax

II-2.

Changes in operations.--Please indicate whether your firm has experienced any of the following
changes in relation to the production of certain PET resin since January 1, 2012.
(check as many as appropriate)
plant openings
plant closings
relocations
expansions
acquisitions
consolidations
prolonged shutdowns or
production curtailments
revised labor agreements
other (e.g., technology)

(please describe)

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U.S. Producers’ Questionnaire – Certain PET resin
II-3a.

Page 6

Production using same machinery.-- Please report your firm’s production of products made on
the same equipment and machinery used to produce certain PET resin, and the combined
production capacity on this shared equipment and machinery in the periods indicated.
“Average production capacity” or “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 U.S. establishment(s), including production consumed
internally within your firm and production for another firm under a toll agreement.
(Quantity in 1,000 pounds)
Calendar years
Item

2012

2013

2014

Overall production capacity
Production of:
Certain PET resin1
Other products
Total
1
2

0

0

0

0

0

0

2

Data entered for production of PET resin will populate here once reported in question II-7.
Please identify these products:

II-3b.

Operating parameters.--The production capacity reported in II-3a is based on operating
per week,
weeks per year.

II-3c.

Capacity calculation.--Please describe the methodology used to calculate overall production
capacity reported in II-3a, and explain any changes in reported capacity.

II-3d.

Production constraints.--Please describe the constraint(s) that set the limit(s) on your firm’s
production capacity.

hours

Business Proprietary
U.S. Producers’ Questionnaire – Certain PET resin
II-3e.

Product shifting.—
(i)

Is your firm able to switch production (capacity) between certain PET resin and other
products using the same equipment and/or labor?
No

(ii)

II-4.

Page 7

Yes-- (i.e., have produced other products or are able to produce other
products). Please identify other actual or potential products:

Please describe the factors that affect your firm’s ability to shift production capacity
between products (e.g., time, cost, relative price change, etc.), and the degree to which
these factors enhance or constrain such shifts.

Tolling.--Since January 1, 2012, has your firm been involved in a toll agreement regarding the
production of certain PET resin?
“Toll agreement”--Agreement between two firms whereby the first firm furnishes the raw
materials and the second firm uses the raw materials to produce a product that it then returns
to the first firm with a charge for processing costs, overhead, etc.
No

II-5.

Yes--Please describe the toll arrangement(s) and name the firm(s) involved

Foreign trade zones.-(a)

Firm's FTZ operations.--Does your firm produce certain PET resin in and/or admit
certain PET resin into a foreign trade zone (FTZ)?
“Foreign trade zone” is a designated location in the United States where firms utilize
special procedures that allow delayed or reduced customs duty payments on foreign
merchandise. A foreign trade zone must be designed as such pursuant to the rules and
procedures set forth in the Foreign-Trade Zones Act.
No

Yes--Describe the nature of your firms operations in FTZs and
identify the specific FTZ site(s).

Business Proprietary
U.S. Producers’ Questionnaire – Certain PET resin

Other firms' FTZ operations.--To your knowledge, do any firms in the United States
import certain PET resin into a foreign trade zone (FTZ) for use in distribution of certain
PET resin and/or the production of downstream articles?

(b)

No/Don’t know

II-6.

Page 8

Yes--Identify the firms and the FTZs.

Importer.--Since January 1, 2012, has your firm imported certain PET resin?
“Importer” – The person or firm primarily liable for the payment of any duties on the
merchandise, or an authorized agent acting on his behalf. The importer may be the consignee,
or the importer of record.
No

Yes--COMPLETE AND RETURN A U.S. IMPORTERS’ QUESTIONNAIRE

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U.S. Producers’ Questionnaire – Certain PET resin
II-7.

Page 9

Production, shipment and inventory data.--Report your firm’s production capacity, production,
shipments, and inventories related to the production of certain PET resin in its U.S.
establishment(s) during the specified periods.
“U.S. commercial shipments” –Shipments made within the United States as a result of an arm’s
length commercial transaction in the ordinary course of business. Report net values (i.e., gross
sales values less all discounts, allowances, rebates, prepaid freight, and the value of returned
goods) in U.S. dollars, f.o.b. your point of shipment.
“Internal consumption” – Product consumed internally by your firm.
“Transfers to related firms” –Shipments made to related domestic firms. Such transactions are
valued at fair market value.
“Related firm” –A firm that your firm solely or jointly owns, manages, or otherwise controls.
Such transactions are valued at fair market value.
“Export shipments” –Shipments to destinations outside the United States, including shipments
to related firms.
“Inventories”— Finished goods inventory, not raw materials or work-in-progress.

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Production, shipment and inventory data.--

II-7.

Quantity (in 1,000 pounds) and value (in $1,000)
Calendar years
Item

2012

2013

2014

1

Average production capacity (quantity) (A)
Beginning-of-period inventories (quantity)
(B)
Production (quantity) (C)
U.S. shipments:
Commercial shipments:
Quantity (D)
Value (E)
Internal consumption:
Quantity (F)
2

Value (G)
Transfers to related firms:
Quantity (H)
2

Value (I)
Export shipments:
Quantity (J)

3

Value (K)
4

End-of-period inventories (quantity) (L)
1

The production capacity (see definitions in instruction booklet) reported is based on operating
hours per week,
weeks per year. Please describe the methodology used to calculate production capacity, and explain any changes
in reported capacity (use additional pages as necessary).
2
Internal consumption and transfers to related firms must be valued at fair market value. In the event that your firm
uses a different basis for valuing these transactions, please specify that basis (e.g., cost, cost plus, etc.) and provide value
data using that basis for each of the periods noted above:
3
Identify your firm’s principal export markets:
.

RECONCILIATION OF SHIPMENTS, PRODUCTION, AND INVENTORY.--Generally, the data reported for the end-ofperiod inventories (i.e., line L) should be equal to the beginning-of-period inventories (i.e., line B), plus
production (i.e., line C), less total shipments (i.e., lines D, F, H, and J). Please ensure that any differences are not
due to data entry errors in completing this form, but rather actually reflect your firm’s records; and also provide
any likely explanations for any differences (e.g., theft, loss, damage, record systems issues, etc.) if they exist.
Calendar years

Reconciliation
B + C – D – F – H – J – L = should equal
zero ("0") or provide an explanation.1
1

2012

2013

0

2014

0

Explanation if the calculated fields above are returning values other than zero (i.e., “0”) but are nonetheless accurate.

0

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U.S. Producers’ Questionnaire – Certain PET resin
II-8.

Page 11

Channels of distribution.-- Report your firm’s commercial U.S. shipments by channel of
distribution.
Quantity (in 1,000 pounds) and value (in $1,000)
Calendar years
Item

2012

2013

2014

Channels of distribution:
Commercial U.S. shipments:
To distributors (quantity) (M)
To end users (quantity) (N)
Calendar years
Reconciliation
M + N – D = zero ("0"), if not revise.

2012

2013
0

2014
0

0

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U.S. Producers’ Questionnaire – Certain PET resin
II-9.

Page 12

Employment data.--Report your firm’s employment-related data related to the production of
certain PET resin and provide any explanation for any trends in these data.
“Production Related Workers” (PRWs) includes working supervisors and all nonsupervisory
workers (including group leaders and trainees) engaged in fabricating, processing, assembling,
inspecting, receiving, storage, handling, packing, warehousing, shipping, trucking, hauling,
maintenance, repair, janitorial and guard services, product development, auxiliary production
for plant’s own use (e.g., power plant), recordkeeping, and other services closely associated with
the above production operations.
Average number employed may be computed by adding the number of employees, both full
time and part time, for the 12 pay periods ending closest to the 15th of the month and divide
that total by 12.
“Hours worked” includes time paid for sick leave, holidays, and vacation time. Include overtime
hours actually worked; do not convert overtime pay to its equivalent in straight time hours.
“Wages paid” –Total wages paid before deductions of any kind (e.g., withholding taxes, old-age
and unemployment insurance, group insurance, union dues, bonds, etc.). Include wages paid
directly by your firm for overtime, holidays, vacations, and sick leave.

Calendar years
Item

2012

2013

2014

Average number of PRWs
(number)
Hours worked by PRWs
(1,000 hours)
Wages paid to PRWs (in $1,000s)
Explanation of trends:

II-10.

Related firms.--If your firm reported transfers to related firms in question II-8, please indicate
the nature of the relationship between your firm and the related firms (e.g., joint venture,
wholly owned subsidiary), whether the transfers were priced at market value or by a nonmarket formula, whether your firm retained marketing rights to all transfers, and whether the
related firms also processed inputs from sources other than your firm.

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U.S. Producers’ Questionnaire – Certain PET resin
II-11.

Page 13

Purchases.--Other than direct imports, has your firm otherwise purchased certain PET resin
since January 1, 2012?
“Purchase” – A transaction to buy product from a U.S. corporate entity such as another U.S.
producer, a U.S. distributor, or a U.S. firm that has directly imported the product.
“Direct import” –A transaction to buy from a foreign producer where your firm is the importer
of record or consignee.
No

Yes--Report such purchases below and explain the reasons for your firms'
purchases:

(Quantity in 1,000 pounds)
Calendar years
Item

2012

2013

2014

Purchases from U.S.
importers1 of certain PET
resin from—
Canada
China
India
Oman
All other import sources
Purchases from domestic
producers2
Purchases from other
sources2
1

Please list the name of the importer(s) from which your firm purchased this product. If your firm’s import
suppliers differ by source, please identify the source for each listed supplier.
.
2
Please list the name of the producer(s) or other U.S. distributor(s) from which your firm purchased this
product.
.

II-12.

Other explanations:--If your firm would like to further explain a response to a question in Part II
that did not provide a narrative box, please note the question number and the explanation in
the space provided below. Please also use this space to highlight any issues your firm had in
providing the data in this section, including but not limited to technical issues with the MS Word
questionnaire.

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U.S. Producers’ Questionnaire – Certain PET resin

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PART III.--FINANCIAL INFORMATION
Address questions on this part of the questionnaire to Mary Klir (202-205-3247, [email protected]).
III-1.

Contact information.-- Please identify the responsible individual and the manner by which
Commission staff may contact that individual regarding the confidential information submitted
in part III.
Name
Title
Email
Telephone
Fax

III-2.

Accounting system.--Briefly describe your firm’s financial accounting system.
A.

When does your firm’s fiscal year end (month and day)?
If your firm’s fiscal year changed during the data-collection period, explain:

B.1.

Describe the lowest level of operations (e.g., plant, division, company-wide) for
which financial statements are prepared that include certain PET resin:

2.

Does your firm prepare profit/loss statements for certain PET resin:
Yes
No
How often did your firm (or parent company) prepare financial statements
(including annual reports, 10Ks)? Please check relevant items below.
Audited,
unaudited,
annual reports,
10Ks,
10Qs,
Monthly,
quarterly,
semi-annually,
annually
Accounting basis:
GAAP,
cash,
tax, or
other comprehensive
basis of accounting (specify)

3.

4.

Note: The Commission may request that your company submit copies of its financial statements,
including internal profit-and-loss statements for the division or product group that includes
certain PET resin, as well as those statements and worksheets used to compile data for your
firm’s questionnaire response.

III-3.

Cost accounting system.--Briefly describe your firm’s cost accounting system (e.g., standard
cost, job order cost, etc.).

III-4.

Allocation basis.--Briefly describe your firm’s allocation basis, if any, for COGS, SG&A, and
interest expense and other income and expenses.

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U.S. Producers’ Questionnaire – Certain PET resin
III-5.

Page 15

Other products.--Please list the products your firm produced in the facilities in which your firm
produced certain PET resin, and provide the share of net sales accounted for by these other
products in your firm’s most recent fiscal year.
Products

Share of sales

Certain PET resin

%
%
%
%
%

III-6.

Does your firm purchase inputs (raw materials, labor, energy, or any other services) used in the
production of certain PET resin from any related parties?
Yes--Continue to question III-7.

III-7.

No--Continue to question III-9a.

Inputs from related parties.--Please identify the inputs used in the production of certain PET
resin that your firm purchases from related parties and that are reflected in table III-9a. For
“Share of total COGS” please report this information by relevant input on the basis of your most
recently completed fiscal year. For “Input valuation” please describe the basis, as recorded in
your company’s own accounting system, of the purchase cost from the related party; e.g., the
related party’s actual cost, cost plus, negotiated transfer price to approximate fair market value.
Input

Related party

Share of total COGS

Input valuation as recorded in the firm’s accounting books and records

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U.S. Producers’ Questionnaire – Certain PET resin
III-8.

Page 16

Inputs purchased from related parties.--Please confirm that the inputs purchased from related
parties, as identified in III-7, were reported in III-9a (operations on certain PET resin) in a manner
consistent with your firm’s accounting books and records.
Yes
No--In the space below, please report the valuation basis of inputs purchased from related
parties as reported in table III-9a.

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U.S. Producers’ Questionnaire – Certain PET resin

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III-9a. Operations on certain PET resin.--Report the revenue and related cost information requested
below on the certain PET resin operations of your firm’s U.S. establishment(s).1 Do not report
resales of products. Note that internal consumption and transfers to related firms must be
valued at fair market value. Input purchases from related firms should be consistent with and
based on information in the firm’s accounting books and records. Provide data for your firm’s
three most recently completed fiscal years.
Quantity (in 1,000 pounds) and value (in $1,000)
Fiscal years ended-Item

2012

2013

2014

2

Net sales quantities:
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms (“Transfers”)
Total net sales quantities

0

0

0

0

0

0

Total COGS

0

0

0

Gross profit or (loss)

0

0

0

0

0

0

0

0

0

0

0

0

2

Net sales values:
Commercial sales
Internal consumption
Transfers to related firms
Total net sales values
Cost of goods sold (COGS):
Raw materials

3

Direct labor
Other factory costs

Selling, general, and administrative (SG&A)
expenses:
Selling expenses
General and administrative expenses
Total SG&A expenses
Operating income (loss)
Other expenses and income:
Interest expense
All other expense items
All other income items
Net income or (loss) before income taxes
Depreciation/amortization included above
1

Include only sales (whether domestic or export) and costs related to your U.S. manufacturing operations.
Less discounts, returns, allowances, and prepaid freight. The quantities and values should approximate the corresponding
shipment quantities and values reported in Part II of this questionnaire.
3
COGS (whether for domestic or export sales) should include costs associated with CS, IC, and Transfers.
2

Note -- The table above contains calculations that will appear when you have entered data in the MS
Word form fields.

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III-9b. Financial data reconciliation.--The calculable line items from question III-9a (i.e., total net sales
quantities and values, total COGS, gross profit (or loss), total SG&A, and net income (or loss))
have been calculated from the data submitted in the other line items. Do the calculated fields
return the correct data according to your firm's financial records ignoring non-material
differences that may arise due to rounding?
Yes

No--If the calculated fields do not show the correct data, please double check the
feeder data for data entry errors and revise.
Also, check signs accorded to the post operating income line items; the two
expense line items should report positive numbers (i.e., expenses are
positive and incomes or reversals are negative--instances of the latter
should be rare in those lines) while the income line item also in most
instances should have its value be a positive number (i.e., income is positive,
expenses or reversals are negative).
If after reviewing and potentially revising the feeder data your firm has
provided, the differences between your records and the calculated fields
persist please identify and discuss the differences in the space below.

III-10. Nonrecurring items (charges and gains) included in the subject product financial results.--For
each annual period for which financial results are reported in question III-9a, please specify all
material (significant) nonrecurring items (charges and gains) in the schedule below, the specific
table III-9a line item where the nonrecurring items are included, a brief description of the
relevant nonrecurring items, and the associated values (in $1,000), as reflected in table III-9a;
i.e., if an aggregate nonrecurring item has been allocated to table III-9a, only the allocated value
amount included in table III-9a should be reported in the schedule below. Note: The
Commission’s objective here is to gather information only on material (significant) nonrecurring
items which impacted the reported financial results of the subject product in table III-9a.
Fiscal years ended-2012

2013

2014

Nonrecurring item: In this column please provide a brief
Nonrecurring item: In these columns please report the amount of the relevant
description of each nonrecurring item and indicate the
nonrecurring item reported in table III-9a.
specific line item in table III-9a where the nonrecurring item is
classified.
Value ($1,000)
1.

, classified

2.

, classified

3.

, classified

4.

, classified

5.

, classified

6.

, classified

7.

, classified

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U.S. Producers’ Questionnaire – Certain PET resin

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III-11. Classification of identified nonrecurring items (charges and gains) in the accounting books and
records of the company.--If non-recurring items were reported in table III-10 above, please
identify where your company recorded these items in your accounting books and records in the
normal course of business; i.e., III-10 information designates where these items are reported in
table III-9a.

III-12. Asset values.--Report the total assets (i.e., both current and long-term assets) associated with
the production, warehousing, and sale of certain PET resin. If your firm does not maintain some
or all of the specific asset information necessary to calculate total assets for certain PET resin in
the normal course of business, please estimate this information based upon a method (such as
production, sales, or costs) that is consistent with your firm’s cost allocations in the previous
questions. Provide data as of the end of your firm’s three most recently completed fiscal years.
Note: Total assets should reflect net assets after any accumulated depreciation and allowances
deducted.
Total assets should be allocated to the subject products if these assets are also related to other
products. Please provide a brief explanation if there are any substantial changes in total asset
value during the period; e.g., due to asset write-offs, revaluation, and major purchases.
Value (in $1,000)
Fiscal years ended-Item
Total assets (net)
1

2012

2013

2014

1

Describe

III-13a. Capital expenditures and research and development expenses.--Report your firm’s capital
expenditures and research and development expenses on certain PET resin. Provide data for
your firm’s three most recently completed fiscal years.
Value (in $1,000)
Fiscal years ended--

Item

2012

2013

2014

Capital expenditures
Research and development expenses

III-13b. Capital expenditures.--Please provide a description of your firm’s capital expenditures on the
subject product as reported in table III-13a.

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III-14. Data consistency and reconciliation.--Please indicate whether your firm’s financial data for
questions III-9a, 12, and 13a are based on a calendar year or on your firm’s fiscal year:
Calendar year

Fiscal year

Specify fiscal year

Please note the quantities and values reported in question III-9a should reconcile with the data
reported in question II-7 (including export shipments) as long as they are reported on the same
calendar year basis.
Do these data in question III-9a reconcile with data in question II-7?
Yes

No

If no, please explain.

III-15. Effects of imports.--Since January 1, 2012, has your firm experienced any actual negative effects
on its return on investment or its growth, investment, ability to raise capital, existing
development and production efforts (including efforts to develop a derivative or more advanced
version of the product), or the scale of capital investments as a result of imports of certain PET
resin from Canada, China, India, and/or Oman?
No

Yes--My firm has experienced actual negative effects as follows:
Cancellation, postponement, or rejection of expansion projects
Denial or rejection of investment proposal
Reduction in the size of capital investments
Rejection of bank loans
Lowering of credit rating
Problem related to the issue of stocks or bonds
Other (specify):

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III-16a. Anticipated effects of imports.--Does your firm anticipate any negative effects due to imports of
certain PET resin from Canada, China, India, and/or Oman?
No

Yes

If yes, my firm anticipates negative effects as follows:

III-16b. Does your firm’s response differ by country?
No

Yes

If yes, indicate which country and why:

III-17. Other explanations:--If your firm would like to further explain a response to a question in Part III
that did not provide a narrative box, please note the question number and the explanation in
the space provided below. Please also use this space to highlight any issues your firm had in
providing the data in this section, including but not limited to technical issues with the MS Word
questionnaire.

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PART IV.--PRICING AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from John Benedetto (202-2053270, [email protected]).
IV-1.

Contact information.--Please identify the individual that Commission staff may contact
regarding the confidential information submitted in part IV.
Name
Title
Email
Telephone
Fax

PRICE DATA
IV-2.

This question requests quarterly quantity and value data for your firm’s commercial shipments
to unrelated U.S. customers since January 1, 2012 of the following products produced by your
firm.
Product 1.—PET resin, being either a clear homo- or co-polymer, and having an intrinsic
viscosity of 0.72 IV to 0.84 IV, in the solid stated form. This PET resin product is
typically used in water bottle applications.
Product 2.—PET resin, being either a clear homo- or co-polymer, and having an intrinsic
viscosity of 0.72 IV to 0.84 IV, in the solid stated form. This PET resin product is
typically used in sheet and strapping.
Product 3.-- PET resin, being either a clear homo- or co-polymer, and having an intrinsic
viscosity of 0.78 IV to 0.86 IV, in the solid stated form. This PET resin product is
typically used in carbonated soft drink applications.
Product 4.—PET resin, being mainly a co-polymer, and having an intrinsic viscosity of 0.75 IV
to 0.86 IV, in the solid stated form. This PET resin product is typically used in heat
set or hot fill applications; food, household, and other products.

Please note that values should be f.o.b., U.S. point of shipment and should not include U.S.-inland
transportation costs. Values should reflect the final net amount paid to your firm (i.e., should be net
of all deductions for discounts or rebates).
During January 2012-December 2014, did your firm produce and sell to unrelated U.S.
customers any of the above listed products (or any products that were competitive with these
products)?
Yes.--Please complete the following pricing data table as appropriate.
No.--Skip to question IV-3.

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IV-2.

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Price data.--Report below the quarterly price data1 for pricing products2 produced and sold by
your firm.

Report data in actual pounds and actual dollars (not 1,000s).
(Quantity in pounds, value in dollars)
Product 1
Product 2
Product 3
Quantity
Value
Quantity
Value
Quantity
Value

Product 4
Period of shipment
Quantity
Value
2012:
January-March
April-June
July-September
October-December
2013:
January-March
April-June
July-September
October-December
2014:
January-March
April-June
July-September
October-December
1
Net values (i.e., gross sales values less all discounts, allowances, rebates, prepaid freight, and the value of returned
goods), f.o.b. your firm’s U.S. point of shipment.
2
Pricing product definitions are provided on the first page of Part IV.
Note.--If your firm’s product does not exactly meet the product specifications but is competitive with the specified product,
provide a description of your firm’s product. Also, please explain any anomalies in your firm’s reported pricing data.
Product 1:
Product 2:
Product 3:
Product 4:

Pricing data methodology.—Please describe the method and the kinds of documents/records
that were used to compile your price data.

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U.S. Producers’ Questionnaire – Certain PET resin

IV-3.

Price setting.-- How does your firm determine the prices that it charges for sales of certain PET
resin (check all that apply)? If your firm issues price lists, please submit sample pages of a
recent list.
Transaction
by
transaction

IV-4.

Contracts

Other

If other, describe

Annual
total
volume
discounts

No
discount
policy

Other

Describe

Pricing terms.-(a)

What are your firm’s typical sales terms for its U.S.-produced certain PET resin?
Net 30
days

(b)

Net 60
days

2/10 net
30 days

Other

Other (specify)

On what basis are your firm’s prices of domestic certain PET resin usually quoted (check
one)?
Delivered

IV-6.

Set
price
lists

Discount policy.-- Please indicate and describe your firm’s discount policies (check all that
apply).

Quantity
discounts

IV-5.

Page 24

F.o.b.

If f.o.b., specify point

Contract versus spot.--Approximately what share of your firm’s sales of its U.S.-produced
certain PET resin in 2014 was on a (1) long-term contract basis, (2) annual contract basis, (3)
short-term contract basis, and (4) spot sales basis?

Share of 2014
sales

Long-term
contracts
(multiple
deliveries for
more than 12
months)
%

Type of sale
Short-term
Annual
contracts
contracts
(multiple
(multiple
deliveries for
deliveries for 12
less than 12
months)
months)
%

Total
(should
sum to
100.0%)

Spot sales
(for a single
delivery)
%

%

0.0

%

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IV-7.

Page 25

Contract provisions.— Please fill out the table regarding your firm’s typical sales contracts for
U.S.-produced certain PET resin (or check “not applicable” if your firm does not sell on a long
term, short term and/or annual contract basis).

Typical sales
contract provisions

Item

Average contract
duration

# of days

Short-term contracts
(multiple deliveries
for less than 12
months)

Annual contracts
(multiple
deliveries for 12
months)

Long-term contracts
(multiple deliveries for
more than 12 months)

365

Yes

Price renegotiation
(during contract
period)

No
Quantity

Fixed quantity
and/or price

Price
Both
Yes

Meet or release
provision

No

Not applicable
IV-8.

Lead times.--What is your firm’s share of sales both from inventory and produced to order and
what is the typical lead time between a customer’s order and the date of delivery for your firm’s
sales of its U.S.-produced certain PET resin?

Source

Share of 2014
sales

From inventory

%

Produced to order

%

Total (should sum to 100.0%)

0.0 %

Lead time (days)

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IV-9.

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Shipping information.-(a)

What is the approximate percentage of the total delivered cost of U.S.-produced certain
PET resin that is accounted for by U.S. inland transportation costs?
percent

(b)

Who generally arranges the transportation to your firm’s customers’ locations?
Your firm
Purchaser (check one)

(c)

Indicate the approximate percentage of your firm’s sales of certain PET resin that are
delivered the following distances from its production facility.
Distance from production facility

Share

Within 100 miles

%

101 to 1,000 miles

%

Over 1,000 miles

%

Total (should sum to 100.0%)

0.0

%

IV-10. Geographical shipments.-- In which U.S. geographic market area(s) has your firm sold its U.S.produced certain PET resin since January 1, 2012 (check all that apply)?
Geographic area
Northeast.–CT, ME, MA, NH, NJ, NY, PA, RI, and VT.
Midwest.–IL, IN, IA, KS, MI, MN, MO, NE, ND, OH, SD, and WI.
Southeast.–AL, DE, DC, FL, GA, KY, MD, MS, NC, SC, TN, VA, and WV.
Central Southwest.–AR, LA, OK, and TX.
Mountains.–AZ, CO, ID, MT, NV, NM, UT, and WY.
Pacific Coast.–CA, OR, and WA.
Other.–All other markets in the United States not previously listed,
including AK, HI, PR, and VI, among others.

√ if applicable

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IV-11. End uses.--List the end uses of the certain PET resin that your firm manufactures. For each enduse product, what percentage of the total cost is accounted for by certain PET resin and other
inputs?
Share of total cost of end use product
accounted for by
End use product

Certain PET resin

Other inputs

Total
(should sum to
100.0% across)

%

%

0.0 %

%

%

0.0 %

%

%

0.0 %

IV-12. Substitutes.-- Can other products be substituted for certain PET resin?
No

Substitute
1.
2.
3.

Yes--Please fill out the table.

End use in which this
substitute is used

Have changes in the prices of this substitute
affected the price for certain PET resin?
No Yes

Explanation

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IV-13. Demand trends.-- Indicate how demand within the United States and outside of the United
States (if known) for certain PET resin has changed since January 1, 2012. Explain any trends and
describe the principal factors that have affected these changes in demand.

Market

Overall
increase

Fluctuate
No
Overall
with no
change decrease clear trend

Explanation and factors

Within
the United
States
Outside
the United
States

IV-14. Product changes.--Have there been any significant changes in the product range, product mix,
or marketing of certain PET resin since January 1, 2012?
No

Yes

If yes, please describe and quantify if possible.

IV-15. Conditions of competition.-(a) Is the certain PET resin market subject to business cycles (other than general economywide conditions) and/or other conditions of competition distinctive to certain PET resin? If
yes, describe.
Check all that apply.

Please describe.

No

Skip to question IV-16.

Yes-Business cycles (e.g.
seasonal business)
Yes-Other distinctive
conditions of competition
(b) If yes, have there been any changes in the business cycles or conditions of competition for
certain PET resin since January 1, 2012?
No

Yes

If yes, describe.

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IV-16. Supply constraints.--Has your firm refused, declined, or been unable to supply certain PET resin
since January 1, 2012 (examples include placing customers on allocation or “controlled order
entry,” declining to accept new customers or renew existing customers, delivering less than the
quantity promised, been unable to meet timely shipment commitments, etc.)?
No

Yes

If yes, please describe.

IV-17. Raw materials.--How have certain PET resin raw materials prices changed since January 1,
2012?

Overall
increase

Fluctuate
with no Explain, noting how raw material price changes
clear
have affected your firm’s selling prices for certain
No
Overall
change decrease
trend
PET resin.

IV-18. Interchangeability.--Is certain PET resin produced in the United States and in other countries
interchangeable (i.e., can they physically be used in the same applications)?
Please indicate A, F, S, N, or 0 in the table below:
A = the products from a specified country-pair are always interchangeable
F = the products are frequently interchangeable
S = the products are sometimes interchangeable
N = the products are never interchangeable
0 = no familiarity with products from a specified country-pair

Country-pair

Canada

China

India

Oman

Other
countries

United
States
Canada
China
India
Oman
For any country-pair producing certain PET resin that is sometimes or never interchangeable,
identify the country-pair and explain the factors that limit or preclude interchangeable use:

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IV-19. Factors other than price.--Are differences other than price (e.g., quality, availability,
transportation network, product range, technical support, etc.) between certain PET resin
produced in the United States and in other countries a significant factor in your firm’s sales of
the products?
Please indicate A, F, S, N, or 0 in the table below:
A = such differences are always significant
F = such differences are frequently significant
S = such differences are sometimes significant
N = such differences are never significant
0 = no familiarity with products from a specified country-pair

Country-pair

Canada

China

India

Oman

Other
countries

United
States
Canada
China
India
Oman
For any country-pair for which factors other than price always or frequently are a significant
factor in your firm’s sales of certain PET resin, identify the country-pair and report the
advantages or disadvantages imparted by such factors:

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IV-20. Customer identification--List the names and contact information for your firm’s 10 largest U.S.
customers for certain PET resin since January 1, 2012. Indicate the share of the quantity of your
firm’s total shipments of certain PET resin that each of these customers accounted for in 2014.

Customer’s name

1
2
3
4
5
6
7
8
9
10

Contact person

Email

Telephone

City

State

Share
of
2014
sales
(%)

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IV-21. Competition from imports
(a)

Lost revenue.--Since January 1, 2012: To avoid losing sales to competitors selling
certain PET resin from Canada, China, India, and Oman, did your firm:
No

Yes

Reduce prices
Roll back announced price increases
(b)

Lost sales.--Since January 1, 2012: Did your firm lose sales of certain PET resin to
imports of this product from Canada, China, India, and Oman?
No

(c)

Yes

The submission of lost sales/lost revenue allegations is to be completed only by NONPETITIONERS. (Note: petitioners may provide allegations involving quotes made
AFTER the filing of the petition.) Please do not resubmit allegations provided
previously.
If your firm indicated “yes” to any of the above, your firm can provide the Commission
with additional information by downloading and completing the lost sales/lost revenues
worksheet at http://usitc.gov/trade_remedy/question.htm. Note that the Commission
may contact the firms named to verify the allegations reported.
Is your firm submitting the lost sales/lost revenues worksheet?
No—Please explain.
Yes—Please complete the worksheet and submit via the Commission dropbox.
https://dropbox.usitc.gov/oinv/. (PIN: PETR)

IV-22. Other explanations--If your firm would like to further explain a response to a question in Part IV
that did not provide a narrative response box, please note the question number and the
explanation in the space provided below. Please also use this space to highlight any issues your
firm had in providing the data in this section, including but not limited to technical issues with
the MS Word questionnaire.

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HOW TO FILE YOUR QUESTIONNAIRE RESPONSE
This questionnaire is available as a “fillable” form in MS Word format on the
Commission’s website at: certain PET resin questionnaire
Please do not attempt to modify the format or permissions of the questionnaire
document. Please submit the completed questionnaire using one of the methods
noted below. If your firm is unable to complete the MS Word questionnaire or
cannot use one of the electronic methods of submission, please contact the
Commission for further instructions.
• Upload via Secure Drop Box.—Upload the MS Word questionnaire 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: PETR
• E-mail.—E-mail the MS Word questionnaire to [email protected]; include a scanned
copy of the signed certification page (page 1). Please note that submitting your questionnaire by email 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.

If your firm does not produce this product, please fill out page 1, print, sign, and submit a
scanned copy to the Commission.
Parties to this proceeding.—If your firm is a party to this proceeding, it is required to serve a
copy of the completed questionnaire on parties to the proceeding that are subject to
administrative protective order (see 19 CFR § 207.7). A list of such parties may be obtained
from the Commission’s Secretary (202-205-1803). A certificate of service must accompany the
completed questionnaire you submit (see 19 CFR § 207.7). Service of the questionnaire must be
made in paper form.