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pdfOMB No. 3117‐0016/USITC No. 16‐1‐3579; Expiration Date: 6/30/2017
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U.S. PRODUCERS’ QUESTIONNAIRE
CERTAIN ALUMINUM EXTRUSIONS FROM CHINA
This questionnaire must be received by the Commission by November 29, 2016
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 reviews of the antidumping and countervailing duty orders concerning aluminum extrusions from
China (Inv. Nos. 701‐TA‐475 and 731‐TA‐1177 (Review)). 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 aluminum extrusions (as defined on the next page) at any time since January 1, 2011?
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 Commission Drop Box by clicking on the following link:
https://dropbox.usitc.gov/oinv/ (PIN: ALUM)
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 or reviews
conducted by the Commission on the same or similar merchandise.
I, the undersigned, acknowledge that information submitted in response to this request for information and throughout this
reviews or other proceeding may be disclosed to and used:
(i) by the Commission, its employees and Offices, and contract personnel (a) for developing or maintaining the records of this or a
related proceeding, or (b) in internal investigations, audits, reviews, and evaluations relating to the programs, personnel, and
operations of the Commission including under 5 U.S.C. Appendix 3; or
(ii) by U.S. government employees and contract personnel, solely for cybersecurity purposes. I understand that all contract
personnel will sign appropriate nondisclosure agreements.
Name of Authorized Official Title of Authorized Official Date
Phone:
Signature
Fax:
Email address
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 2
PART I.—GENERAL INFORMATION
Background.‐‐On April 4, 2011, the Department of Commerce (“Commerce”) issued antidumping and
countervailing duty orders on imports of aluminum extrusions from China. On April 1, 2016, the
Commission instituted reviews pursuant to section 751(c) of the Tariff Act of 1930 (19 U.S.C. § 1675(c))
(the Act) to determine whether revocation of the orders would be likely to lead to continuation or
recurrence of material injury to the domestic industry within a reasonably foreseeable time. If both the
Commission and Commerce make affirmative determinations, the orders will remain in place. If either
the Commission or Commerce makes negative determinations, Commerce will revoke the orders.
Questionnaires and other information pertinent to these proceedings are available at
http://wwwadmin.usitc.gov/investigations/701731/2016/aluminum_extrusions_china/full_review.htm
Aluminum extrusions covered by these reviews are defined as follows:
Shapes and forms, produced by an extrusion process, made from aluminum alloys having metallic
elements corresponding to the alloy series designations published by The Aluminum Association
commencing with the numbers 1, 3, and 6 (or proprietary equivalents or other certifying body
equivalents). Specifically, the subject merchandise made from aluminum alloy with an Aluminum
Association series designation commencing with the number 1 contains not less than 99 percent
aluminum by weight. The subject merchandise made from aluminum alloy with an Aluminum
Association series designation commencing with the number 3 contains manganese as the major
alloying element, with manganese accounting for not more than 3.0 percent of total materials by
weight. The subject merchandise is made from an aluminum alloy with an Aluminum Association series
designation commencing with the number 6 contains magnesium and silicon as the major alloying
elements, with magnesium accounting for at least 0.1 percent but not more than 2.0 percent of total
materials by weight, and silicon accounting for at least 0.1 percent but not more than 3.0 percent of
total materials by weight. The subject aluminum extrusions are properly identified by a four‐digit alloy
series without either a decimal point or leading letter. Illustrative examples from among the
approximately 160 registered alloys that may characterize the subject merchandise are as follows: 1350,
3003, and 6060.
Aluminum extrusions are produced and imported in a wide variety of shapes and forms, including, but
not limited to, hollow profiles, other solid profiles, pipes, tubes, bars, and rods. Aluminum extrusions
that are drawn subsequent to extrusion (drawn aluminum) are also included in the scope.
Aluminum extrusions are produced and imported with a variety of finishes (both coatings and surface
treatments), and types of fabrication. The types of coatings and treatments applied to subject aluminum
extrusions include, but are not limited to, extrusions that are mill finished (i.e., without any coating or
further finishing), brushed, buffed, polished, anodized (including brightdip anodized), liquid painted, or
powder coated. Aluminum extrusions may also be fabricated, i.e., prepared for assembly. Such
operations would include, but are not limited to, extrusions that are cut‐to‐length, machined, drilled,
punched, notched, bent, stretched, knurled, swedged, mitered, chamfered, threaded, and spun. The
subject merchandise includes aluminum extrusions that are finished (coated, painted, etc.), fabricated,
or any combination thereof.
Subject aluminum extrusions may be described at the time of importation as parts for final finished
products that are assembled after importation, including, but not limited to, window frames, door
frames, solar panels, curtain walls, or furniture. Such parts that otherwise meet the definition of
aluminum extrusions are included in the scope. The scope includes the aluminum extrusion components
that are attached (e.g., by welding or fasteners) to form subassemblies, i.e., partially assembled
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
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merchandise unless imported as part of the finished goods ‘kit’ defined further below. The scope does
not include the non‐aluminum extrusion components of subassemblies or subject kits.
Subject extrusions may be identified with reference to their end use, such as fence posts, electrical
conduits, door thresholds, carpet trim, or heat sinks (that do not meet the finished heat sink
exclusionary language below). Such goods are subject merchandise if they otherwise meet the scope
definition, regardless of whether they are ready for use at the time of importation. The following
aluminum extrusion products are excluded: aluminum extrusions made from aluminum alloy with an
Aluminum Association series designations commencing with the number 2 and containing in excess of
1.5 percent copper by weight; aluminum extrusions made from aluminum alloy with an Aluminum
Association series designation commencing with the number 5 and containing in excess of 1.0 percent
magnesium by weight; and aluminum extrusions made from aluminum alloy with an Aluminum
Association series designation commencing with the number 7 and containing in excess of 2.0 percent
zinc by weight.
The scope also excludes finished merchandise containing aluminum extrusions as parts that are fully and
permanently assembled and completed at the time of entry, such as finished windows with glass, doors
with glass or vinyl, picture frames with glass pane and backing material, and solar panels. The scope also
excludes finished goods containing aluminum extrusions that are entered unassembled in a “finished
goods kit.” A finished goods kit is understood to mean a packaged combination of parts that contains, at
the time of importation, all of the necessary parts to fully assemble a final finished good and requires no
further finishing or fabrication, such as cutting or punching, and is assembled “as is” into a finished
product. An imported product will not be considered a “finished goods kit” and therefore excluded from
the scope of the investigation merely by including fasteners such as screws, bolts, etc. in the packaging
with an aluminum extrusion product.
The scope also excludes aluminum alloy sheet or plates produced by other than the extrusion process,
such as aluminum products produced by a method of casting. Cast aluminum products are properly
identified by four digits with a decimal point between the third and fourth digit. A letter may also
precede the four digits. The following Aluminum Association designations are representative of
aluminum alloys for casting: 208.0, 295.0, 308.0, 355.0, C355.0, 356.0, A356.0, A357.0, 360.0, 366.0,
380.0, A380.0, 413.0, 443.0, 514.0, 518.1, and 712.0. The scope also excludes pure, unwrought
aluminum in any form.
The scope also excludes collapsible tubular containers composed of metallic elements corresponding to
alloy code 1080A as designated by the Aluminum Association where the tubular container (excluding the
nozzle) meets each of the following dimensional characteristics: (1) length of 37 millimeters (“mm”) or
62 mm, (2) outer diameter of 11.0 mm or 12.7 mm, and (3) wall thickness not exceeding 0.13 mm.
Also excluded from the scope of this order are finished heat sinks. Finished heat sinks are fabricated
heat sinks made from aluminum extrusions the design and production of which are organized around
meeting certain specified thermal performance requirements and which have been fully, albeit not
necessarily individually, tested to comply with such requirements.
Imports of the subject merchandise are provided for under the following categories of the Harmonized
Tariff Schedule of the United States (HTSUS): 8424.90.9080, 9405.99.4020, 9031.90.90.95,
7616.10.90.90, 7609.00.00, 7610.10.00, 7610.90.00, 7615.10.30, 7615.10.71, 7615.10.91, 7615.19.10,
7615.19.30, 7615.19.50, 7615.19.70, 7615.19.90, 7615.20.00, 7616.99.10, 7616.99.50, 8479.89.98,
8479.90.94, 8513.90.20, 9403.10.00, 9403.20.00, 7604.21.00.00, 7604.29.10.00, 7604.29.30.10,
7604.29.30.50, 7604.29.50.30, 7604.29.50.60, 7608.20.00.30, 7608.20.00.90, 8302.10.30.00,
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
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8302.10.60.30, 8302.10.60.60, 8302.10.60.90, 8302.20.00.00, 8302.30.30.10, 8302.30.30.60,
8302.41.30.00, 8302.41.60.15, 8302.41.60.45, 8302.41.60.50, 8302.41.60.80, 8302.42.30.10,
8302.42.30.15, 8302.42.30.65, 8302.49.60.35, 8302.49.60.45, 8302.49.60.55, 8302.49.60.85,
8302.50.00.00, 8302.60.90.00, 8305.10.00.50, 8306.30.00.00, 8414.59.60.90, 8415.90.80.45,
8418.99.80.05, 8418.99.80.50, 8418.99.80.60, 8419.90.10.00, 8422.90.06.40, 8473.30.20.00,
8473.30.51.00, 8479.90.85.00, 8486.90.00.00, 8487.90.00.80, 8503.00.95.20, 8508.70.00.00,
8515.90.20.00, 8516.90.50.00, 8516.90.80.50, 8517.70.00.00, 8529.90.73.00, 8529.90.97.60,
8536.90.80.85, 8538.10.00.00, 8543.90.88.80, 8708.29.50.60, 8708.80.65.90, 8803.30.00.60,
9013.90.50.00, 9013.90.90.00, 9401.90.50.81, 9403.90.10.40, 9403.90.10.50, 9403.90.10.85,
9403.90.25.40, 9403.90.25.80, 9403.90.40.05, 9403.90.40.10, 9403.90.40.60, 9403.90.50.05,
9403.90.50.10, 9403.90.50.80, 9403.90.60.05, 9403.90.60.10, 9403.90.60.80, 9403.90.70.05,
9403.90.70.10, 9403.90.70.80, 9403.90.80.10, 9403.90.80.15, 9403.90.80.20, 9403.90.80.41,
9403.90.80.51, 9403.90.80.61, 9506.11.40.80, 9506.51.40.00, 9506.51.60.00, 9506.59.40.40,
9506.70.20.90, 9506.91.00.10, 9506.91.00.20, 9506.91.00.30, 9506.99.05.10, 9506.99.05.20,
9506.99.05.30, 9506.99.15.00, 9506.99.20.00, 9506.99.25.80, 9506.99.28.00, 9506.99.55.00,
9506.99.60.80, 9507.30.20.00, 9507.30.40.00, 9507.30.60.00, 9507.90.60.00, and 9603.90.80.50.
The subject merchandise entered as parts of other aluminum products may be classifiable under the
following additional Chapter 76 subheadings: 7610.10, 7610.90, 7615.19, 7615.20, and 7616.99, as well
as under other HTSUS chapters. In addition, heat exchange systems may be classifiable under HTSUS
numbers: 8418.99.80.50 and 8418.99.80.60. While HTSUS subheadings are provided for convenience
and customs purposes, the written description of the scope of this AD Order is dispositive. 1
The following products are among those that Commerce determined to be within the scope of these
reviews pursuant to certain scope ruling requests:
Fin evaporator coil systems begin with extruded aluminum tubes that are bent into serpentine profiles.
The serpentine then undergoes a series of further manufacturing steps to be processed into a fin
evaporator coil system. Specifically, each serpentine first is run through a process on which a number of
stamped aluminum “fins” (made of aluminum alloy sheet) of multiples sizes are serially attached to the
coil. Following the attachment of the fins, two “stub” fittings made of copper—one smaller, one larger—
are welded to the open ends of the coil. In certain instances, these systems are imported in this
condition; in others, additional componentry, such as “capillaries”, suction tubes, foam “air dams”, or a
defrost heater attachment are added prior to importation.
Fittings for engine cooling systems consist of the following: (1) aluminum fittings for oil coolers; (2)
aluminum fittings for condensers; (3) aluminum fittings for radiators; (4) aluminum plugs for oil coolers;
(5) aluminum mounting pins for oil coolers; and (6) aluminum fasteners for oil coolers. All of these
fittings begin with rough blanks of extruded aluminum. The rough blanks then undergo several complex
processes in numerically controlled CNC machines, which fundamentally change the shape of the blanks.
Reporting of information.‐‐ If information is not readily available from your records in exactly the form
requested, furnish carefully prepared estimates. If your firm is completing more than one questionnaire
in connection with this proceeding (i.e., a producer, importer, and/or purchaser questionnaire), you
need not respond to duplicated questions in the questionnaires.
1
Aluminum Extrusions from the People's Republic of China: Final Results of Expedited First Sunset Review of the
Antidumping duty order, 81 FR 51856, August 5, 2016.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 5
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 of your 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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
I‐1.
Page 6
OMB statistics.‐‐Please report below the actual number of hours required and the cost to your
firm of completing this questionnaire.
I‐2.
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.
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 aluminum extrusions,
including auxiliary facilities operated in conjunction with (whether or not physically separate
from) such facilities.
Establishments
covered1
City, State
Zip (5 digit)
Description
1
2
3
4
5
6
1
Additional discussion on establishments consolidated in this questionnaire:
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
I‐3.
Page 7
Position regarding continuation of order.‐‐Does your firm support or oppose continuation of
the following antidumping and countervailing duty orders currently in place for aluminum
extrusions?
Country
I‐4.
Support
China CVD
Ownership.‐‐Is your firm owned, in whole or in part, by any other firm?
No
Yes‐‐List the following information.
Extent of
ownership
(percent)
Address
Related SUBJECT importers/exporters.‐‐Does your firm have any related firms, either domestic
or foreign, that are engaged in importing aluminum extrusions from China into the United States
or that are engaged in exporting aluminum extrusions from China to the United States?
No
Yes‐‐List the following information.
Firm name
Address
Affiliation
Take no position
China AD
Firm name
I‐5.
Oppose
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
I‐6.
Related NONSUBJECT importers/exporters.‐‐Does your firm have any related firms, either
domestic or foreign, that are engaged in importing aluminum extrusions from countries other
than China into the United States or that are engaged in exporting aluminum extrusions from
countries other than China to the United States?
No
Yes‐‐List the following information.
Firm name and country
I‐7.
Address
Affiliation
Related producers.‐‐Does your firm have any related firms, either domestic or foreign, that are
engaged in the production of aluminum extrusions?
No
Yes‐‐List the following information.
Firm name
Address
Affiliation
Page 8
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
I‐8.
Page 9
Subsets of aluminum extrusions.—Please indicate whether your firm produces the following
subsets of aluminum extrusions.
I‐9.
Production of
No
Yes
If yes
Fin evaporator coil
systems
Report your firm's fin evaporator coil systems
data along with data on all other aluminum
extrusions in Parts II and III of this questionnaire.
Then separately report data for fin evaporator coil
systems in Part V of this questionnaire.
Fittings for engine
cooling systems
Report your firm's fittings for engine cooling
systems data along with data on all other
aluminum extrusions in Parts II and III of this
questionnaire. Then separately report data for
fittings for engine cooling systems in Part V of this
questionnaire.
Business plan.‐‐In Parts II and IV of this questionnaire we request a copy of your company’s
business plan. Does your company or any related firm have a business plan or any internal
documents that describe, discuss, or analyze expected market conditions for aluminum
extrusions?
No
Yes
If yes, please provide the requested documents. If you are not providing the
requested documents, please explain why not.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 10
PART II.‐‐TRADE AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from Justin Enck (202‐205‐3363),
[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 aluminum extrusions since January 1, 2011.
Check as many as appropriate.
If checked, please describe; leave blank if not
applicable.
Plant openings
Plant closings
Relocations
Expansions
Acquisitions
Consolidations
Prolonged shutdowns or
production curtailments
Revised labor agreements
Other (e.g., technology)
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
II‐3.
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Anticipated changes in operations.‐‐Does your firm anticipate any changes in the character of
its operations or organization (as noted above) relating to the production of aluminum
extrusions in the future?
No
Yes‐‐Supply details as to the time, nature, and significance of such changes
and provide underlying assumptions, along with relevant portions of
business plans or other supporting documentation that address this
issue. Include in your response a specific projection of your firm’s
capacity to produce aluminum extrusions (in short tons) for 2016 and
2017.
For question II‐4, if your firm’s response differs for particular orders, please indicate and explain the
particular effect of revocation of specific orders.
II‐4. Anticipated changes in operations in the event the order is revoked.‐‐Would your firm
anticipate any changes in the character of its operations or organization (as noted above)
relating to the production of aluminum extrusions in the future if the antidumping and
countervailing duty orders on aluminum extrusions from China were to be revoked?
No
Yes‐‐Supply details as to the time, nature, and significance of such changes
and provide underlying assumptions, along with relevant portions of
business plans or other supporting documentation that address this
issue. Include in your response a specific projection of your firm’s
capacity to produce aluminum extrusions (in short tons) for 2016 and
2017.
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II‐5a. Production using same machinery.‐‐ Please report your firm’s production of products made on
the same equipment and machinery used to produce aluminum extrusions, and the combined
production capacity on this shared equipment and machinery in the periods indicated.
“Overall 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).
“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 short tons)
Calendar year
Item
Overall production capacity
Production of:
Aluminum extrusions1
2
Other products
Total
1
2
2011
2012
2013
January‐September
2014
2015
2015
2016
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Data entered for production of aluminum extrusions will populate here once reported in question II‐6.
Please identify these products: .
II‐5b. Operating parameters.‐‐The production capacity reported in II‐5a is based on operating hours
per week, weeks per year.
II‐5c. Capacity calculation.‐‐Please describe the methodology used to calculate overall production
capacity reported in II‐5a, and explain any changes in reported capacity.
II‐5d. Production constraints.‐‐Please describe the constraint(s) that set the limit(s) on your firm’s
production capacity.
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II‐5e. Product shifting.‐‐Is your firm able to switch production (capacity) between aluminum extrusions
and other products using the same equipment and/or labor?
No
Yes‐‐ (i.e., have produced other products or are able to produce other
products). Please identify other actual or potential products: .
II‐5f. Product shifting factors.‐‐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.
“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.
“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. Such transactions are
valued at fair market value.
“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.
“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.
Note: As requested in Part I of this questionnaire, please keep all supporting documents/records
used in the preparation of the trade data, as Commission staff may contact your firm regarding
questions on the trade data. The Commission may also request that your company submit copies
of the supporting documents/records (such as production and sales schedules, inventory records,
etc.) used to compile these data.
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
II‐6.
Page 14
Production, shipment, and inventory data.‐‐Report your firm’s production capacity, production,
shipments, and inventories related to the production of aluminum extrusions in its U.S.
establishment(s) during the specified periods.
Quantity (in short tons) and value (in $1,000)
Calendar year
Item
2011
2012
2013
January‐September
2014
2015
2015
2016
Average production capacity1
(quantity) (A)
Beginning‐of‐period
inventories (quantity) (B)
Production (quantity) (C)
U.S. shipments:
Commercial shipments:
quantity (D)
value (E)
2
Internal consumption:
quantity (F)
value (G)
2
Transfers to related firms:
quantity (H)
value (I)
3
Export shipments:
quantity (J)
value (K)
End‐of‐period inventories
(quantity) (L)
Channels of distribution:
Commercial U.S.
shipments.—
to
wholesaler/distributors
(quantity) (M)
to end users (quantity)
(N)
1
The production capacity 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 should 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: .
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
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II‐6. Production, shipment, and inventory data.‐‐Continued
RECONCILIATION OF SHIPMENTS, PRODUCTION, AND INVENTORY.‐‐Generally, the data reported for the
end‐of‐period 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 reflect your firm’s actual
records; and, also provide explanations for any differences (e.g., theft, loss, damage, record systems
issues, etc.) if they exist.
Calendar year
Item
B + C – D – F – H – J –
L = should equal zero
("0") or provide an
explanation.1
2011
2012
0
2013
0
0
January‐September
2014
0
2015
0
2015
0
2016
0
1
Explanation if the calculated fields above are returning values other than zero (i.e., “0”) but are
nonetheless accurate: .
RECONCILIATION OF CHANNELS.‐‐Please ensure that the quantities reported for channels of distribution
(i.e., lines M and N) in each time period equal the quantity reported for commercial U.S. commercial
shipments (i.e., line D) in each time period. If the calculated fields below return values other than zero
(i.e., “0”), the data reported must be revised prior to submission to the Commission.
Calendar year
Reconciliation item
2011
2012
2013
January‐September
2014
2015
2015
2016
M + N – D = zero
("0"), if not revise.
0
0
0
0
0
0
0
II‐7. Transfers to related firms.‐‐If your firm reported transfers to related firms in question II‐6,
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
non‐market formula, whether your firm retained marketing rights to all transfers, and whether
the related firms also processed inputs from sources other than your firm.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
II‐8.
Page 16
Employment data.‐‐Report your firm’s employment‐related data related to the production of
aluminum extrusions and provide an 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. For the January to September periods, calculate similarly and divide by 9.
“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 year
Item
Employment data:
Average number
of PRWs (number)
(O)
2011
2013
2014
2015
2015
2016
Hours worked by
PRWs (1,000
hours) (P)
Wages paid to
PRWs ($1,000) (Q)
Explanation of trends:
2012
January‐September
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
II‐9.
Page 17
Purchases.‐‐Other than purchases for which your firm was the importer of record (those data
are to be reported in the U.S. importers' questionnaire), has your firm otherwise purchased
domestic or imported aluminum extrusions since January 1, 2011?
No
Yes‐‐ Please indicate the reasons for your firm’s purchases (if your firms’
reasons differ by source, please elaborate) and report the quantity and
value of such purchases below for the specified periods.
“Purchase” – A transaction to buy product from a corporate entity such as another U.S.
producer, a wholesaler/distributor or importer located in the United States that has itself either
imported or purchased the merchandise.
Reason for purchases:
Quantity (in short tons)
Calendar years
Item
2011
2012
2013
2014
January‐September
2015
2015
2016
Purchases from U.S.
importers1 of
aluminum extrusions
from—
China
All other 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 U.S. wholesaler/distributor(s) from which your firm purchased this
product: .
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 18
II‐10. Toll production.‐‐Since January 1, 2011, has your firm been involved in a toll agreement
regarding the production of aluminum extrusions?
“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
Yes‐‐ Please describe the toll arrangement(s) and name the firm(s) involved.
II‐11. Foreign trade zones.‐‐
(a)
Firm's FTZ operations.‐‐Does your firm produce aluminum extrusions in and/or admit
aluminum extrusions 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).
(b)
Other firms' FTZ operations.‐‐To your knowledge, do any firms in the United States
import aluminum extrusions into a foreign trade zone (FTZ) for use in distribution of
aluminum extrusions and/or the production of downstream articles?
No/Don’t know
Yes‐‐Identify the firms and the FTZs.
II‐12. Importer of record.‐‐Since January 1, 2011, has your firm imported aluminum extrusions?
“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 ‐ aluminum extrusions
Page 19
For questions II‐13 and II‐14, if your response differs for particular orders, please indicate and explain
the particular effect of imposition and/or revocation of specific orders.
II‐13. Effect of order.‐‐Describe the significance of the existing antidumping and countervailing duty
orders covering imports of aluminum extrusions from China in terms of its effect on your firm’s
production capacity, production, U.S. shipments, inventories, purchases, employment,
revenues, costs, profits, cash flow, capital expenditures, research and development
expenditures, and asset values. You may wish to compare your firm’s operations before and
after the imposition of the orders.
II‐14. Likely effect of revocation of orders.‐‐Would your firm anticipate any changes in its production
capacity, production, U.S. shipments, inventories, purchases, employment, revenues, costs,
profits, cash flow, capital expenditures, research and development expenditures, or asset values
relating to the production of aluminum extrusions in the future if the antidumping and
countervailing duty orders on aluminum extrusions from China were to be revoked?
No
Yes‐‐Supply details as to the time, nature, and significance of such changes
and provide underlying assumptions, along with relevant portions of
business plans or other supporting documentation for any trends or
projections you may provide.
II‐15. Other explanations:‐‐If your firm would like to explain further 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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 20
PART III.‐‐FINANCIAL INFORMATION
Address questions on this part of the questionnaire to David Boyland (202‐708‐4725,
[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 below:
B.1. Describe the lowest level of operations (e.g., plant, division, company‐wide) for which
financial statements are prepared that include aluminum extrusions:
2. Does your firm prepare profit/loss statements for aluminum extrusions:
Yes
No
3. 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, 10 Qs,
Monthly, quarterly, semi‐annually, annually
4. Accounting basis: GAAP, cash, tax, or other comprehensive basis of
accounting (specify)
Note: As requested in Part I of this questionnaire, please keep all supporting documents/records
used in the preparation of the financial data, as Commission staff may contact your firm
regarding questions on the financial data. The Commission may also request that your company
submit copies of the supporting documents/records (financial statements, including internal
profit‐and‐loss statements for the division or product group that includes aluminum extrusions, as
well as specific statements and worksheets) used to compile these data.
III‐3.
Cost accounting system.‐‐Briefly describe your firm’s cost accounting system (e.g., standard
cost, job order cost, etc.).
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
III‐4.
Page 21
Allocation basis.‐‐Briefly describe your firm’s allocation basis, if any, for COGS, SG&A, and
interest expense and other income and expenses.
III‐5.
Product listing.‐‐Please list the products your firm produces in the facilities in which it produces
aluminum extrusions, and provide the share of net sales accounted for by these products in your
firm’s most recent fiscal year.
Products
Share of sales
aluminum extrusions
%
%
%
%
%
III‐6.
Does your firm purchase inputs (raw materials, labor, energy, or any services) used in the
production of aluminum extrusions from any related suppliers (e.g., inclusive of transactions
between related firms, divisions and/or other components within the same company)?
Yes‐‐Continue to question III‐7.
III‐7.
No‐‐Continue to question III‐9a.
Inputs from related suppliers.‐‐Please identify the inputs used in the production of aluminum
extrusions that your firm purchases from related suppliers 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 the company’s own accounting system, of the purchase cost from the related
supplier; e.g., the related supplier’s actual cost, cost plus, negotiated transfer price to
approximate fair market value.
Input
Related supplier
Share of total COGS
Input valuation as recorded in the firm’s accounting books and records
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
III‐8.
Page 22
Inputs from related suppliers at cost.‐‐Please confirm that the inputs purchased from related
suppliers, as identified in III‐7, were reported in III‐9a (financial results on aluminum extrusions),
as well as the subsets of aluminum extrusions financial results reported in III‐9b (fin evaporator
coil systems) and III‐9c (fittings for engine cooling systems), in a manner consistent with the
firm’s accounting books and records.
Yes
No‐‐In the space below, please report the valuation basis of inputs purchased from related
suppliers as reported in the above‐referenced tables.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 23
III‐9a. Operations on aluminum extrusions.‐‐Report the revenue and related cost information
requested below on the aluminum extrusions 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 suppliers should be
consistent with and based on information in the firm’s accounting books and records. Provide
data for your firm’s six most recently completed fiscal years, and for the specified interim
periods. If your firm was involved in tolling operations (either as the toller or as the tollee),
please contact David Boyland at (202) 708‐4725 before completing this section of the
questionnaire.
Quantity (in short tons) and value (in $1,000)
Fiscal years ended‐‐
Item
2011
2012
2013
2014
2015
2
Net sales quantities:
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms
(“Transfers”)
0
0
0
0
0
Internal consumption
Transfers to related firms
0
0
0
0
0
Direct labor
Other factory costs
Total net sales quantities
2
Net sales values:
Commercial sales
Total net sales values
3
Cost of goods sold (COGS):
Raw materials
Total COGS
0
0
0
0
0
Gross profit or (loss)
0
0
0
0
0
Selling, general, and administrative
(SG&A) expenses:
Selling expenses
General and administrative
expenses
0
0
0
0
0
0
0
0
0
0
Total SG&A expenses
Operating income (loss)
Other expenses and income:
Interest expense
All other expense items
All other income items
0
0
0
0
0
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.
2
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.
Note ‐‐ The table above contains calculations that will appear when you have entered data in the MS
Word form fields.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 24
III‐9a. Operations on aluminum extrusions.‐‐Continued
Quantity (in short tons) and value (in $1,000)
Item
January‐September 2015
January‐September 2016
1
Net sales quantities:
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms (“Transfers”)
0
0
Internal consumption
Transfers to related firms
0
0
Total net sales quantities
Net sales values:2
Commercial sales
Total net sales values
3
Cost of goods sold (COGS):
Raw materials
Direct labor
Other factory costs
Total COGS
0
0
Gross profit or (loss)
0
0
Selling, general, and administrative (SG&A)
expenses:
Selling expenses
General and administrative expenses
0
0
0
0
All other expense items
All other income items
Total SG&A expenses
Operating income (loss)
Other expenses and income:
Interest expense
Net income or (loss) before income taxes
Depreciation/amortization included above
0
0
1
Include only sales (whether domestic or export) and costs related to your U.S. manufacturing operations.
2
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.
Note ‐‐ The table above contains calculations that will appear when you have entered data in the MS
Word form fields.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 25
III‐9b. Financial data reconciliation.‐‐The calculable line items from questions 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 financial results on aluminum
extrusions (table III‐9a).‐‐For each annual and interim 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 on
aluminum extrusions in table III‐9a.
Fiscal years ended‐‐
2011
2012
2013
January‐September
2014
2015
2015
2016
Nonrecurring item: In this column please provide a
Nonrecurring item: In these columns please report the amount of the relevant nonrecurring
brief description of each nonrecurring item and
item reported in table III‐9a (financial results on aluminum extrusions).
indicate the specific line item in table III‐9a where the
nonrecurring item is classified.
Value ($1,000)
1. , classified as
2. , classified as
3. , classified as
4. , classified as
5. , classified as
6. , classified as
7. , classified as
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 26
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 tables III‐10a, III‐10b, III‐10c,
and/or III‐10d above, please identify where your company recorded these items in your
accounting books and records in the normal course of business.
III‐12. Asset values: Aluminum extrusions.‐‐Report the total assets (i.e., both current and long‐term
assets) associated with the production, warehousing, and sale of aluminum extrusions. If your
firm does not maintain some or all of the specific asset information necessary to calculate total
assets for aluminum extrusions in the normal course of business, please estimate this
information based upon a method (such as production, sales, or costs) that is consistent with
relevant cost allocations in table III‐9a. Provide data as of the end of your firm’s six most
recently completed fiscal years. (Note: Total assets should reflect net assets after any
accumulated depreciation and allowances deducted. As reported in this table, total assets
should be allocated if they are also related to the operations of other products.) In the note to
table III‐12a, please provide a brief explanation if there were 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
2011
1
Aluminum extrusions‐total assets (net)
1
2012
2013
2014
2015
Describe
III‐13. Capital expenditures and research and development (R&D) expenses: Aluminum extrusions.‐‐
Report your firm’s capital expenditures and research and development expenses for aluminum
extrusions. Provide data for your firm’s six most recently completed fiscal years, and for the
specified interim periods.
Value (in $1,000)
Fiscal years ended‐‐
Item
Aluminum extrusions‐capital
expenditures1
2011
2012
2013
January‐September
2014
2015
2015
Aluminum extrusions‐R&D
expenses2
1
Please describe the nature, focus, and significance of your firm’s capital expenditures on aluminum extrusions:
2
Please describe the nature, focus, and significance of your firm’s R&D expenses related to operations on aluminum
extrusions:
2016
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 27
III‐14. Data consistency and reconciliation.‐‐Please indicate whether your firm’s financial data for
questions III‐9a, III‐12a, and III‐13a are based on a calendar year or your firm’s fiscal year:
Calendar year
Fiscal year Specify fiscal year
As applicable, please note the quantities and values reported in question III‐9a should reconcile
with the data (including export shipments) reported in question II‐6 as long as they are reported
on the same calendar year basis.
Do these data in questions III‐9a reconcile with data in questions II‐6?
Yes
No
If no, please explain.
III‐15. 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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 28
PART IV.‐‐PRICING AND MARKET FACTORS
Further information on this part of the questionnaire can be obtained from Emily Burke (202‐205‐3191,
[email protected]).
IV‐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 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 of the following products produced by your firm.
Product 1.—Mullions & Split‐Mullions, Anodized Finish, Unworked, Alloy in the 6000 series –
Size: 1.75” x 3” to 3” x 8”, Weight: 0.6lb/ft to 7lb/ft
Product 2.—Door/Window Frames and Sashes, Painted Finish, Unworked, Alloy in the 6000
series – Size: CCD: 0.75” to 6”, Weight: 0.2lb/ft to 2lb/ft
Product 3.—Hand Rails, Painted Finish, Unworked, Alloy in the 6000 series – Size: CCD: 0.5” to
6”, Weight: 0.15lb/ft to 8.25 lb/ft
Product 4.—Tub and shower components, Anodized and Bright Dip Finishes, Unworked, Alloys
in the 6000 series – Size: CCD: 0.6” to 3”, Weight: 0.1 lb/ft to 1 lb/ft
Product 5.—Pipe, Mill Finish, Unworked, Alloy in the 6000 series – Size: 1” to 5” Schedule 40 @
0.5 lb/ft to 5 lb/ft
Product 6.—Aluminum serpentine tubing, Alloy 1235, in widths of 25 to 28 inches.
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).
(a) During January 2011 ‐September 2016, 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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 29
IV‐2(b). Price data.‐‐Report below the quarterly price data1 for pricing products2 produced and sold by
your firm to unrelated U.S. customers.
Report data in actual pounds and actual dollars (not 1,000s).
(Quantity in pounds, value in dollars)
Product 1
Product 2
Quantity
Value
Quantity
Value
Product 3
Period of shipment
Quantity
Value
2011:
January‐March
April‐June
July‐September
October‐December
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
2015:
January‐March
April‐June
July‐September
October‐December
2016:
January‐March
April‐June
July‐September
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. If you provided data for
the following product(s), please note which alloy(s) are included in your data.
Product 1:
Product 2:
Product 3:
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 30
IV‐2(b). Price data.‐‐Report below the quarterly price data1 for pricing products2 produced and sold by
your firm to unrelated U.S. customers.
Report data in actual pounds and actual dollars (not 1,000s).
(Quantity in pounds, value in dollars)
Product 4
Product 5
Quantity
Value
Quantity
Value
Product 6
Period of shipment
Quantity
Value
2011:
January‐March
April‐June
July‐September
October‐December
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
2015:
January‐March
April‐June
July‐September
October‐December
2016:
January‐March
April‐June
July‐September
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. If you provided data for
the following product(s), please note which alloy(s) are included in your data.
Product 4:
Product 5:
Product 6:
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U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 31
IV‐2(c). Pricing data methodology.‐‐ Please describe the method and the kinds of documents/records
that were used to compile your price data.
Note: As requested in Part I of this questionnaire, please keep all supporting documents/records
used in the preparation of the price data, as Commission staff may contact your firm regarding
questions on the price data. The Commission may also request that your company submit copies
of the supporting documents/records (such as sales journal, invoices, etc.) used to compile these
data.
IV‐3.
Price setting.—
(a) How does your firm determine the prices that it charges for sales of aluminum
extrusions (check all that apply)? If your firm issues price lists, please submit sample
pages of a recent list.
Transaction
by
transaction
Contracts
Set
price
lists
Other
If other, describe
(b)
Does your firm use mechanisms to adjust the price charged for sales of aluminum
extrusions to purchasers to reflect changes in your primary aluminum costs?
No
Yes
If yes, describe.
(c)
How have the conversion costs (all non‐aluminum costs) for your firms’ sales of
aluminum extrusions changed since January 1, 2011?? What principal factors have
affected changes in these conversion costs?
Not
Applicable
Increased
(d)
Decreased
No
Fluctuated Change
Explanation
Do variations or changes in the LME, SHME, or other aluminum benchmarks affect your
overall prices and price lists?
No
Yes
If yes, describe.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
IV‐4.
Page 32
Discount policy.‐‐ Please indicate and describe your firm’s discount policies (check all that
apply).
Quantity
discounts
Annual
total
volume
discounts
IV‐5.
(a)
Describe
What are your firm’s typical sales terms for its U.S.‐produced aluminum extrusions?
Net 60
days
(b)
Other
Pricing terms.‐‐
Net 30
days
No
discount
policy
2/10 net
30 days
Other
Other (specify)
On what basis are your firm’s prices of domestic aluminum extrusions usually quoted
(check one)?
Delivered
F.o.b.
If f.o.b., specify point
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
IV‐6.
Page 33
Contract versus spot.‐‐ Approximately what share of your firm’s sales of its U.S.‐produced
aluminum extrusions in 2015 was on a (1) long‐term contract basis, (2) annual contract basis, (3)
short‐term contract basis, and (4) spot sales basis?
Long‐term
contracts
(multiple
deliveries for
more than 12
months)
Share of 2015
sales
IV‐7.
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
%
Contract provisions.— Please fill out the table regarding your firm’s typical sales contracts for
U.S.‐produced aluminum extrusions (or check “not applicable” if your firm does not sell on a
long‐term, short‐term and/or annual contract basis).
Long‐term contracts
(multiple deliveries for
more than 12 months)
365
Typical sales
contract provisions
Item
Average contract
duration
No. of
days
Price renegotiation
(during contract
period)
Yes
No
Quantity
Price
Both
Yes
No
Fixed quantity
and/or price
Meet or release
provision
Not applicable
IV‐8.
Lead times.‐‐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 aluminum extrusions?
Share of 2015 Lead time (average
Source
sales
number of days)
From inventory
%
Produced to order
%
Total (should sum to 100.0%)
Annual contracts
(multiple
deliveries for 12
months)
Short‐term contracts
(multiple deliveries
for less than 12
months)
0.0 %
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
IV‐9.
Page 34
Shipping information.‐‐
(a)
(b)
(c)
What is the approximate percentage of the total delivered cost of U.S.‐produced
aluminum extrusions that is accounted for by U.S. inland transportation costs? %
Who generally arranges the transportation to your firm’s customers’ locations?
Your firm Purchaser (check one)
Indicate the approximate percentage of your firm’s sales of aluminum extrusions that
are delivered the following distances from your firm’s 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 aluminum extrusions since January 1, 2011 (check all that apply)?
Geographic area
√ if applicable
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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 35
IV‐11. End uses.‐‐
(a)
List the end uses of the aluminum extrusions that your firm manufactures. For each
end‐use product, what percentage of the total cost is accounted for by aluminum
extrusions and other inputs?
Share of total cost of end use product
accounted for by
Total
(should sum to
100.0% across)
End use product
aluminum extrusions
Other inputs
%
%
0.0 %
%
%
0.0 %
%
%
0.0 %
(b)
Have there been any changes in the end uses of aluminum extrusions since January 1,
2011? Do you anticipate any future changes?
Changes in end
uses
No
Yes
Explain
Changes since
January 1, 2011
Anticipated
changes
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 36
IV‐12. Substitutes.‐‐
(a)
Can other products be substituted for aluminum extrusions?
No
Yes‐‐Please fill out the table.
End use in which this
substitute is used
Substitute
Have changes in the price of this substitute
affected the price for aluminum extrusions?
No Yes
Explanation
1.
2.
3.
(b)
Have there been any changes in the number or types of products that can be
substituted for aluminum extrusions since January 1, 2011? Do you anticipate any future
changes?
Changes in
substitutes
No Yes
Explain
Changes since
January 1, 2011
Anticipated
changes
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 37
IV‐13. Availability of supply.‐‐Has the availability of aluminum extrusions in the U.S. market changed
since January 1, 2011? Do you anticipate any future changes?
Availability in the U.S.
Please explain, noting the countries and reasons for the
market
No Yes changes.
Changes since January 1, 2011:
U.S.‐produced product
Subject imports
Nonsubject imports
U.S.‐produced product
Subject imports
Nonsubject imports
Anticipated changes:
IV‐14. Finishing.— If your firm sells finished aluminum extrusions, would your customers accept
unfinished aluminum extrusions if finished extrusions were not available?
Explanation
Other
Yes
Not
No
Applicable (Please (Please (Please
explain) explain) explain)
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 38
IV‐15. Demand trends.‐‐ Indicate how demand within the United States and outside of the United
States (if known) for aluminum extrusions has changed since January 1, 2011, and how you anticipate
demand will change in the future. Explain any trends and describe the principal factors that have
affected, and that you anticipate will affect, these changes in demand.
Market
Fluctuate
Overall
No
Overall
with no
increase change decrease clear trend
Explanation and factors
Demand since January 1, 2011
Within
the United
States
Outside
the United
States
Anticipated future demand
Within
the United
States
Outside
the United
States
IV‐16. Product changes.‐‐ Have there been any significant changes in the product range, product mix,
or marketing of aluminum extrusions since January 1, 2011? Do you anticipate any future
changes?
Changes in
product range,
product mix, or
marketing
No Yes
Changes since
January 1, 2011
Anticipated
changes
Explain
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 39
IV‐17. Conditions of competition.‐‐
(a) Is the aluminum extrusions market subject to business cycles (other than general economy‐
wide conditions) and/or other conditions of competition distinctive to aluminum extrusions?
Check all that apply.
Please describe.
No
Skip to question IV‐18.
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
aluminum extrusions since January 1, 2011?
No
Yes
If yes, describe.
IV‐18. Supply constraints.‐‐Has your firm refused, declined, or been unable to supply aluminum
extrusions since January 1, 2011 (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‐19. Raw materials.‐‐ Indicate how aluminum extrusions raw material prices have changed since
January 1, 2011, and how you expect they will change in the future.
Raw
materials
prices
Fluctuate
with no
clear
Overall
No
Overall
trend
increase change decrease
Explain, noting how raw material
price changes have affected your
firm’s selling prices for aluminum
extrusions.
Changes since
January 1,
2011
Anticipated
changes
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 40
IV‐20. Price comparisons.‐‐Please compare market prices of aluminum extrusions in U.S. and non‐U.S.
markets, if known. Provide specific information as to time periods and regions for any price
comparisons.
IV‐21. Market studies.‐‐Please provide as a separate attachment to this request any studies, surveys,
etc. that you are aware of that quantify and/or otherwise discuss aluminum extrusions supply
(including production capacity and capacity utilization) and demand in (1) the United States, (2)
each of the other major producing/consuming countries, including China, and (3) the world as a
whole. Of particular interest is such data from 2011 to the present and forecasts for the future.
IV‐22. Export constraints.‐‐Describe how easily your firm can shift its sales of aluminum extrusions
between the U.S. market and alternative country markets. In your discussion, please describe
any contracts, other sales arrangements, or other constraints that would prevent or retard your
firm from shifting aluminum extrusions between the U.S. and alternative country markets within
a 12‐month period.
IV‐23. Barriers to trade.‐‐Are your firm’s exports of aluminum extrusions subject to any tariff or non‐
tariff barriers to trade in other countries?
No
Yes
If yes, please list the countries and describe any such barriers and any
significant changes in such barriers that have occurred since January 1,
2011, or that are expected to occur in the future.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 41
IV‐24. Interchangeability.‐‐Are aluminum extrusions 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
China
Other countries
United States
China
For any country‐pair producing aluminum extrusions that is sometimes or never
interchangeable, identify the country‐pair and explain the factors that limit or
preclude interchangeable use:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 42
IV‐25. Factors other than price.‐‐Are differences other than price (e.g., quality, availability,
transportation network, product range, technical support, etc.) between aluminum extrusions
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
China
Other countries
United States
China
For any country‐pair for which factors other than price always or frequently are
a significant factor in your firm’s sales of aluminum extrusions, identify the
country‐pair and report the advantages or disadvantages imparted by such
factors:
IV‐26. 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.
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 43
PART V.‐‐ALTERNATIVE PRODUCT INFORMATION
Further information on this part of the questionnaire can be obtained from Justin Enck (202‐205‐3363),
[email protected]) and/or David Boyland (202‐708‐4725, [email protected]).
Note.‐‐The alternative product comparison questions in V‐1 are being asked in the U.S. producers' and
U.S. purchasers' questionnaire types. If your firm is completing both of these questionnaire types in
relation to this proceeding, please only respond to the alternative product comparison questions in Part
V‐1 in only one questionnaire type, in particular, the type that is most relevant to your firm's role in the
market. Data tables should be completed in all relevant questionnaire types.
V‐1. Comparability of aluminum extrusions and other aluminum products (defined on pages 2‐4).‐‐
For each of the following indicate whether aluminum extrusions and other aluminum products
are:
F: fully comparable or the same, i.e., have no differentiation between them;
M: mostly comparable or similar;
S: somewhat comparable or similar;
N: never or not‐at‐all comparable or similar; or
0: no familiarity with products.
(a)
Physical Characteristics and Uses.‐‐The differences and similarities in the physical
characteristics and end uses between aluminum extrusions and other aluminum
products.
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their
physical characteristics and uses:
(b)
Interchangeability.‐‐The ability to substitute aluminum extrusions and other aluminum
products in the same application.
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their
interchangeability:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐1.
Page 44
Comparability of aluminum extrusions and other aluminum products.‐‐Continued
(c)
Manufacturing facilities, production processes, and production employees.‐‐ Whether
aluminum extrusions and other aluminum products are manufactured in the same
facilities, from the same inputs, on the same machinery and equipment, and using the
same employees.
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their
manufacturing facilities, production processes, and production employees:
(d)
Channels of distribution.‐‐ Channels of distribution/market situation through which
aluminum extrusions and other aluminum products are sold (i.e., sold direct to end
users, through wholesaler/distributors, etc.).
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their
channels of distribution:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐1.
Page 45
Comparability of aluminum extrusions and other aluminum products.‐‐Continued
(e)
Customer and producer perceptions.‐‐Perceptions as to the differences and/or
similarities in aluminum extrusions and other aluminum products in the market (e.g.,
sales/marketing practices).
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their
customer and producer perceptions:
(f)
Price.‐‐Whether prices are comparable or differ between aluminum extrusions and
other aluminum products.
Product‐pair
All other aluminum
extrusions
Fin evaporator coil systems
Fittings for engine cooling systems
Please provide a narrative discussion for the comparability ratings you provided in terms of their prices:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐2.
Page 46
Production, shipment, and inventory data.‐‐Report your firm’s production capacity, production,
shipments, and inventories related to the production of fin evaporator coil systems (a subset of
all aluminum extrusions defined on pages 2‐4 and reported in aggregates in Parts II and III of
this questionnaire) in its U.S. establishment(s) during the specified periods.
FIN EVAPORATOR COIL SYSTEMS
Quantity (in short tons) and value (in $1,000)
Calendar year
Item
2011
2012
2013
January‐September
2014
2015
2015
2016
1
Average production capacity
(quantity) (A)
Beginning‐of‐period inventories
(quantity) (B)
Production (quantity) (C)
U.S. shipments:
Commercial shipments:
quantity (D)
value (E)
2
Internal consumption:
quantity (F)
value (G)
2
Transfers to related firms:
quantity (H)
value (I)
3
Export shipments:
quantity (J)
value (K)
End‐of‐period inventories
(quantity) (L)
Channels of distribution:
Commercial U.S.
shipments.—
to wholesaler/distributors
(quantity) (M)
to end users (quantity) (N)
1
The production capacity 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 should 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: .
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐2.
Page 47
Production, shipment, and inventory data.‐‐Continued
RECONCILIATION OF SHIPMENTS, PRODUCTION, AND INVENTORY.‐‐Generally, the data reported for the
end‐of‐period 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 reflect your firm’s actual
records; and, also provide explanations for any differences (e.g., theft, loss, damage, record systems
issues, etc.) if they exist.
Calendar year
Item
B + C – D – F – H – J –
L = should equal zero
("0") or provide an
explanation.1
2011
0
2012
2013
0
0
January‐September
2014
0
2015
0
2015
0
2016
0
1
Explanation if the calculated fields above are returning values other than zero (i.e., “0”) but are
nonetheless accurate: .
RECONCILIATION OF CHANNELS.‐‐Please ensure that the quantities reported for channels of distribution
(i.e., lines M and N) in each time period equal the quantity reported for commercial U.S. commercial
shipments (i.e., line D) in each time period. If the calculated fields below return values other than zero
(i.e., “0”), the data reported must be revised prior to submission to the Commission.
Calendar year
Reconciliation item
M + N – D = zero
("0"), if not revise.
2011
0
2012
0
2013
0
January‐September
2014
0
2015
0
2015
0
2016
0
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐3.
Page 48
Employment data.‐‐Report your firm’s employment‐related data related to the domestic (U.S.)
production of fin evaporator coil systems and provide an 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 domestic (U.S.) production operations. Do not report employment data for
production occurring outside of the United States or employment data for U.S. sales of products
manufactured outside the United States.
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. For the January to September periods, calculate similarly and divide by 9.
“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.
FIN EVAPORATOR COIL SYSTEMS
Calendar year
Item
2011
2012
2013
January‐September
2014
2015
2015
2016
Employment data:
Average number of PRWs
(number) (O)
Hours worked by PRWs
(1,000 hours) (P)
Wages paid to PRWs
($1,000) (Q)
Explanation of trends:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐4.
Page 49
Operations on fin evaporator coil systems.‐‐Report the revenue and related cost information
requested below on the fin evaporator coil systems operations of your firm’s U.S.
establishment(s).1
FIN EVAPORATOR COIL SYSTEMS
Quantity (in short tons) and value (in $1,000)
January‐September
Fiscal years ended‐‐
Item
2011
2012
2013
2014
2015
2015
2016
2
Net sales quantities:
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms
(“Transfers”)
0
0
0
0
0
0
0
Total net sales quantities
2
Net sales values:
Commercial sales
Internal consumption
Transfers to related firms
0
0
0
0
0
0
0
Total net sales values
3
Cost of goods sold (COGS):
Raw materials
Direct labor
Other factory costs
Total COGS
0
0
0
0
0
0
0
Gross profit or (loss)
0
0
0
0
0
0
0
Selling, general, and administrative
(SG&A) expenses:
Selling expenses
General and administrative
expenses
0
0
0
0
0
0
0
0
0
0
0
0
0
0
All other expense items
All other income items
0
0
0
0
0
0
0
Total SG&A expenses
Operating income (loss)
Other expenses and income:
Interest expense
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.
Note.‐‐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 suppliers should be consistent with and based on information in the firm’s accounting books and records. Provide data for
your firm’s six most recently completed fiscal years, and for the specified interim periods. If your firm was involved in tolling operations (either as
the toller or as the tollee), please contact David Boyland at (202) 708‐4725 before completing this section of the questionnaire. (Note: financial
results on fin evaporator coil systems is a subset of financial results on aluminum extrusions reported in table III‐9a. Financial results on fin
evaporator coil systems should be reported in a manner that is consistent with table III‐9a.)
2
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 50
V‐5.
Asset values: Fin evaporator coil systems.‐‐As applicable, report the total assets (i.e., both
current and long‐term assets) associated with the production, warehousing, and sale of fin
evaporator coil systems. If your firm does not maintain some or all of the specific asset
information necessary to calculate total assets related to operations on fin evaporator coil
systems in the normal course of business, please estimate this information based upon a
method (such as production, sales, or costs) that is consistent with relevant cost allocations in
table V‐4. Provide data as of the end of your firm’s six most recently completed fiscal years.
(Note: Total assets should reflect net assets after any accumulated depreciation and allowances
deducted. As reported in this table, total assets should be allocated if they are also related to
the operations of other products.) In the notes to table V‐5, please provide a brief explanation if
there were any substantial changes in total asset value during the period; e.g., due to asset
write‐offs, revaluation, and major purchases. (Note: total asset amounts for fin evaporator coil
systems are subsets of the total assets amounts for aluminum extrusions reported in table III‐12.
The manner in which total assets are assigned to operations on fin evaporator coil systems and
fittings for engine cooling systems should be consistent with the manner in which total assets
were assigned to aluminum extrusions (III‐12).)
FIN EVAPORATOR COIL SYSTEMS
Value (in $1,000)
Fiscal years ended‐‐
Item
2010
1
Total assets (net)
1
2011
2012
2013
2014
2015
Describe
V‐6.
Capital expenditures and R&D expenses: Fin evaporator coil systems .‐‐Report your firm’s
capital expenditures and R&D expenses for fin evaporator coil systems. Provide data for your
firm’s six most recently completed fiscal years, and for the specified interim periods. (Note:
capital expenditures and R&D expenses for fin evaporator coil systems are subsets of capital
expenditures and R&D expenses for operations on aluminum extrusions as reported in table III‐
13. The manner in which capital expenditures and R&D expenses are assigned to operations on
fin evaporator coil systems should be consistent with the manner in which capital expenditures
and R&D expenses were assigned to operations on aluminum extrusions (III‐13).)
FIN EVAPORATOR COIL SYSTEMS
Value (in $1,000)
Fiscal years ended‐‐
Item
2010
1
Capital expenditures
2
R&D expenses
2011
2012
2013
January‐September
2014
2015
1
2015
2016
Please describe the nature, focus, and significance of your firm’s capital expenditures on fin evaporator coil systems:
2
Please describe the nature, focus, and significance of your firm’s R&D expenses related to operations on fin evaporator coil systems:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐7.
Page 51
Production, shipment, and inventory data.‐‐Report your firm’s production capacity, production,
shipments, and inventories related to the production of fittings for engine cooling systems (a
subset of all aluminum extrusions defined on pages 2‐4 and reported in aggregates in Parts II
and III of this questionnaire) in its U.S. establishment(s) during the specified periods.
FITTINGS FOR ENGINE COOLING SYSTEMS
Quantity (in short tons) and value (in $1,000)
Calendar year
Item
2011
2012
2013
January‐September
2014
2015
2015
2016
1
Average production capacity
(quantity) (A)
Beginning‐of‐period inventories
(quantity) (B)
Production (quantity) (C)
U.S. shipments:
Commercial shipments:
quantity (D)
value (E)
2
Internal consumption:
quantity (F)
value (G)
2
Transfers to related firms:
quantity (H)
value (I)
3
Export shipments:
quantity (J)
value (K)
End‐of‐period inventories
(quantity) (L)
Channels of distribution:
Commercial U.S.
shipments.—
to wholesaler/distributors
(quantity) (M)
to end users (quantity) (N)
1
The production capacity 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 should 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: .
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐7.
Page 52
Production, shipment, and inventory data.‐‐Continued
RECONCILIATION OF SHIPMENTS, PRODUCTION, AND INVENTORY.‐‐Generally, the data reported for the
end‐of‐period 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 reflect your firm’s actual
records; and, also provide explanations for any differences (e.g., theft, loss, damage, record systems
issues, etc.) if they exist.
Calendar year
Item
B + C – D – F – H – J –
L = should equal zero
("0") or provide an
explanation.1
2011
0
2012
2013
0
0
January‐September
2014
0
2015
0
2015
0
2016
0
1
Explanation if the calculated fields above are returning values other than zero (i.e., “0”) but are
nonetheless accurate: .
RECONCILIATION OF CHANNELS.‐‐Please ensure that the quantities reported for channels of distribution
(i.e., lines M and N) in each time period equal the quantity reported for commercial U.S. commercial
shipments (i.e., line D) in each time period. If the calculated fields below return values other than zero
(i.e., “0”), the data reported must be revised prior to submission to the Commission.
Calendar year
Reconciliation item
M + N – D = zero
("0"), if not revise.
2011
0
2012
0
2013
0
January‐September
2014
0
2015
0
2015
0
2016
0
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐8.
Page 53
Employment data.‐‐Report your firm’s employment‐related data related to the production of
fittings for engine cooling systems and provide an 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. For the January to September periods, calculate similarly and divide by 9.
“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.
FITTINGS FOR ENGINE COOLING SYSTEMS
Calendar year
Item
2011
2012
2013
January‐September
2014
2015
2015
2016
Employment data:
Average number of PRWs
(number) (O)
Hours worked by PRWs
(1,000 hours) (P)
Wages paid to PRWs
($1,000) (Q)
Explanation of trends:
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
V‐9.
Page 54
Operations on fittings for engine cooling systems .‐‐Report the revenue and related cost
information requested below on the fittings for engine cooling systems operations of your
firm’s U.S. establishment(s).1
FITTINGS FOR ENGINE COOLING SYSTEMS
Quantity (in short tons) and value (in $1,000)
January‐September
Fiscal years ended‐‐
Item
2011
2012
2013
2014
2015
2015
2016
2
Net sales quantities:
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms
(“Transfers”)
0
0
0
0
0
0
0
Total net sales quantities
2
Net sales values:
Commercial sales
Internal consumption
Transfers to related firms
0
0
0
0
0
0
0
Total net sales values
3
Cost of goods sold (COGS):
Raw materials
Direct labor
Other factory costs
Total COGS
0
0
0
0
0
0
0
Gross profit or (loss)
0
0
0
0
0
0
0
Selling, general, and administrative
(SG&A) expenses:
Selling expenses
General and administrative
expenses
0
0
0
0
0
0
0
0
0
0
0
0
0
0
All other expense items
All other income items
0
0
0
0
0
0
0
Total SG&A expenses
Operating income (loss)
Other expenses and income:
Interest expense
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.
Note.‐‐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 suppliers should be consistent with and based on information in the firm’s accounting books and records. Provide data for
your firm’s six most recently completed fiscal years, and for the specified interim periods. If your firm was involved in tolling operations (either as
the toller or as the tollee), please contact David Boyland at (202) 708‐4725 before completing this section of the questionnaire. (Note: financial
results on fittings for engine cooling systems is a subset of financial results on aluminum extrusions reported in table III‐9a. Financial results on
fittings for engine cooling systems should be reported in a manner that is consistent with table III‐9a.)
2
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 55
V‐10. Asset values: Fittings for engine cooling systems .‐‐As applicable, report the total assets (i.e.,
both current and long‐term assets) associated with the production, warehousing, and sale of
fittings for engine cooling systems. If your firm does not maintain some or all of the specific
asset information necessary to calculate total assets related to operations on fittings for engine
cooling systems in the normal course of business, please estimate this information based upon
a method (such as production, sales, or costs) that is consistent with relevant cost allocations in
table V‐4. Provide data as of the end of your firm’s six most recently completed fiscal years.
(Note: Total assets should reflect net assets after any accumulated depreciation and allowances
deducted. As reported in this table, total assets should be allocated if they are also related to
the operations of other products.) In the notes to table V‐5, please provide a brief explanation if
there were any substantial changes in total asset value during the period; e.g., due to asset
write‐offs, revaluation, and major purchases. (Note: total asset amounts for fittings for engine
cooling systems are subsets of the total assets amounts for aluminum extrusions reported in
table III‐12. The manner in which total assets are assigned to operations on fittings for engine
cooling systems and fittings for engine cooling systems should be consistent with the manner
in which total assets were assigned to aluminum extrusions (III‐12).)
FITTINGS FOR ENGINE COOLING SYSTEMS
Value (in $1,000)
Fiscal years ended‐‐
Item
2010
1
Total assets (net)
1
2011
2012
2013
2014
2015
Describe
V‐11. Capital expenditures and R&D expenses: Fittings for engine cooling systems .‐‐Report your
firm’s capital expenditures and R&D expenses for fittings for engine cooling systems. Provide
data for your firm’s six most recently completed fiscal years, and for the specified interim
periods. (Note: capital expenditures and R&D expenses for fittings for engine cooling systems
are subsets of capital expenditures and R&D expenses for operations on aluminum extrusions as
reported in table III‐13. The manner in which capital expenditures and R&D expenses are
assigned to operations on fittings for engine cooling systems should be consistent with the
manner in which capital expenditures and R&D expenses were assigned to operations on
aluminum extrusions (III‐13).)
FITTINGS FOR ENGINE COOLING SYSTEMS
Value (in $1,000)
Fiscal years ended‐‐
Item
2010
1
Capital expenditures
2
R&D expenses
2011
2012
2013
January‐September
2014
2015
1
2015
2016
Please describe the nature, focus, and significance of your firm’s capital expenditures on fittings for engine cooling systems :
Please describe the nature, focus, and significance of your firm’s R&D expenses related to operations on fittings for engine cooling systems
:
2
Business Proprietary
U.S. Producers’ Questionnaire ‐ aluminum extrusions
Page 56
HOW TO FILE YOUR QUESTIONNAIRE RESPONSE
This questionnaire is available as a “fillable” form in MS Word format on the
Commission’s website at:
http://wwwadmin.usitc.gov/investigations/701731/2016/aluminum_extrusions_chi
na/full_review.htm
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: ALUM
• E‐mail.—E‐mail the MS Word questionnaire to [email protected]; include a scanned copy of the
signed certification page (page 1). Submitters are strongly encouraged to encrypt nonpublic documents
that are electronically transmitted to the Commission to protect your sensitive information from
unauthorized disclosure. The USITC secure drop‐box system and the Electronic Document Information
System (EDIS) use Federal Information Processing Standards (FIPS) 140‐2 cryptographic algorithms to
encrypt data in transit. Submitting your nonpublic documents by a means that does not use these
encryption algorithms (such as by email) may subject your firm’s nonpublic information to unauthorized
disclosure during transmission. If you choose a non‐encrypted method of electronic transmission, the
Commission warns you that the risk of such possible unauthorized disclosure is assumed by you 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.
| File Type | application/pdf |
| File Title | Microsoft Word - US Producer questionnaire |
| Author | justin.enck |
| File Modified | 2016-10-19 |
| File Created | 2016-10-19 |