Form 332-557 Unwrought and Wrought Aluminum Questionnaire

Aluminum: Competitive Conditions Affecting the U.S. Industry

usitc_alum_survey_v98_omb

Unwrought and Wrought Aluminum Questionnaire

OMB: 3117-0229

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UNWROUGHT AND WROUGHT ALUMINUM QUESTIONNAIRE
DRAFT Interactive Completion Version
United States International Trade Commission
Attention: Aluminum Survey Project Team
Office of Industries, Room 511-G
500 E Street, SW, Washington, DC 20436
Fax: 202-205-2217
The U.S. International Trade Commission (USITC or Commission) is conducting a fact-finding investigation on the factors
affecting the global competitiveness of the U.S. aluminum industry, focusing on unwrought and wrought aluminum products
and related markets. The House Committee on Ways and Means requested this investigation, and has directed the USITC to
collect data from market participants. By completing this questionnaire, you will be helping the Committee assess the market
conditions confronting the U.S. industry.
Please read the questionnaire carefully. In all cases, section 1, questions 2.1, 3.1, and 4.1, and sections 5 and 6 must be
completed. Sections 2, 3, and 4 must be completed depending on your responses to questions 2.1, 3.1, and 4.1.
You can learn more about this investigation (no. 332-557) by clicking on the following button:
Link to USITC website

Your organization is required by law to respond to this questionnaire.
Please read all instructions and return the completed questionnaire
to the USITC no later than XXXX XX, 2016.
We are requesting this information under the authority of section 332(g) of the Tariff Act of 1930 (19 U.S.C. §
1332(g)). Completing the questionnaire is mandatory, and failure to reply as directed can result in a
subpoena or other order to compel the submission of records or information in your possession (19 U.S.C. §
1333(a)). For more information on this questionnaire, contact project team members Karl Tsuji or Mihir
Torsekar at [email protected]. You may also call the team at 202-XXX-XXXX or 202-XXX-XXXX.

Confidentiality
The Commission has designated as “confidential business information” the information you provide in response to this
questionnaire, to the extent that such information would reveal the operations of your organization and is not otherwise
available to the public. The Commission will not disclose such confidential business information except as provided for in
section 5 of this questionnaire. Information received in response to this questionnaire will be aggregated with information
from other questionnaire responses and will not be published in a manner that would reveal the operations of your
organization.
OMB no. 3117-XXXX; Expiration date: XX/XX/20XX
No response is required if a currently valid OMB control number is not displayed

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

Instructions
1. Completing the questionnaire. The best way to answer this questionnaire is to use an interactive version that is available
online. If you do not have this version, retrieve it from the webpage shown below. Follow the instructions on this web page
and save the questionnaire to your computer. Use this version of the questionnaire if you are completing it interactively.
https://www.usitc.gov/aluminum
If you prefer not to use the interactive version, you must contact the project team (see cover for contact information) and
request a hard copy of the questionnaire. This is the only way to obtain a hard copy of the questionnaire; if you print out the
interactive version, you will not have access to drop-down menus, and critical information will be missing.
2. Accessing the file. Open the questionnaire file using Adobe Reader software. If you have an old version of this software,
you may be prompted by your computer operating system to upgrade (this is free software). Contact the project team if
you cannot open the file (see cover for contact information). Mac users: Please do not use the "Preview" application.
Launch the Reader software and open the questionnaire in this application.
Note: Once opened, the file will accept information. It has been designed to make it easy for you to complete the
questionnaire electronically, and to minimize the need for the Commission's project team to contact you for
clarifications.
3. Entering information. Answer each question that applies to your organization. You can answer questions using the
provided checkboxes, drop-down lists, and type-in entry areas. These entry areas are normally highlighted in blue, although
this color may vary depending on your computer's settings.

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You will not be able to change the questionnaire itself or enter information outside the entry areas. Certain type-in entry
areas will accept only numbers and not text.
4. Navigation. Move to entry areas by clicking on them. You can use the tab key to do this, but only within a page. Use the
navigation buttons on the bottom of the page to move directly to a specific section.
5. Entering numeric data. Enter data for production, shipments, employment, etc., in full figures, not in thousands, millions,
or similar format. See the table below for examples.
How to report numeric figures

If a production value is $1,200,500, enter in full figures as:

1200500

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

1550

Note: After you enter a numeric figure, commas between digits will appear automatically.
6. Units of quantity. All quantities should be reported in metric tons (1 metric ton = 1.12031 short ton).
7. Saving and submitting the questionnaire. Save your questionnaire as an Acrobat PDF file and do not convert it to
another file format. The preferred method of submission is transmitting your completed questionnaire to our secure drop
box at the website shown below (you will need a PIN to do so). Please see section 6 for all submission options.
The PIN is 1969.
https://dropbox.usitc.gov
8. Follow up. The Commission will be compiling the information from the questionnaire responses to analyze the global
competitiveness of the U.S. aluminum industry. During the analysis phase, we may contact you for follow up discussions
about interpreting the data and other issues affecting the industry.
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USITC Aluminum Questionnaire - DRAFT Interactive completion version

General information
1. Coordinating your organization's response. If separate persons or departments within your organization will share
responsibility for completing this questionnaire, coordinate your responses so that the information your organization gives
us is consistent. This will minimize our need to contact you for clarifications.
2. Relationship to corporate structure. Provide a single response for your organization's activities. This may require your
organization to combine information from two or more business units.
If it is not possible to combine responses, or it is unreasonably burdensome, your organization may provide separate
responses for business units, but ensure that the information is complete and that there is no double-counting. If you
have joint venture organizations operating in the United States, ensure there is no double-counting with other business
units of the joint venture partners.
3. U.S. affiliates of foreign companies. Respond as if the affiliate were an independent organization operating in the United
States. For example, show production for the affiliate and its subsidiaries only, and not for the foreign corporation.
4. "You" and "Your." Parts of the questionnaire refer to “you” and “your.” These words refer to the organization that is
responding to the questionnaire.
5. "United States." This refers to the customs territory of the United States, which includes the 50 states, the District of
Columbia, and Puerto Rico.

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6. Year. All references to "years" mean "calendar years." If you normally use fiscal years, convert to a calendar year basis for
the responses in this questionnaire.
7. Questionnaire structure. This questionnaire is composed of six sections, as shown below.

Table of Contents

Item

Page

Instructions

General information

Definitions

Sections

First Page

1. Basic information

2. Primary unwrought aluminum

3. Secondary unwrought aluminum

4. Wrought aluminum

5. Certification

6. Submitting the questionnaire

Instructions

Definitions

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

Definitions
1. Aluminum and aluminum alloy series: A system of classifying aluminum and aluminum alloys based on chemical
composition. Classifications are designated using a 4-number nomenclature. For example, the 2XXX series includes copper
as the main alloying metal. For more information, go to:
Aluminum and aluminum alloy classification
2. Aluminum, unalloyed: Metal containing by weight at least 99 percent of aluminum, meeting the chemical composition of
series 1XXX.
A. High-purity aluminum: Metal with at least 99.8 percent aluminum.
3. Aluminum, alloyed: All other metals in which aluminum predominates by weight, meeting the composition of all series
except 1XXX.
4. Unwrought aluminum: Aluminum products in the form of ingots, blocks, billets, slabs and similar manufactured forms.
This term does not encompass rolled, forged, drawn, or extruded products, tubular products, or cast or sintered forms which
have been machined or processed, other than by simple trimming, scalping, or descaling. These products include the
following types:
A. Primary unwrought aluminum: Aluminum produced directly from bauxite or alumina, typically at a primary smelter.
Aluminum alloys produced subsequently are also included.

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B. Secondary unwrought aluminum: Aluminum and aluminum alloys that are typically produced at secondary smelters,
cast houses, or remelters. Usually produced from scrap, but may also be produced using a combination of aluminum
scrap and primary aluminum.
5. Wrought aluminum: Rolled, drawn, extruded, or otherwise mechanically formed products of aluminum or aluminum
alloys. For the purposes of this questionnaire, forged products are not included. Also, near net shape cast products (e.g.,
automobile engine block) are not included. Wrought aluminum product groups include:
A. Plate products: Flat-surfaced products (other than the unwrought products of U.S. Harmonized Tariff Schedule (HTS)
heading 7601) of a uniform thickness greater than one-quarter inch (6.3 mm), coiled or not, of solid rectangular (other
than square) cross-section with or without rounded corners (including "modified rectangles" of which two opposite sides
are convex arcs, the other two sides being straight, of equal length and parallel). Products may be of a rectangular
(including square) shape with a thickness not exceeding one-tenth of the width, or shapes other than rectangular or
square, of any size, provided that they do not assume the character of other products. Encompasses plates with patterns
(for example, grooves, ribs, checkers, tears, buttons, lozenges), including when such products which have been
perforated, corrugated, polished, or coated.
B. Sheet, strip, and foil products: Flat-surfaced products (other than the unwrought products of U.S. Harmonized Tariff
Schedule (HTS) heading 7601) of a uniform thickness equal to or less than one-quarter inch (6.3 mm), coiled or not, of
solid rectangular (other than square) cross-section with or without rounded corners (including "modified rectangles" of
which two opposite sides are convex arcs, the other two sides being straight, of equal length and parallel). Products may
be of a rectangular (including square) shape with a thickness not exceeding one-tenth of the width, or shapes other than
rectangular or square, of any size, provided that they do not assume the character of other products. Encompasses sheet,
strip, and foil with patterns (for example, grooves, ribs, checkers, tears, buttons, lozenges), including when such products
which have been perforated, corrugated, polished, or coated.

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Definitions-Contined
C. Wire products: Rolled, extruded, or drawn products, in coils, which have a uniform solid cross-section along their
whole length in the shape of circles, ovals, rectangles (including squares), equilateral triangles or regular convex polygons
(including "flattened circles" and "modified rectangles," of which two opposite sides are convex arcs, the other two sides
being straight, of equal length and parallel). Products with a rectangular (including square), triangular or polygonal crosssection may have corners rounded along their whole length. The thickness of rectangular products (including "modified
rectangular") have a cross-section that exceeds one-tenth of the width.
D. Bars and rods: Rolled, extruded, or drawn products, not in coils, which have a uniform solid cross-section along their
whole length in the shape of circles, ovals, rectangles (including squares), equilateral triangles, or regular convex
polygons (including "flattened circles" and "modified rectangles," of which two opposite sides are convex arcs, the other
two sides being straight, of equal length and parallel). Products with a rectangular (including square), triangular or
polygonal cross-section may have corners rounded along their whole length. The thickness of rectangular products
(including "modified rectangular") have a cross-section that exceeds one-tenth of the width.
E. Profiles: Rolled, extruded, drawn, forged, or formed products, coiled or not, of a uniform cross-section along their
whole length, which do not conform to any of the definitions of bars, rods, wire, plates, sheets, strip, foil, tubes, or pipes.
F. Tube and pipe products: Hollow products, coiled or not, which have a uniform cross-section with only one enclosed
void along their whole length in the shape of circles, ovals, rectangles (including squares), equilateral triangles, or regular
convex polygons, and which have a uniform wall thickness. Products with a rectangular (including square), equilateral
triangular, or regular convex polygonal cross-section, which may have corners rounded along their whole length, are also
to be considered as tubes and pipes, provided the inner and outer cross-sections are concentric and have the same form
and orientation. Tubes and pipes of the foregoing cross-sections may be polished, coated, bent, threaded, drilled,
waisted, expanded, or cone-shaped, or fitted with flanges, collars, or rings.

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6. Capital expenditures: Expenditures for (1) plant construction, (2) improvements to existing plant and equipment, and (3)
purchases of new or existing plant, property, machinery, and equipment. Include direct expenditures by your firm, and
expenditures by other firms (e.g., construction companies) done for your firm. Capital expenditures for R&D-related property,
plant, and equipment are included in this category. Expenses for routine maintenance and repair are not included.
Investments in financial instruments are also not included.
7. Employee and FTE: The term "employee" refers only to your firm's employees at facilities located in the United States. The
term includes production and related workers, warehouse/distribution workers, sales staff, managers, supervisors,
technicians, and office workers related to the activity of manufacturing the products covered in this section. All employee
figures should be reported on a full-time equivalent (FTE) basis. The term "FTE" reflects the total number of regular straighttime hours worked by employees, divided by the number of compensable hours applicable to each calendar year. Hours
related to annual leave, sick leave, and compensatory time off and other approved leave categories are considered to be
"hours worked." But overtime or holiday hours are not considered "hours worked."
Other definitions appear in the sections that follow.

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Section 1: Basic Information
1.1

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

1.2

List your organization's primary address and a contact person. If you are reporting information for a subsidiary instead
of a single response for your whole organization, adjust the organization name below to indicate that (for example,
Unwrought Aluminum Corp. - Virginia operations).

Organization name
Address
City

State

Contact person's name

Website address (www.name.domain)

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Contact person's location

Contact person's job title

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

Zip code

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

Is the organization named above a subsidiary of an organization operating in the United States?
Yes

Parent company name:

If this questionnaire has been sent to one or more subsidiaries and/or the related parent company, there should be
one coordinated response. If it is not possible to coordinate responses, or it is unreasonably burdensome, your
organization may provide separate responses for subsidiaries, but ensure that the information is complete for your
entire organization and that there is no double-counting.
1.4

Is the organization named above a parent company operating in the United States?
Yes
No
If your organization is a parent company, this submission should reflect all the activities of the subsidiaries that have
U.S. operations. Alternatively, each subsidiary with U.S. operations may provide a separate questionnaire response. In
that case, note the instructions in 1.3 above.

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Section 2: Primary unwrought aluminum
2.1

Did your organization produce any primary unwrought aluminum products (including products made of aluminum
alloys) in facilities located in the United States at any time during 2011-2015? Read the product definitions on page 4
carefully before answering this question.
Yes
No
Note: If you produce these products and then use them to produce a downstream product ("captive
consumption"), check "Yes" above. For example, if you produce primary unwrought aluminum billets and make
extruded products with these billets, you are considered to be an unwrought producer for the purposes of this
questionnaire.

If you answered "Yes" to question 2.1, please go to the next question.
Go to Section 3

If you answered "No" to question 2.1, please go to section 3.

How to report numeric data
2.2

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Provide the value of any capital expenditures your firm made in primary unwrought (unalloyed and alloyed) aluminum
production activities during 2011-2015 in the United States. Do not include capital expenditures, if any, made in your
firm's foreign entities. Careful estimates are acceptable. If your firm is an affiliate of a foreign firm, include only capital
expenditures that can be attributed directly to your U.S. operations.

What should be included in capital expenditures?
#

Item

2011

2012

2013

2014

2015

Capital expenditures (in full figure dollars)
1

Capital expenditures related to
primary unwrought aluminum
operations

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2.3

Comparing 2015 with 2011, did the costs listed below increase or decrease for your U.S. primary unwrought aluminum
operations? Provide only one response for each cost item.

Increased, 2015 compared Decreased, 2015 compared
Little or no change
Don't (less than 1 percent with 2011 (make selection with 2011 (make selection
in drop-down menu)
in drop-down menu)
know increase or decrease)

Cost item

Alumina

Carbon for anodes

Other raw material costs (for
example, alloying agents)

Labor

Electricity

Other energy costs

Shipping/transport

Other: Specify

2.4

Did your firm's exports of primary unwrought aluminum products increase during 2011-2015? If so, list below the
country or countries to which the quantity of such exports increased the most (up to three countries). If the question
does not apply, leave response areas blank.

First country
Second country
Third country
2.5

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NOT FOR
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Country (make selection if
applicable)

Item

Quantity increase amount (make
selection if applicable)

Did your firm's exports of primary unwrought aluminum products decrease during 2011-2015? If so, list below the
country or countries to which the quantity of such exports decreased the most (up to three countries). If the question
does not apply, leave response areas blank.
Country (make selection if
applicable)

Item

Quantity decrease amount (make
selection if applicable)

First country
Second country
Third country
2.6

How would the removal of foreign government policies and programs (for example, VAT rebates, export taxes,
preferential loans, below-market energy costs) have impacted your firm's 2015 production of primary unwrought
aluminum products (in terms of quantity) in the United States?
Effect estimate

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Section 3: Secondary unwrought aluminum
3.1

Did your organization produce any secondary unwrought aluminum products (including products made of aluminum
alloys) in facilities located in the United States at any time during 2011-2015? Read the product definitions on page 4
carefully before answering this question.
Yes
No
Note: Secondary products can be produced at a variety of operations, including secondary smelters and cast
houses. If you operate any one of these, you are considered to be a secondary unwrought producer for the
purposes of this questionnaire and you should check "Yes" above.
Also, if you produce these products and use them to produce a downstream product ("captive consumption"),
you should check "Yes" above. For example, if you produce secondary unwrought aluminum billets and make
extruded products with these billets, you are considered to be a secondary unwrought producer for the
purposes of this questionnaire.
If you answered "Yes" to question 3.1, please go to the next question.

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Go to Section 4

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

How to report numeric data
3.2

Units of quantity

Provide the following information as related to your secondary unwrought aluminum operations in the United States.
Careful estimates are acceptable. Do not include data for other operations, such as downstream products (you may
need to allocate between unwrought aluminum and downstream operations). If your firm is an affiliate of a foreign
firm, include only data that can be directly attributed to your U.S. facilities.

Production versus shipments

Employee and FTE definitions

Item

Production (full figure metric tons)

Production capacity (full figure
metric tons)

Number of employees (full figures
on an FTE basis) for secondary
unwrought aluminum operations

Capital expenditures (full figure
dollars) related to secondary
unwrought aluminum operations

First Page

Instructions

2011

Definitions

What should be included in capital expenditures?

2012

2013

2014

2015

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Tolling definition
3.3

List the quantity and value of your firm's total shipments (including internal transfers valued at market prices) of
secondary unwrought aluminum products to domestic and foreign markets. Include only products produced by your
firm in facilities located in the United States. Careful estimates are acceptable. If your firm is an affiliate of a foreign
firm, include only production that can be directly attributed to your U.S. facilities.
Do not include shipments of products produced by other firms under a tolling or similar agreement. However, if
your firm itself produced products under a tolling or similar agreement, include these shipments.
If your firm produced and shipped any of the products listed below
under a tolling or similar agreement, check this box.

Item

2011

2012

2013

2014

2015

Shipments of secondary unwrought aluminum products produced at your U.S. operations. Include internal transfers (i.e.,
products used by your downstream operations) valued at market prices.
Unalloyed:

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Quantity (full figure metric tons)

Value (full figure dollars)*

Alloyed:
3

Quantity (full figure metric tons)

Value (full figure dollars)*

* Provide the full sales value, including all raw material costs.
3.4

#
1

Comparing 2015 with 2011, did the costs listed below increase or decrease for your U.S. secondary unwrought
aluminum operations? Provide only one response for each cost item.

Cost item
Aluminum/aluminum alloy
scrap

Primary aluminum

Other raw material costs (for
example, alloying agents)

Labor

Energy

Shipping/transport

Other: specify

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3.5

List your purchases of the indicated raw materials that you used as feedstock for 2011 and 2015, by type and source
(domestic or foreign). Use full figures for the the value and quantity of such purchases.
2011

2015

Aluminum and aluminum
Quantity (full
Value (full figure
Quantity (full
Value (full figure
alloy raw material purchased and
figure metric tons)
dollars)
figure metric tons)
dollars)
used for feedstock

Domestic source:
1

High-purity primary unwrought

Primary unwrought other than high
purity

Secondary unwrought

Scrap

Foreign source:
5

High-purity primary unwrought

Primary unwrought other than high
purity

Secondary unwrought

Scrap

Wrought aluminum used as
feedstock (for example, semifabricated products intended for remelting)

Source unknown:

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10 High-purity primary unwrought
11

Primary unwrought other than high
purity

12 Secondary unwrought
13 Scrap

Wrought aluminum used as
feedstock (for example, semi14
fabricated products intended for remelting)
3.6

Did your firm's exports of secondary unwrought aluminum products increase during 2011-2015? If so, list below the
country or countries to which the quantity of such exports increased the most (up to three countries). If the question
does not apply, leave response areas blank.
Country (make selection if
applicable)

Item

Quantity increase amount (make
selection if applicable)

First country
Second country
Third country
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3.7

Did your firm's exports of secondary unwrought aluminum products decrease during 2011-2015? If so, list below the
country or countries to which the quantity of such exports decreased the most (up to three countries). If the question
does not apply, leave response areas blank.
Country (make selection if
applicable)

Item

Quantity decrease amount (make
selection if applicable)

First country
Second country
Third country
3.8

During 2011-2015, did your firm import any secondary unwrought aluminum products that you did not use as
feedstock (i.e., the products were commercially sold)? If so, indicate the most important country or countries in terms of
quantity below (up to three countries). If not, leave the response areas blank.
First country
Second country
Third country

3.9

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COMPLETION

Does your firm have any operations (including joint ventures) in foreign countries that produce secondary unwrought
aluminum products? If so, list the most important country or countries in terms of production quantity below (up to
three countries). If you do not have foreign operations, leave the response areas blank.
First country
Second country
Third country

3.10 During 2011-2015, has your firm considered investing in foreign secondary unwrought aluminum operations, in either
existing or new facilities (including joint ventures)? If so, list the leading target country or countries below (up to three
countries). If you did not consider such investments, then leave the response areas blank.
First country
Second country
Third country

3.11 How would the removal of foreign government policies and programs (for example, VAT rebates, export taxes,
preferential loans, below-market energy costs) have impacted your firm's 2015 production of secondary unwrought
aluminum products (in terms of quantity) in the United States?
Effect estimate
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Section 4: Wrought aluminum
4.1

Indicate whether your organization produced any of the following wrought aluminum products (including products
made of aluminum alloys) in facilities located in the United States at any time during 2011-2015. Read the product
definitions on page 4 carefully before answering this question. Check all that apply.
1. Plate products
2. Sheet, strip, or foil products
3. Wire products

Go to product definitions

4. Profiles, bars, or rod products
5. Tube or pipe products
6. None of the above

Note: If you produce any wrought aluminum products, and use them to produce downstream products ("captive
consumption"), check the appropriate box above. For example, if you produce aluminum sheet and make beverage
cans with this sheet, you are considered to be a wrought producer for the purposes of this questionnaire, and you
should check the "Sheet, strip, or foil products" box. You would report data for the sheet in this section.
If you checked any of the first five boxes in question 4.1, please go to the next question.

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Go to Section 5

If you answered "None of the above" to question 4.1, please go to section 5.

How to report numeric data
4.2

Units of quantity

Tolling definition

List the production capacity (in metric tons) of your firm's wrought (unalloyed and alloyed) aluminum products in
facilities located in the United States. Careful estimates are acceptable. If your firm is an affiliate of a foreign firm,
include only capacity and production that can be directly attributed to your U.S. facilities.
Do not include capacity of other firms that may be producing products for your firm
under a tolling or similar agreement. However, if your firm itself has capacity under
a tolling or similar agreement, include this capacity.

Product group

2011

2012

2013

2014

2015

Metric tons (full figures)
Production capacity at U.S. facilities for wrought aluminum products (including unalloyed and alloyed products)
1

Plate products

Sheet, strip, foil products

Wire products

Profile/bar/rod products

Tube or pipe products

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Production versus shipments
4.3

List the production (in metric tons) of your firm's wrought (unalloyed and alloyed) aluminum products in facilities
located in the United States. Careful estimates are acceptable. If your firm is an affiliate of a foreign firm, include only
capacity and production that can be directly attributed to your U.S. facilities.
Do not include production of other firms that may be producing products for your firm
under a tolling or similar agreement. However, if your firm itself produced under
a tolling or similar agreement, include this production.

Product group

2011

2012

2013

2014

2015

Metric tons (full figures)
Production at U.S. facilities for wrought aluminum products (including unalloyed and alloyed products)
Plate products:
1
2
3

Unalloyed, series 1XXX
Non-heat treatable (alloy series
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
7XXX)

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NOT FOR
COMPLETION

Heat treatable (alloy series 6XXX)

All other plate products of series
not specified above

Sheet, strip, foil products:
6
7
8
9

Unalloyed, series 1XXX

Non-heat treatable (alloy series
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
7XXX)

Heat treatable (alloy series 6XXX)

All other sheet, strip, and foil
10 products of series not specified
above
Wire products:
11 Unalloyed and alloyed
Profile/bar/rod products:
12 Unalloyed and alloyed
Tube or pipe products:
13 Unalloyed and alloyed

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.4

List the quantity of your firm's total shipments (including internal transfers) of wrought (unalloyed and alloyed)
aluminum products to domestic and foreign markets, broken down by the product groups shown below. Include only
products produced by your firm in facilities located in the United States. Careful estimates are acceptable. If your
firm is an affiliate of a foreign firm, include only production that can be directly attributed to your U.S. facilities.
Do not include shipments of products produced by other firms under a tolling or similar agreement. However, if
your firm itself produced products under a tolling or similar agreement, include these shipments.

Product group

2011

2012

2013

2014

2015

Metric tons (full figures)
Quantity of shipments from U.S. facilities of wrought (unalloyed and alloyed) aluminum products. Include internal
transfers (i.e., products used by your downstream operations).
Plate products:
1
2
3

Unalloyed, series 1XXX
Non-heat treatable (alloy series
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
7XXX)

DRAFT VERSION
NOT FOR
COMPLETION

Heat treatable (alloy series 6XXX)

All other plate products of series
not specified above

Sheet, strip, or foil products:
6
7
8

Unalloyed, series 1XXX

Non-heat treatable (alloy series
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
7XXX)

Heat treatable (alloy series 6XXX)
All other sheet, strip, and foil
10 products of series not specified
above
Wire products:
11 Unalloyed
12 Alloyed
Profile/bar/rod products:
13 Unalloyed
14 Alloyed
Tube or pipe products:
15 Unalloyed
16 Alloyed

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.5

List the value of your firm's total shipments (including internal transfers valued at market prices) of wrought (unalloyed
and alloyed) aluminum products to domestic and foreign markets, broken down by the product groups shown below.
Include only products produced by your firm in facilities located in the United States. Careful estimates are
acceptable. If your firm is an affiliate of a foreign firm, include only production that can be directly attributed to your
U.S. facilities.
Do not include shipments of products produced by other firms under a tolling or similar agreement. However, if
your firm itself produced products under a tolling or similar agreement, include these shipments.
If your firm produced and shipped any of the products listed below
under a tolling or similar agreement, check this box.

Product group

2011

2012

2013

2014

2015

Value (full figure dollars)
Value of shipments from U.S. facilities of wrought (unalloyed and alloyed) aluminum products. Provide the full value,
including all raw material costs. Include internal transfers (i.e., products used by your downstream operations) valued at
market prices.
Plate products:
1

Unalloyed, series 1XXX
Non-heat treatable (alloy series
2
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
3
7XXX)
4 Heat treatable (alloy series 6XXX)
All other plate products of series
5
not specified above
Sheet, strip, or foil products:
6

Unalloyed, series 1XXX

DRAFT VERSION
NOT FOR
COMPLETION

Non-heat treatable (alloy series
3XXX, 5XXX)
Heat treatable (alloy series 2XXX,
8
7XXX)
9 Heat treatable (alloy series 6XXX)
All other sheet, strip, and foil
10 products of series not specified
above
7

Wire products:
11 Unalloyed
12 Alloyed
Profile/bar/rod products:
13 Unalloyed
14 Alloyed
Tube or pipe products:
15 Unalloyed
16 Alloyed
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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.6

List the quantity and value of your firm's exports of wrought (unalloyed and alloyed) aluminum products, broken
down by the product groups shown below. Include only products produced by your firm in facilities located in the
United States. Careful estimates are acceptable. If your firm is an affiliate of a foreign firm, include only production that
can be directly attributed to your U.S. facilities.
Do not include exports of products produced by other firms under a tolling or similar agreement. However, if
your firm itself produced products under a tolling or similar agreement, include these exports.

Product group

2011

2012

2013

2014

2015

Exports of wrought (unalloyed and alloyed) aluminum products produced at your U.S. facilities. Provide the full value,
including all raw material costs.
Plates, sheets, strip, or foil products:
1

Quantity (full figure metric tons)

Value (full figure dollars)

Wire products:
3

Quantity (full figure metric tons)

Value (full figure dollars)

Profile/bar/rod products:

DRAFT VERSION
NOT FOR
COMPLETION

Quantity (full figure metric tons)

Value (full figure dollars)*

Tube or pipe products:
7

Quantity (full figure metric tons)

Value (full figure dollars)

4.7

For the export shipments listed in question 4.6, which foreign market(s) accounted for the largest increases in terms of
quantity. List the most important country or countries below. If the question does not apply, leave response areas
blank.
Item

Country (make selection if
applicable)

Quantity increase amount (make
selection if applicable)

First country
Second country
Third country
4.8

For the export shipments listed in question 4.6, which foreign market(s) accounted for the largest decreases in terms
of quantity. List the most important country or countries below. If the question does not apply, leave response areas
blank.
Item

Country (make selection if
applicable)

Quantity decrease amount (make
selection if applicable)

First country
Second country
Third country
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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.9

Indicate which of the following describes the changes in your firm's U.S. production capacity for wrought (unalloyed
and alloyed) products during 2011-2015. Check all that apply.
Expanded production capacity at existing establishments
Reduced production capacity at existing establishments
Acquired production establishments
Sold or otherwise disposed of production establishments
No change

Employee and FTE definitions
4.10 List the number of your firm's employees on a full-time equivalent (FTE) basis that correspond to your U.S. facilities that
produce wrought (unalloyed and alloyed) aluminum products. Careful estimates are acceptable. If your firm is an
affiliate of a foreign firm, include only employees who can be directly attributed to your firm's U.S. activities.
#

Product group

2011

2012

2013

2014

2015

Employment at U.S. facilities for wrought aluminum products (including unalloyed and alloyed products)

DRAFT VERSION
NOT FOR
COMPLETION

Number of employees (full figures on an FTE basis)

Plate, sheets, strip, or foil products

Wire products

Profile/bar/rod products

Tube or pipe products

Employees that cannot be
attributed to only one product
group (use this category if
absolutely necessary)

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.11 List the value of any capital expenditures your firm made in wrought (unalloyed and alloyed) aluminum production
activities during 2011-2015 in the United States for the product groups shown below. Do not include capital
expenditures, if any, made in your firm's foreign entities. Careful estimates are acceptable. If your firm is an affiliate of a
foreign firm, include only capital expenditures that can be attributed directly to your U.S. operations.

What should be included in capital expenditures?
#

Product group

2011

2012

2013

2014

2015

Capital expenditures at U.S. facilities producing wrought aluminum products (including unalloyed and alloyed products)
Capital Expenditures (full figure dollars)
Plate products:
1

Non-heat treated

Heat treated

Sheets, strip, or foil products:
3

Non-heat treated

Heat treated

Wire products:
5

All wire products

Profile/bar/rod products:
6

All profile/bar/rod products

Tube or pipe products:
7

DRAFT VERSION
NOT FOR
COMPLETION

All tube or pipe products

Unattributed capital expenditures:

Capital expenditures that cannot
be attributed to only one product
group (use this category only if
more specific breakouts are not
available)

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.12 List your customer types, by percentage of your firm's 2011 and 2015 shipments reported in question 4.4.
#

Customer type

2011

2015

Percent of shipments by quantity
1

Wrought producers in the United States not owned by your firm

Downstream producers (i.e., firms that consume your wrought products to
make other products, such as parts for an airplane wing) in the United States
owned by your firm

Downstream producers in the United States not owned by your firm

Distributors or service centers in the United States

Other or unknown

Total (should sum to 100)

4.13 List the ultimate end use markets, by percentage of your firm's 2011 and 2015 shipments reported in question 4.4. If
your shipments go to a distributor or service center and you do not know the ultimate end use, classify these shipments
in item 11.

End use guide with examples
#

DRAFT VERSION
NOT FOR
COMPLETION

Ultimate end use market

2011

2015

Percent of shipments by quantity

Containers and packaging, not including
beverage cans

Beverage cans

Building and construction

Transportation, automotive

Transportation, commercial aerospace

Transportation, defense aerospace

Transportation, all other or undifferentiated

Electrical

Consumer durables

10 Machinery and equipment
11 Other or unknown
12

Total (should sum to 100)

4.14 Comparing 2015 with 2011, did the costs listed below increase or decrease for your U.S. wrought aluminum operations?
Provide only one response for each cost item.

#
1

Cost item
Labor

Energy

Shipping/transport

Other: Specify

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.15 List your purchases of the indicated unwrought products (domestic and imported) and wrought products (imports
only) that you used internally or commercially sold in the United States for 2011 and 2015, by product group. Include
products you imported from related firms in foreign countries.
2011

2015

Aluminum and aluminum
Quantity (full
Value (full figure
Quantity (full
Value (full figure
alloy product purchases
figure metric tons)
dollars)
figure metric tons)
dollars)
Unwrought products (aluminum products in the form of ingots, blocks, billets, slabs, and similar manufactured forms) used as
is (not for melting):
#

Unalloyed, domestic sources

Alloyed, domestic sources

Unalloyed, imported

Alloyed, imported

Plate products:
5

Non-heat treated, imported

Heat treated, imported

Sheet, strip, and foil products:
7

Non-heat treated, imported

Heat treated, imported

Wire products:
9

Unalloyed and alloyed

Profile/bar/rod products
10 Unalloyed and alloyed
Tube or pipe products:
11 Unalloyed and alloyed

DRAFT VERSION
NOT FOR
COMPLETION

4.16 For the imports listed in question 4.15, list the foreign supplier that accounted for the largest increases in terms of
quantity. List the most important country or countries below. If the question does not apply, leave response areas
blank.
Country (make selection
Quantity increase amount (make
Item
if applicable)
selection if applicable)
First country
Second country
Third country
4.17 For the imports listed in question 4.15, list the foreign supplier that accounted for the largest decreases in terms of
quantity. List the most important country or countries below. If the question does not apply, leave response areas
blank.
Country (make selection
Quantity decrease amount (make
Item
if applicable)
selection if applicable)
First country
Second country
Third country
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USITC Aluminum Questionnaire - DRAFT Interactive completion version

4.18 List the country or countries of origin of the wrought products that compete with your wrought products most
successfully in the United States market (up to three countries). If there are no major competitors, leave the response
areas blank.
U.S. market competitor (make
selection in drop-down menu)

Country
First country
Second country
Third country

4.19 List the country or countries of origin of the wrought products that compete with your wrought products most
successfully in foreign markets (up to three countries). If there are no major competitors, leave the response areas
blank.
Foreign market competitor (make
selection in drop-down menu)

Country

Select the country of origin of the competitor, not the market in which you compete
First country
Second country
Third country

DRAFT VERSION
NOT FOR
COMPLETION

4.20 Does your firm have operations (including joint ventures) in foreign countries that produce wrought aluminum
products? If so, list the most important country or countries in terms of the quantity of production below (up to three
countries). If you do not have such operations, leave the response areas blank.
First country
Second country
Third country

4.21 During 2011-2015, has your firm considered investing in foreign wrought aluminum operations, in either existing or
new facilities (including joint ventures)? If so, list the leading target country or countries below (up to three countries).
If you did not consider such investments, leave the response areas blank.
First country
Second country
Third country
4.22 How would the removal of foreign government policies and programs (for example, VAT rebates, export taxes,
preferential loans, below-market energy costs) have impacted your firm's 2015 production of wrought aluminum
products (in terms of quantity) in the United States?
Effect estimate

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

Section 5. Certification
I, the undersigned, acknowledge that all information, including confidential business information, submitted in response to
this request for information and throughout this investigation 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 investigation, 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.
You are strongly encouraged to use the Commission's secure drop-box system to electronically submit your questionnaire to
the Commission to protect your sensitive information from unauthorized disclosure. This system uses 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.
The information your organization provides in response to this questionnaire will be treated by the Commission as
confidential and will not be disclosed to the public unless required by law. The information will be aggregated with
information from other questionnaire responses and will not be published in a way that would reveal the operations of your
organization. The House Committee on Ways and Means has asked that the Commission not include any confidential
business information in the report it transmits to it.

Certifier's name and title

DRAFT VERSION
NOT FOR
COMPLETION

Date of certification (mm/dd/yy)

Certifier's signature (not necessary if submitting electronically)

If you are submitting an electronic version of this certificate to the Commission, check the box below in place of a written
signature to indicate that the authorized official listed has certified the information provided.
Certified

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USITC Aluminum Questionnaire - DRAFT Interactive completion version

Section 6. Submitting the Questionnaire
6.1

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

Cost ($)

6.2

If your organization would like to further explain any of the responses in your submitted questionnaire, provide
comments to us by email at [email protected].

6.3

If your organization would like to give us a written submission for the public record, click on the link below to view the
Federal Register notice about this investigation and go to page 2 of this notice for instructions. All written submissions
are due by February 21, 2017.
Federal Register notice

6.4

For a final quality check, click on the button below after you have completed the questionnaire. You will get a few
reminders, and may get one or more error messages indicating which questions have possible inconsistencies. After
completing the quality check, return to the question(s) shown in the error message(s) and make corrections, then
perform this quality check again. If you believe the responses are correct despite an error message, ignore the error
message.

Quality check

DRAFT VERSION
NOT FOR
COMPLETION

6.5

Save the questionnaire.

6.6

Use one of the submission options shown below.

Save

Use this option to transmit your completed questionnaire through our secure
electronic
drop-box (this method encrypts your data). Click on the link to the left
Drop-box?submit
and follow the instructions. In the PIN entry box, type: 1969

Email submit

Use this option to send your completed questionnaire as an email attachment.
Click on the button and follow the instructions. Note that submitting your
questionnaire response by email will subject your organization's confidential
business information (CBI) to transmission over an unsecured environment and to
possible disclosure to third parties. Any risk of disclosure of CBI during
transmission is assumed by your organization and not us. However, once we
receive the email, we will store your questionnaire response in our secured
environment and safeguard it as detailed in the certification in section 5.

Thank you for providing your response. The Commission will be compiling the information from the questionnaire responses
to analyze the global competitiveness of the U.S. aluminum industry. During the analysis phase, we may contact you for
follow up discussions about interpreting the data and other issues affecting the industry.

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File Type	application/pdf
File Title	Invoice
Subject	Adobe Designer Template
File Modified	2016-08-25
File Created	2016-08-25