Form 332-481 Liquid Biofuel and Chemical Industry Questionnaire

LIQUID FUEL AND CHEMICAL INDUSTRY QUESTIONNAIRE

UNITED STATES INTERNATIONAL TRADE COMMISSION

ATTENTION: Industrial Biotechnology Project Team

Office of Industries, Room 511

500 E Street, SW, Washington, DC 20436

FAX: 202-205-2217

The U.S. International Trade Commission, or Commission, (www.usitc.gov) has been requested by the Senate Committee on Finance (SFC) to report on competitive conditions affecting industries that are developing and adopting new biotechnology processes and products. This questionnaire has been designed to collect information to fulfill this request. By completing this questionnaire, you will be providing valuable information to document the contribution of industrial biotechnology to the U.S. economy, and the conditions affecting U.S. companies and their ability to compete internationally. The Commission will report its findings to the SFC on July 2, 2008, and the SFC has indicated it intends to make this report available to the public. Information gathered using this questionnaire that will be published in the report will be aggregated and presented in such a manner that the individual operations or responses of any one organization cannot be identified.

RESPONSE TO THIS QUESTIONNAIRE IS REQUIRED BY LAW.

THE COMPLETED QUESTIONNAIRE MUST BE RETURNED TO THE

COMMISSION NO LATER THAN OCTOBER X, 2007.

The information called for in this questionnaire is for use by the Commission in connection with its investigation No. 332-481, Industrial Biotechnology: Development and Adoption by the U.S. Chemical and Biofuel Industries, notice of which was published in the Federal Register of December 1, 2006. The information is requested 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)). Further information on this questionnaire can be obtained from the project leaders:

David Lundy (202-205-3439, david.lundy@usitc.gov)

Elizabeth Nesbitt (202-205-3355, elizabeth.nesbitt@usitc.gov)

Laura Polly (202-205-3408, laura.polly@usitc.gov)

Please complete this questionnaire for your organization as a whole. If this is not possible, or unreasonably burdensome, then individual business units or groups of business units within your organization can provide separate responses, but you must ensure that all of your organization’s activities are reflected in questionnaire responses and that there is no double counting of such activities. If you have joint venture business units, these should in general provide their own responses, but contact the project leaders if you need further guidance.

Electronic Completion and Submission of this Questionnaire

The Commission encourages respondents to complete and submit this questionnaire electronically if possible. For an explanation of all completion and submission options, go to page 7.

ORGANIZATION INFORMATION

Organization name	     
Address	     
City	     	State	    	Zip code	     
Web site address	     
Did your organization engage in any activities (production, pre-production, and/or research and development) related to liquid fuels or chemicals in establishments located in the United States at any time during 2004-2007(YTD)? Please review the information in the box on the top of page 3 before answering this question. Check one of the following boxes and follow the instructions.
NO	Sign the certificate below, and promptly return this page and the cover page to the Commission at the address or fax number on the cover page. See page 7 for other submission options.
YES	Read the instructions, definitions, and notes carefully, complete all parts of the questionnaire that apply to you, sign the certification, and return the entire questionnaire to the Commission at the address or fax number on the cover page, no later than OCTOBER X, 2007. See page 7 for other submission options.

CERTIFICATION

The undersigned certifies that the information herein supplied in response to this questionnaire is complete and correct to the best of his/her knowledge and belief and understands that the information submitted is subject to audit and verification by the Commission. Section 332(g) provides that the Commission may not release information which the Commission considers to be confidential business information, unless the party submitting the confidential business information had notice, at the time of submission, that such information would be released by the Commission, or such party subsequently consents to the release of the information. The Senate Committee on Finance, the requestor of this investigation, has requested that the Commission provide a nonconfidential (public) report.

The undersigned acknowledges that information submitted in this questionnaire response and throughout this investigation may be used by the Commission, its employees, and contract personnel who are acting in the capacity of Commission employees, for developing or maintaining the records of this investigation or related proceedings for which this information is submitted, or in internal audits and in investigation relating to the programs and operations of the Commission pursuant to 5 U.S.C. Appendix 3. The undersigned understands that all contract personnel will sign nondisclosure agreements.

     		     
Name and title of Authorized Official		Date
     		     		     
Signature of Authorized Official*		Telephone		Fax

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

WHO MUST COMPLETE THIS QUESTIONANIRE

Your organization must complete this questionnaire if either item A or item B below applied at any time during 2004-2007.

A. Liquid fuels: Your organization operated establishments located in the United States that engaged in production or pre-production of any liquid fuel (gasoline, jet fuel, ethanol, diesel, etc., regardless of process used or raw material inputs), or any research and development related to liquid fuels.

B. Chemicals: Your organization operated establishments located in the United States that engaged in production or pre-production of any chemicals (including enzymes, micro-organisms, commodity chemicals, chemical intermediates, specialty chemicals, polymers, pharmaceuticals, food additives, flavors/fragrances, etc. made by the transformation of organic or inorganic raw materials), or any research and development related to chemicals.

If either item A or item B applies, check the “Yes” box on page 2 and follow the instructions provided there.

If neither A nor B applies, check the “No” box on page 2 and follow the instructions provided there. You should also check “No” if your organization has solely distribution, wholesale, retail, blending or mechanical processing that does not involve chemical reactions, or corporate governance activities in the United States.

INSTRUCTIONS

This questionnaire is intended for organizations with production, pre-production, or R&D activities related to liquid fuels and chemicals of all types in the United States, regardless of whether they are involved in any industrial biotechnology activities. The Commission requires information from all such organizations so that it can put the use of industrial biotechnology in the context of the entire liquid fuel and chemical industries.

This questionnaire is composed of 11 sections. Each section has a group of related questions. Not all sections apply to every organization. For example, section II must be completed by liquid fuel producers only; section III by chemical producers only. However, if your organization produces both liquid fuels and chemicals, you must complete both sections. Please also note that not all questions in a section apply to every organization. Unless otherwise instructed, leave these question response areas blank.

All information submitted on this questionnaire will be treated as confidential business information. In the Commission’s report, information will be aggregated so that it will not reveal the operations of your organization. Further, this questionnaire does not request information that relates to sensitive issues such as specific business plans or trade secrets.

Keep a copy of your submission for your records.

DEFINITIONS

1. Industrial biotechnology: For the purposes of this questionnaire, industrial biotechnology refers to either of these overlapping definitions:

The manufacture of liquid fuels and chemical products using enzymes, micro-organisms, fermentation, or biocatalysis at any stage of production, regardless of the type of raw materials used. In this case, the raw materials can be biomass, fossil fuel-based, or inorganic substances.

OR

The manufacture of liquid fuels and chemical products from renewable resources, regardless of the type of processing technology used.

Industrial biotechnology DOES NOT include:

Any activities related to DNA manipulation, sequencing or synthesis of proteins and other molecules, cell and tissue culturing, or nanobiotechnology. However, this highlights an important distinction for the purposes of this questionnaire: the development of pharmaceuticals using genomics and genetic engineering is not industrial biotechnology but the synthesis of pharmaceuticals using industrial biotechnology is included, even if used in combination with conventional chemical processes.

Any food or feed products, such as beverages for human consumption. However, food flavorings and ingredients produced using industrial biotechnology are included.

2. Conventional technology: For the purposes of this questionnaire, conventional technology refers to the following:

The manufacture of liquid fuel and chemical products using conventional raw materials (such as fossil fuel-based and inorganic substances), and conventional chemical synthesis processes (i.e., not using enzymes, micro-organisms, fermentation, or biocatalysis).

3. Bio-based products: Liquid fuels and chemicals (other than food or feed) made using industrial biotechnology as described above. More specific terms are also used in this questionnaire, such as bio-based chemicals, bio-based polymers, biofuels, and biodiesel. The term ethanol is only used to refer to bio-ethanol.

4. Biocatalysis: The use of biocatalysts such as enzymes and micro-organisms to initiate or modify the rate of a chemical reaction. This is also referred to as bioprocessing.

5. Conventional products: Liquid fuels and chemicals made using conventional technology as defined above.

6. Establishment: A single physical location where liquid fuels or chemicals are produced, or where R&D activities are performed in relation to liquid fuels or chemicals.

7. Agricultural feedstocks: Crops (such as corn, wheat, sugarcane, and soybeans), crop wastes (such as corn stover), switchgrass, and wheatgrass.

8. Research and development (R&D): The systematic pursuit of new knowledge of a general nature, the use of knowledge to meet a specific need, or the application of knowledge to the production or improvement of a product, service, process, or method. R&D expenses are the costs for these activities, including wages and salaries, materials consumed, utilities, insurance, property taxes, and overhead. Pilot and demonstration plant activities are considered R&D. Routine product testing and quality control, and marketing activities are not included in R&D. Capital expenditures for R&D facilities are not included in this category.

9. Investment: Capital expenditures for plant construction, improvements to existing plant and equipment, and purchases of new or existing plant, property, machinery and equipment. This includes direct expenditures by your organization, and expenditures by other organizations (e.g., construction firms) done for your organization. Capital expenditures for R&D-related property, plant, and equipment are included in this category. Investment also includes expenditures for acquired companies. Expenses for routine maintenance and repair are not included. Investments in financial instruments are also not included.

10. Total net sales: Total sales, net of returns, discounts, and allowances. Includes internal consumption and transfers to related firms, as applicable, at fair market value.

11. Operating income: Total net sales minus cost of goods sold (COGS) and selling, general, and administrative expenses (SG&A).

12. Biomass: Organic material from plants and animals. This includes agricultural feedstocks as defined above and other materials such as forestry biomass, pulp and paper mill residues, and municipal wastes.

13. Chemicals:

A. Enzymes: A protein that catalyzes (speeds up) a chemical reaction. For the purposes of this questionnaire, the term enzyme is only intended to refer to an enzyme used in an industrial process to produce a liquid biofuel or bio-based chemical. As such, for example, enzymes used solely for medical treatments should not be considered in responses to this questionnaire.

B. Micro-organisms: Very small life forms, often unicellular, that, among other things, can decompose other substances. Examples include bacteria, yeasts, and fungi. For the purposes of this questionnaire, the term micro-organism is only intended to refer to living cells used in an industrial process to produce a liquid biofuel or bio-based chemical. Micro-organisms used for other purposes (for example those used in medical applications) should not be considered in responses to this questionnaire.

C. Commodity chemicals: Large volume, low unit value chemicals with little product differentiation. Examples include acrylamide, cyclohexane, styrene, ethylbenzene, cumene, phenol, phthalic anhydride, terephthalic acid, and aniline.

D. Specialty chemicals: Small volume, typically high unit value chemicals with a high degree of differentiation. Examples of specialty chemicals include adhesives and sealants, catalysts, coatings, electronic chemicals, institutional and industrial cleaners, plastic additives, and water management chemicals.

E. Chemical intermediate: An organic compound that is considered a "chemical stepping stone" between an upstream chemical and the final product. Examples of chemical intermediates include aniline and β-naphthol.

F. Polymers: A large molecule built by repeatedly bonding together one or more smaller molecules called monomers. Plastics are a common type of polymer.

G. Pharmaceutical: In general, "a substance intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease, or to affect the structure or function of the body." Examples include cephalexin, Vitamin B₂, and Lipitor® (a statin).

H. Flavors: Any substance or mixture of substances that contributes a positive taste to a food product, including natural products (e.g., vanillin, cacao, and fruit extracts) and various synthetic products.

I. Fragrance: An aromatic compound derived from natural oils, natural isolates, or synthetics. Examples include essential oils, extracts, colognes, and perfumes.

J. Food additive/ingredient: Ancillary items associated with foods, often with little or no nutritive value (e.g., sugar, baking soda, salt, vanilla, yeast, flavorings, spices, preservatives, colorants, acidulants, antimicrobials, antioxidants, emulsifiers, enzymes, flavor enhancers, leavening agents, stabilizers and thickeners, artificial sweeteners, and fat replacers).

Other definitions are shown in certain specific sections of this questionnaire.

NOTES

1. Certain questions ask for information on ALL the activities of your organization in the United States, in the following two categories:

Liquid fuels: Production of any liquid fuel (gasoline, jet fuel, ethanol, diesel, etc.), regardless of process used or raw material inputs, and any R&D related to liquid fuels.

Chemicals: Production of any chemicals (commodity, specialty, etc.) by the transformation of organic or inorganic raw materials, and any R&D related to chemical products.

2. Certain questions ask for information on just your organization’s industrial biotechnology activities (a SUBSET of all the activities in note 1 above) in the United States, in the following two categories:

Liquid biofuels: Production of any liquid fuel using industrial biotechnology at any stage of production, and any R&D related to this. Examples are ethanol (whether derived from corn, sugar, or lignocellulose); biodiesel derived from natural oils from plants or recycled sources; and biobutanol.

Bio-based chemicals: Production of any chemical using industrial biotechnology at any stage of production, and any R&D related to bio-based chemicals. Examples include enzymes and micro-organisms made for bio-based liquid fuel and chemical products; bio-based commodity chemicals, chemical intermediates, and specialty chemicals; bio-based pharmaceuticals, food additives, flavors/fragrances; etc.

Please note that many questions ask for separate information on all of your organization’s activities, as well as your industrial biotechnology activities. If your records do not separate information for these activities, then you will have to make allocations. For example, your organization may have employees that conduct both types of activities—data for these employees are to be allocated between these operations.

This questionnaire was reviewed by industry participants to ensure that data requests are sufficient, meaningful, and as limited as possible. Public reporting burden for this questionnaire is estimated to average 40 hours per response. Send comments regarding the accuracy of this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the address or fax number on the cover page.

IF THE INFORMATION REQUESTED IS NOT READILY AVAILABLE FROM YOUR RECORDS, REASONABLE ESTIMATES ARE ACCEPTABLE.

Use space provided in section XI at the end of the questionnaire if space provided for each question is not sufficient. Also include any other information you feel is relevant to the Commission's investigation in this section.

WRITTEN COMPLETION METHOD AND SUBMISSION INSTRUCTIONS

Using the provided CD, copy the questionnaire file to your computer system. Open the file in Microsoft Word and print the document. Contact the project team if this file is incompatible with your organization’s version of Word. Type or write in the requested information for each question that applies to your organization. Submit by express mail service to the Commission using the address on the top of page 1.

Electronic Completion Method AND SUBMISSION INSTRUCTIONS

Please consider completing this questionnaire electronically in Microsoft Word, following the instructions below:

Using the provided CD, copy the questionnaire file to your computer system. This file can also be downloaded from the Commission’s Web site at:

www.usitc.gov/ind_econ_ana/research_ana/biotech.htm.

Open the file in Microsoft Word. Contact the project team if this file is incompatible with your organization’s version of Word.

Entry areas are indicated as gray boxes in this electronic version. These boxes turn black as they are selected. Enter the requested information for each question that applies to your organization. Use Tab key to advance from box to box. Use Shift and Tab keys, simultaneously, to go back to a previous box. Click on any box to go immediately to that box.

Other than in these boxes, you will not be able to add information to or change the questionnaire. Boxes will expand to accommodate responses.

Certain boxes will accept only numeric information. You will get an error message if you attempt to enter text information in these cases.

After you have completed the questionnaire electronically in Word, you have three submission options:

Print the completed questionnaire and send by express mail service to the address listed on the top of page 1.

Copy the electronic version onto removable computer media such as a CD and send by express mail service to the address listed on the top of page 1.

Attach the electronic version to an e-mail message and send to one of the project leaders listed on page 1. Please note that submitting the questionnaire response by e-mail 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 the Commission. However, once the e-mail is received, the questionnaire response will be stored in the Commission's secured environment, and will receive the safeguards described in the certification on page 2.

If you have any security concerns about submitting your completed questionnaire by e-mail, please contact one of the project leaders listed on page 1.

SECTION I. GENERAL QUESTIONS

I.1. Who is the person at your organization who should be contacted regarding this questionnaire?

     		     
Name		Title
     		     
Telephone		E-mail address

I.2. Report below the actual number of hours required and the cost to your organization or establishment(s) of completing this questionnaire, including all preparatory activities.

     

Hours

     

Dollars

I.3. Is your organization owned, in whole or in part, by another organization(s)?

No
Yes
If yes, provide the following for the three leading owners, based on equity share:
	Organization name	Address	Equity share (%)
	     	     	     
	     	     	     
	     	     	     

I.4. What best describes your current organization type? Check only one.

	Farmers’ cooperative
	Joint venture of farmers’ cooperative and a private company
	Publicly traded company (or division thereof)*
	If above checked, provide:
	Stock symbol	     	Stock exchange	     
	Privately-held company (or division thereof)*
	Joint venture of private companies*
	Joint venture of government organization and private company*
	Other (specify):      
* Do not include farmers’ cooperatives or joint ventures with farmers’ cooperatives.

I.5. Please indicate the year in which each activity listed below occurred. If the item has not occurred or is not applicable, leave year blank.

Item	Year (use 4-digts)
Organization formed (e.g., year of incorporation, partnership agreement, joint venture agreement)	     
Commenced R&D involving liquid biofuels	     
Commenced commercial production of liquid biofuels	     
Commenced R&D involving bio-based chemicals	     
Commenced commercial production of bio-based chemicals	     

I.6. Please provide the following information about your organization’s establishments that were active during the indicated calendar year. Indicate the number of establishments with any production or R&D activities and exclude establishments that are under construction or have solely distribution, wholesale, retail, or corporate governance activities. Liquid fuel organizations should exclude establishments that solely blend fuels. If value is zero, put zero in cell; if value unknown, leave cell blank. For 2007, indicate year-to-date active establishments. Underlined term defined on page 4.

#	Production and R&D establishments	2004	2005		2006		2007
		Number
1	All liquid fuels and/or chemicals establishments, both R&D and production	     		     		     			     
	Liquid biofuels activities (do not double count for items 2 and 3 below):
2	R&D primarily	     		     		     		     
3	Production primarily	     		     		     		     
	Bio-based chemical activities (do not double count for items 4 and 5 below):
4	R&D primarily	     		     		     			     
5	Production primarily	     		     		     			     
Use lines below if unable to separate liquid biofuels and bio-based chemicals production and R&D establishments.
	Both liquid biofuel and bio-based chemical activities (do not double count for items 6 and 7 below):
6	R&D primarily	     		     		     		     
7	Production primarily	     		     		     		     

I.7. Please indicate the states where your active establishments with liquid biofuel and bio-based chemical activities are located, based on 2007 year-to-date. List the top five states ranked by descending number of establishments.

Rank	State (Use two letter code)	Number of establishments in 2007
1	     	     
2	     	     
3	     	     
4	     	     
5	     	     

I.8. Please indicate the importance of industrial biotechnology activities to your organization’s business.

Crucial	Important	Minor importance	Not important

I.9. Please indicate the North American Industry Classification System (NAICS) 3-digit classification code(s) for your establishments. A list and definition of NAICS codes can be found at http://www.census.gov/epcd/naics02/naicod02.htm. If more than one code applies, list the top three in descending order by number of establishments per code.

Rank	NAICS code (3-digit)
1	     
2	     
3	     

I.10. What industrial biotechnology and related activities does your organization currently perform? Check all that apply, except as noted.

	None (no other boxes should be checked if this box is checked)
	Evaluation of whether to initiate industrial biotechnology activities (no other boxes should be checked if this box is checked)
	Research and/or development of enzymes or micro-organisms
	Research and/or development of agricultural feedstocks
	Other industrial biotechnology process or product research and/or development
	Production of liquid biofuels
	Production of bio-based chemicals
	Downstream production activities (for example: plastic fabrication)
	Other (specify)	     

I.11 Unless “None” is checked above, please indicate the significance of your organization’s reasons for evaluating or pursuing the development or adoption of bio-based products.

	Check one box per reason to indicate level of significance
Reason	Not significant					Very significant
Product diversification	1	2		3	4		5
Improve competitiveness	1	2		3	4		5
Improve productivity	1	2		3	4		5
Improve profitability	1	2		3	4		5
Sales growth potential	1	2		3	4		5
Market share potential	1	2		3	4		5
Potential to develop novel products	1	2		3	4		5
Related to current competencies	1	2		3	4		5
Reduce emissions of greenhouse gases	1	2		3	4		5
Lessen other environmental effects of in-house production	1	2		3	4		5
Implement sustainable production	1	2		3	4		5
Take advantage of government mandatory use requirements	1	2		3	4		5
Other (specify below)	1	2		3	4		5
Specify other reason:      

I.12. Is your organization an industrial biotechnology spin-off that was created in or after 2000? A spin-off is a new firm created to transfer and commercialize inventions and technology developed in universities, firms, or government laboratories.

	Not a spin-off
	Spin-off from a university
	Spin-off from another firm
	Spin-off from a government laboratory
	Other spin-off (specify):      

I.13. Is your organization currently a stand-alone R&D company? (These are typically entities that primarily perform narrowly-focused industrial biotechnology R&D activities only, although they may also be pursuing commercialization activities to a limited degree.)

Yes

No

I.14. What is your organization’s main line(s) of business? Check all that apply.

	Enzymes or micro-organisms
	Conventional liquid fuels (e.g., gasoline, diesel fuel)
	Liquid biofuels (e.g., ethanol, biodiesel)
	Agricultural crop grower
	Chemicals
	Bio-based chemicals
	Pharmaceuticals
	Other (specify):      

I.15. Regarding your organization’s goals and strategies, please respond to the following questions.

A. Does your organization have written goals and strategies to achieve them?

NO Proceed to section II.

YES Proceed to B below.

B. Do these goals and strategies specifically reference biotechnology, industrial biotechnology, or renewable resources?

NO Proceed to section II.

YES Proceed to C below.

C. In what year did your organization’s goals and strategies first specifically reference biotechnology, industrial biotechnology, or renewable resources?

Time frame	Check one box
Before 2004
2004
2005
2006
2007

SECTION II. LIQUID FUEL INDUSTRY

II.1. During 2004-2007, did your organization produce any liquid fuels (as described in notes 1 and 2 on page 5) in the United States?

NO. Proceed to section III.

YES. Continue with this section below.

II.2 Please report your total net sales of all liquid fuels produced in your U.S. establishments (whether for domestic or export markets), and the associated operating income. Do not include re-sales of purchased liquid fuels. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

#	Item	2004	2005	2006	2007 est.
		Round to nearest 1,000 dollars
1	Organization’s total net sales of liquid fuels made in the United States	     	     	     	     
2	Organization’s operating income	     	     	     	     

II.3 Please provide the following data on your firm’s liquid biofuels production for the last three calendar years and a reasonable estimate for full year 2007 based on your operations to date. Include commercial scale production that is shipped to internal or external users, valued on an f.o.b. basis at the plant; do not include pilot or demonstration plant production. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Show quantity in 1,000 gallons, value in 1,000 dollars, rounded to nearest 1,000
	Biodiesel from recycled material:
1	Quantity	     	     	     	     
2	Value	     	     	     	     
	Biodiesel from non-recycled (virgin) feedstocks:
3	Quantity	     	     	     	     
4	Value	     	     	     	     
	Starch-based ethanol from corn:
5	Quantity	     	     	     	     
6	Value	     	     	     	     
	Starch-based ethanol from other grains:
7	Quantity	     	     	     	     
8	Value	     	     	     	     
	Cellulosic ethanol:
9	Quantity	     	     	     	     
10	Value	     	     	     	     
	Biobutanol:
11	Quantity	     	     	     	     
12	Value	     	     	     	     
	Other liquid biofuels:
13	Quantity	     	     	     	     
14	Value	     	     	     	     
	Specify other biofuels:      

II.4. Please indicate the number of plants that are presently under construction by or for your organization in the United States (ground has been broken), the expected year of start-up, and the expected capacity for each type of plant below. Include expansion of existing production facilities. If plant will be producing more than one type of liquid biofuel, include in just one category below based on the primary liquid biofuel. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Type of liquid biofuel	Number of plants under construction	Expected year of start-up	Capacity (1,000 gallons)
1	Biodiesel from recycled material	     	     	     
2	Biodiesel from non-recycled (virgin) feedstocks	     	     	     
3	Starch-based ethanol from corn	     	     	     
4	Starch-based ethanol from other grains	     	     	     
5	Cellulosic ethanol	     	     	     
6	Biobutanol	     	     	     
7	Other liquid biofuels	     	     	     
Specify other biofuels:      

II.5. Please report your total net sales of liquid biofuels produced in your U.S. establishments (including domestic and foreign sales), and the associated operating income. Do not include re-sales of purchased liquid biofuels. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

#	Item	2004	2005	2006	2007 est.
		Round to nearest 1,000 dollars
	Total net sales of liquid biofuels made in the United States:
1	Sold in United States market	     	     	     	     
2	Exported to foreign markets	     	     	     	     
3	Liquid biofuel operating income	     	     	     	     
Note: Use 2007 year-to-date data to project for full-year 2007.

II.6. For your organization’s exports of liquid biofuels reported in the previous question, please list the leading five foreign markets during 2004-2007 in descending order by value of exports. Leave blank if you have no exports.

Top markets	Country
1	     
2	     
3	     
4	     
5	     

II.7. Please report the value of your organization’s imports of agricultural feedstocks and liquid biofuels. Include any products imported for you by agents. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on imports to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 4.

#	Item	2004	2005	2006	2007 est.
		Round to nearest 1,000 dollars
1	Agricultural feedstocks used for liquid biofuel production	     	     	     	     
2	Biodiesel	     	     	     	     
3	Starch-based ethanol from corn	     	     	     	     
4	Other ethanol	     	     	     	     
5	Other liquid biofuels	     	     	     	     
	Specify other biofuels:      
Note: Use 2007 year-to-date data to project for full-year 2007.

II.8. For your organization’s imports of agricultural feedstocks and liquid biofuels reported in the previous question, please list the leading five foreign sources during 2004-2007 in descending order by value of imports. Leave blank if you have no imports.

Top sources	Country
1	     
2	     
3	     
4	     
5	     

II.9. Please report your organization’s total net sales of products other than liquid biofuels generated at your U.S. liquid biofuels production establishments. Include only byproducts that offset operating costs and/or augment sales revenues (such as power, glycerin, chemicals,* or dry distiller’s grain). Include internal sales or transfers of products at fair market value. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

*Do not include bio-based chemicals that are primary products or co-products. These should be reported in the response to question III.3A.

#	Item	2004	2005	2006	2007 est.
		Round to nearest 1,000 dollars
1	Total net sales of non-liquid biofuel byproducts, sold in United States or exported	     	     	     	     
Note: Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on operations to-date.

II.10. For the product net sales reported in the previous question, please indicate the top five most important byproducts by net sales value below. Specific examples include power, glycerin, chemicals, and dry distiller’s grain. Do not include downstream products made from these products. If none, leave cells blank.

Rank by net sales value	Product
1	     
2	     
3	     
4	     
5	     
Note: Consider all byproducts, even if consumed internally.

II.11. Please provide the number of employees for your organization’s liquid fuel and liquid biofuel production establishments located in the United States. Include production and related workers, managers, supervisors, technicians, office workers, etc. related to production activity at these establishments. Do not include employees engaged in these establishments’ upstream production activities. Full-time equivalent (FTE) reflects the total number of regular straight-time hours (i.e., not including overtime or holiday hours) worked by employees divided by the number of compensable hours applicable to each calendar year. Annual leave, sick leave, and compensatory time off and other approved leave categories are considered to be “hours worked” for purposes of defining FTE employment. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
	All liquid fuel production:
1	Employees (full-time equivalents)	     	     	     	     
2	Wages and salaries, including fringe benefits, for these employees (rounded to nearest 1,000 dollars)	     	     	     	     
	Liquid biofuels production:
3	Employees (full-time equivalents)	     	     	     	     
4	Wages and salaries, including fringe benefits, for these employees (rounded to nearest 1,000 dollars)	     	     	     	     
Note: Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on operations to date.

SECTION III. CHEMICAL INDUSTRY

III.1. During 2004-2007, did your organization have any production of chemicals (as described in notes 1 and 2 on page 5), including enzymes and micro-organisms used in the production of industrial biotechnology products, in the United States? (Liquid fuel production should not be considered here as it is reported in section II).

NO. Proceed to section IV.

YES. Continue with this section below.

III.2 Please report your total net sales of all chemicals produced in your U.S. establishments (whether for domestic or export markets), and the associated operating income. Do not include re-sales of purchased chemicals. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

#	Item	2004	2005	2006	2007 est.
		1,000 dollars
1	Organization’s total net sales of chemicals made in the United States	     	     	     	     
2	Organization’s operating income	     	     	     	     

III.3A. Please provide the following data on your firm’s production of the indicated bio-based chemical items for the last three calendar years and a reasonable estimate for full year 2007 based on your operations to date. Include commercial scale production that is shipped to internal or external users, valued on an f.o.b. basis at the plant; do not include pilot or demonstration plant production. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined terms defined on pages 5-6.

#	Item	2004	2005	2006	2007 est.
		Show quantity in 1,000 pounds, value in 1,000 dollars, rounded to nearest 1,000
	A. Enzymes and micro-organisms used to make industrial biotechnology products:
1	Quantity	     	     	     	     
2	Value	     	     	     	     
	B. Commodity chemicals produced using fermentation, enzymatic, or microbial processes:
3	Quantity	     	     	     	     
4	Value	     	     	     	     
	C. Commodity chemicals produced from renewable resources, not including products in item B:
5	Quantity	     	     	     	     
6	Value	     	     	     	     
	D. Polymers produced using fermentation, enzymatic, or microbial processes:
7	Quantity	     	     	     	     
8	Value	     	     	     	     
	E. Polymers produced using renewable resources, not including products in item D:
9	Quantity	     	     	     	     
10	Value	     	     	     	     
	F. Specialty chemicals produced using fermentation, enzymatic, or microbial processes:
11	Quantity	     	     	     	     
12	Value	     	     	     	     

III.3A. Continued

#	Item	2004	2005			2006		2007 est.
		Show quantity in 1,000 pounds, value in 1,000 dollars rounded to nearest 1,000
	G. Specialty chemicals produced using renewable resources, not including products in item F:
13	Quantity	     		     	     		     
14	Value	     		     	     		     
	H. Chemical intermediates produced using fermentation, enzymatic, or microbial processes:
15	Quantity	     	     			     		     
16	Value	     	     			     		     
	I. Chemical intermediates produced using renewable resources, not including products in item H:
17	Quantity	     	     			     		     
18	Value	     	     			     		     
	J. Pharmaceuticals produced using fermentation, enzymatic, or microbial processes:
19	Quantity	     	     			     		     
20	Value	     	     			     		     
	K. Pharmaceuticals produced using renewable resources, not including products in item J:
21	Quantity	     	     			     		     
22	Value	     	     			     		     
	L. Food additives/ingredients produced using fermentation, enzymatic, or microbial processes:
23	Quantity	     	     			     		     
24	Value	     	     			     		     
	M. Food additives/ingredients produced using renewable resources, not including products In item L:
25	Quantity	     	     			     		     
26	Value	     	     			     		     
	N. Flavors and fragrances produced using fermentation, enzymatic, or microbial processes:
27	Quantity	     	     			     		     
28	Value	     	     			     		     
	O. Flavors and fragrances produced using renewable resources, not including products in item N:
29	Quantity	     	     			     		     
30	Value	     	     			     		     
	P. Other chemicals produced using fermentation, enzymatic, or microbial processes:
31	Quantity	     	     			     			     
32	Value	     	     			     			     
	Specify other chemical(s) included in item P:      
	Q. Other chemicals produced using renewable resources, not including products in item P:
33	Quantity	     	     			     			     
34	Value	     	     			     			     
	Specify other chemical(s) included in item Q:      

III.3B. For the production shown in the previous question, list the top five specific bio-based chemicals that your organization produced during 2004-2007, ranked by value. If none, leave blank.

Rank	Product
1	     
2	     
3	     
4	     
5	     

III.4. Please indicate the number of plants that are presently under construction by or for your organization in the United States (ground has been broken), the expected year of start-up, and the expected capacity for each type of plant below. If plant will be producing more than one type of bio-based chemical, include in just one category below based on the primary liquid bio-based chemical. Include expansion of existing production facilities. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined terms defined on pages 5-6.

#	Type of bio-based chemical	Number of plants under construction	Expected year of start-up	Capacity (1,000 pounds)
1	Enzymes or micro-organisms for industrial biotechnology products	     	     	     
2	Bio-based commodity chemicals	     	     	     
3	Bio-based polymers	     	     	     
4	Bio-based specialty chemicals	     	     	     
5	Bio-based chemical intermediates	     	     	     
6	Pharmaceuticals made using industrial biotechnology	     	     	     
7	Food additives/ingredients made using industrial biotechnology	     	     	     
8	Flavors and fragrances made using industrial biotechnology	     	     	     
9	Other bio-based chemicals	     	     	     

III.5. Please report your total net sales of bio-based chemicals produced in your U.S. establishments (include domestic and foreign sales), and the associated operating income. Do not include re-sales of purchased bio-based chemicals. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
	Total net sales of bio-based chemical products made in the United States:
1	Sold in United States market	     	     	     	     
2	Exported to foreign markets	     	     	     	     
3	Bio-based chemical operating income	     	     	     	     
Note: Use 2007 year-to-date data to project for full-year 2007.

III.6. For your organization’s exports of bio-based chemicals reported in the previous question, please list the leading five foreign markets during 2004-2007 in descending order by value of exports. Leave blank if you have no exports.

Top markets	Indicate country
1	     
2	     
3	     
4	     
5	     

III.7. Please report the value of your organization’s imports of agricultural feedstocks and bio-based chemicals. Include any products imported for you by agents. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on imports to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined terms defined on pages 5-6.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	Agricultural feedstocks for bio-based chemical production	     	     	     	     
2	Enzymes/micro-organisms for industrial biotechnology products	     	     	     	     
3	Bio-based commodity chemicals	     	     	     	     
4	Bio-based polymers	     	     	     	     
5	Bio-based specialty chemicals	     	     	     	     
6	Bio-based chemical intermediates	     	     	     	     
7	Pharmaceuticals made using industrial biotechnology	     	     	     	     
8	Food additives/ingredients made using industrial biotechnology	     	     	     	     
9	Flavors and fragrances made using industrial biotechnology	     	     	     	     
10	Other bio-based chemicals	     	     	     	     
	Specify other bio-based chemicals:      
Note: Use 2007 year-to-date data to project for full-year 2007.

III.8. For your organization’s imports of agricultural feedstocks and bio-based chemicals reported in the previous question, please list the leading five foreign sources during 2004-2007 in descending order by value of imports. Leave blank if you have no imports.

Top sources	Country
1	     
2	     
3	     
4	     
5	     

III.9. Please report your organization’s total net sales of products other than bio-based chemical generated at your U.S. bio-based chemical production establishments. Include only byproducts that offset operating costs (such as power, biofuels*) and/or augment sales revenues. Include internal sales or transfers of products at fair market value. Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on your operations to date. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined term defined on page 5.

*Do not include liquid biofuels that are primary products or co-products. These

should be reported in the response to question II.3.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	Total net sales of non-bio-based chemical byproducts, sold in the United States or exported	     	     	     	     
Note: Use 2007 year-to-date data to project for full-year 2007.

III.10. For the product net sales reported in the previous question, please indicate the top five most important byproducts by net sales value below. Do not include downstream products made from these products. If none, leave cells blank.

Rank by net sales value	Product
1	     
2	     
3	     
4	     
5	     
Note: Consider all byproducts, even if internally consumed.

III.11. Please provide the number of employees for your organization’s chemical and bio-based chemical production establishments located in the United States. Include production and related workers, managers, supervisors, technicians, office workers, etc. related to production activity at these establishments. Do not include employees engaged in these establishments’ upstream production activities. Full-time equivalent (FTE) reflects the total number of regular straight-time hours (i.e., not including overtime or holiday hours) worked by employees divided by the number of compensable hours applicable to each calendar year. Annual leave, sick leave, and compensatory time off and other approved leave categories are considered to be “hours worked” for purposes of defining FTE employment. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
	All chemical production:
1	Employees (full-time equivalents)	     	     	     	     
2	Wages and salaries, including fringe benefits, for these employees (rounded to nearest 1,000 dollars)	     	     	     	     
	Bio-based chemicals production:
3	Employees (full-time equivalents)	     	     	     	     
4	Wages and salaries, including fringe benefits, for these employees (rounded to nearest 1,000 dollars)	     	     	     	     
Note: Use reasonable estimates to convert fiscal year data to calendar year data and provide a reasonable estimate for full year 2007 based on operations to date.

SECTION IV. RESEARCH AND DEVELOPMENT (R&D)

R&D is the systematic pursuit of new knowledge of a general nature, the use of knowledge to meet a specific need, or the application of knowledge to the production or improvement of a product, service, process, or method. R&D expenses are the costs for these activities, including wages and salaries, materials consumed, utilities, insurance, property taxes, and overhead. Pilot and demonstration plant activities are considered R&D. Routine product testing and quality control, and marketing activities are not included in R&D. Capital expenditures for R&D facilities are not included in this category.

IV.1. Please provide the following information about your organization’s R&D expenses. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	Total in-house R&D expenses for all liquid fuel and chemical R&D	     	     	     	     
2	Liquid biofuels in-house R&D Expenses	     	     	     	     
3	Bio-based chemicals in-house R&D Expenses	     	     	     	     
Use line no. 4 below only if unable to separate liquid fuels and bio-based chemicals R&D expenditures
4	Liquid biofuels and bio-based chemicals in-house R&D expenses	     	     	     	     
Note: Use 2007 year-to-date data to project for full-year 2007.

IV.2. What are the major areas of your R&D activities involving liquid biofuels and bio-based chemicals? Check all that apply.

Check all that apply	Research areas
	Enzyme or micro-organism development
	Thermochemical processes
	Cellulosic ethanol
	Biodiesel production using enzymes or micro-organisms
	Diesel from Fisher-Tropsch conversion of bio-based syngas
	Diesel isolated from liquefied biomass
	Biobutanol
	Higher yields of biofuels or bio-based chemicals per unit of feedstock
	Higher yields of feedstocks per acre
	Development of new feedstocks
	Biocatalysis
	Bio-based chemicals from sugar platforms
	Liquid biofuels other than ethanol, biobutanol, and biodiesel
	Biobutanol
	Fractionation of corn kernel
	Development of higher-value co-products
	New drug development
	Other A
Specify other A:      
	Other B
Specify other B:      
	Other C
Specify other C:      
	Other D
Specify other D:      

IV.3. Please provide the number of R&D in-house employees for each of the items shown below for R&D establishments located in the United States. Include scientists, engineers, technicians, R&D managers, and other staff (support, personnel, etc.) related directly to R&D. If value is zero, put zero in cell; if value unknown, leave cell blank. See question II.11 or III.11 for definition of full time equivalent.

#	Item	2004	2005	2006	2007 est.
		Full-time equivalents
1	Total in-house employees for all liquid fuel and chemical R&D	     	     	     	     
2	Liquid biofuels R&D employees	     	     	     	     
3	Bio-based chemicals R&D employees	     	     	     	     
Use line no. 4 below only if unable to separate liquid fuels and bio-based chemicals R&D employees.
4	Liquid biofuels and bio-based chemicals R&D employees	     	     	     	     
Note: Use 2007 year-to-date data to project for full-year 2007

SECTION V. INVESTMENT

Investment is defined as capital expenditures for plant construction, improvements to existing plant and equipment, and purchases of new or existing plant, property, machinery and equipment. This includes direct expenditures by your organization, and expenditures by other organizations (e.g., construction firm) done for your organization. Capital expenditures for R&D-related property, plant, and equipment are included in this category. Investment also includes expenditures for acquired companies. It does not include expenses for routine maintenance and repair.

V.1. Please provide the following information about your organization’s investment expenditures. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	Total investment for all liquid fuel and chemical activities	     	     	     	     
2	Liquid biofuels investment:
	R&D facilities (see note below)	     	     	     	     
	All other investment	     	     	     	     
3	Bio-based chemicals investment
	R&D facilities (see note below)	     	     	     	     
	All other investment	     	     	     	     
Use line no. 4 below only if unable to separate liquid fuels and bio-based chemicals investment
4	Liquid biofuels and bio-based chemicals investment	     	     	     	     
	R&D facilities (see note below)	     	     	     	     
	All other investment	     	     	     	     
Note: If unable to separate R&D investment from all other investment, include in all other investment. Use 2007 year-to-date data to project for full-year 2007.

V.2 Indicate the most important companies your organization acquired during 2004-2007(YTD) that are related to your industrial biotechnology activities. Leave blank if no companies acquired.

Acquired company name (enter no more than five) and country location of major operations		Year acquired	Enter up to two type codes from list below
     		     	     	     
     		     	     	     
     		     	     	     
     		     	     	     
     		     	     	     
Type codes: A: U.S.-located domestic feedstock operation B: U.S.-located R&D operation C: U.S.-located liquid fuels production operation D: U.S.-located bio-based chemical production operations E: U.S.-located intermediate product production operations F: U.S.-located final product production operations G: U.S.-located retail operations H: Other U.S.-located operations	I: Foreign-located feedstock operation J: Foreign-located R&D operation K: Foreign-located liquid fuels production operation L: Foreign-located bio-based chemical production operations M: Foreign-located intermediate product production operations N: Foreign-located final product production operations O: Foreign-located retail operations P: Other foreign-located operations

V.3. During 2004-2007, which sources provided investment funding for your liquid biofuels and bio-based chemical activities?

Source	Check all that apply (rank importance in columns to the right)	Rank in importance, if box checked in previous column (pick one box per row)
		Not important Very important
Retained earnings		1 2 3 4 5
Federal government		1 2 3 4 5
State or local government		1 2 3 4 5
Domestic-sourced venture capital		1 2 3 4 5
Foreign-sourced venture capital		1 2 3 4 5
Angel investors (see note below)		1 2 3 4 5
Debt		1 2 3 4 5
Collaborative alliance partner		1 2 3 4 5
Initial public offering (IPO) of stock		1 2 3 4 5
Sales of equity other than IPO		1 2 3 4 5
Other		1 2 3 4 5
Specify other:      
Note: An angel investor is typically an individual investor involved in the early stages of equity financing when companies are too small to attract venture capital financing.

SECTION VI. INTELLECTUAL PROPERTY AND TECHNOLOGY TRANSFER ISSUES

VI.1. Indicate below your organization’s industrial biotechnology patent and trademark activity below. In each year, indicate new activity only. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Number
1	New patent applications	     	     	     	     
2	New trademarks registered	     	     	     	     
Note: For 2007, include any anticipated applications or registrations.

VI.2. Please indicate below the total number of industrial biotechnology product and process patents your organization has been granted in and outside of the United States since 1997. If value is zero, put zero in cell; if value unknown, leave cell blank.

Type	Domestic Patents	Foreign Patents
	Number
Product patents	     	     
Process patents	     	     
Use line below if patent is both a product and process patent or if unable to specify
Product or process patents	     	     

VI.3. Please indicate your organization’s income from granting or selling industrial biotechnology-related intellectual property rights (IPR) to external domestic or foreign organizations during 2004-2007. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	IPR licensing income	     	     	     	     
2	IPR sales income	     	     	     	     
3	Other IPR income	     	     	     	     
	Specify other:      
Note: Use 2007 year-to-date data to project for full-year 2007.

VI.4. Please indicate your organization’s expenses for obtaining industrial biotechnology-related intellectual property rights from external domestic or foreign organizations during 2004-2007. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Item	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
1	IPR licensing costs	     	     	     	     
2	IPR purchase costs	     	     	     	     
3	Other IPR costs	     	     	     	     
	Specify other:      
Note: Use 2007 year-to-date data to project for full-year 2007.

SECTION VII. COMPETITIVE FACTORS

VII.1. Please indicate the competitive factors that affect your organization’s ability to market liquid biofuels and/or bio-based chemical products. Indicate just the top five competitive factors below, ranking from one to five, with one being the most important.

Competitive Factor	Put number in this column for top five factors only
Price of feedstock	     
Production costs	     
Ability to price product appropriately	     
Technology availability	     
Product performance characteristics	     
Product quality	     
Plants that are able to produce co-products	     
Financing availability	     
Product standards	     
Transportation costs	     
Delivery time	     
Hedging instruments for feedstocks	     
Hedging instruments for product	     
Consumer acceptance of product	     
Government incentives/support	     
Other	     
Specify other factor:      

VII.2. Indicate whether each of the following acts as a significant impediment to your organization’s R&D activities related to liquid biofuels and/or bio-based chemicals.

		Check one box per impediment to indicate level of significance
#	Impediment	Not significant					Very significant
1	Lack of funds (debt or equity)	1	2		3	4		5
2	Limits of available technology	1	2		3	4		5
3	Lack of human resources with appropriate educational qualifications	1	2		3	4		5
4	Regulatory requirements in the United States	1	2		3	4		5
5	Inability to qualify for federal government grants	1	2		3	4		5
6	Inability to qualify for state or local grants	1	2		3	4		5
7	Inability to establish alliances	1	2		3	4		5
8	Patent barriers	1	2		3	4		5
9	Difficulty in accessing technology developed in universities	1	2		3	4		5
10	Poor public perception or acceptance of bio-products	1	2		3	4		5
11	Other (specify below)	1	2		3	4		5
Specify other impediment:      

VII.3. Have the impediments indicated in question VII.2 resulted in a decision by your organization not to pursue any industrial biotechnology R&D activities?

No

Yes

VII.4. Have the impediments indicated in question VII.2 resulted in a decision by your organization to abandon one or more specific industrial biotechnology R&D project(s)?

No

Yes

VII.5. If the answer to either question VII.3 or VII.4 is “Yes,” please indicate the three most significant impediments, using the impediment number in the first column of the table in question VII.2.

Rank	Put impediment number in this column
1	     
2	     
3	     

VII.6. Indicate whether each of the following acts as a significant impediment to your organization’s commercialization of liquid biofuels and/or bio-based chemicals.

		Check one box per impediment to indicate level of significance
#	Impediment	Not significant					Very significant
1	Unreliable supply of agriculture feedstocks	1	2		3	4		5
2	High price of agriculture feedstocks	1	2		3	4		5
3	High price of enzymes or micro-organisms	1	2		3	4		5
4	Availability of enzymes or micro-organisms	1	2		3	4		5
5	Crude petroleum price uncertainty	1	2		3	4		5
6	Availability of water	1	2		3	4		5
7	Ability to dispose of co-products or byproducts profitability	1	2		3	4		5
8	Lack of capital (debt or equity)	1	2		3	4		5
9	Limits of available technology	1	2		3	4		5
10	Lack of production workers	1	2		3	4		5
11	Not related to current lines of business	1	2		3	4		5
12	Lack of human resources with appropriate educational qualifications	1	2		3	4		5
13	Lack of distribution and marketing channels	1	2		3	4		5
14	Poor public perception or acceptance of bio-products	1	2		3	4		5
	Regulatory barriers:
15	In the United States	1	2		3	4		5
16	In foreign countries	1	2		3	4		5
17	Patent barriers	1	2		3	4		5
18	High licensing costs	1	2		3	4		5
19	Transportation to market capacity limitations or bottlenecks	1	2		3	4		5
20	Transportation costs	1	2		3	4		5
21	Difficult to integrate into existing production processes	1	2		3	4		5
22	Absence of product standards or certification	1	2		3	4		5
23	Level of risk relative to profit potential is high	1	2		3	4		5
24	Lack of market knowledge	1	2		3	4		5
25	Cost of final product not competitive with conventional product	1	2		3	4		5
26	Market dominated by other companies	1	2		3	4		5
27	Foreign market tariffs	1	2		3	4		5
28	Other foreign market barriers	1	2		3	4		5
Specify other foreign market barrier:      
29	Other (specify below)	1	2		3	4		5
Specify other impediment:      

VII.7. Have the impediments indicated in question VII.6 resulted in a decision by your organization not to pursue any industrial biotechnology commercialization activities?

No

Yes

VII.8. Have the impediments indicated in question VII.6 resulted in a decision by your organization to abandon one or more specific industrial biotechnology commercialization project(s)?

No

Yes

VII.9. If the answer to either question VII.7 or VII.8 is “Yes,” please rank the five most significant impediments, using the impediment number in the first column of the table in question VII.6.

Rank	Put impediment number in this column
1	     
2	     
3	     
4	     
5	     

SECTION VIII. STRATEGIC ALLIANCES

VIII.1. Please indicate the number of alliances or collaborations your organization had or has with external organizations located in the United States (regardless of the organization’s country of origin). Include only those that are related to your industrial biotechnology activities. For each year, enter only new alliances established. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined terms defined on pages 4-6.

Organization type	2004	2005	2006	2007
	Number
Enzyme/micro-organism developer or producer	     	     	     	     
Agriculture feedstock provider	     	     	     	     
Intermediate product producer	     	     	     	     
End product producer	     	     	     	     
Retail marketer	     	     	     	     
R&D organization not affiliated with university or government	     	     	     	     
University	     	     	     	     
Federal government entity	     	     	     	     
State or local government entity	     	     	     	     
Other	     	     	     	     
Specify other:      
Note: For 2007, include any anticipated new alliances or collaborations through the end of the year.

VIII.2. Please indicate the number of alliances or collaborations your organization had or has with external organizations not located in the United States (regardless of the organization’s country of origin). Include only those that are related to your industrial biotechnology activities. For each year, enter only new alliances established. If value is zero, put zero in cell; if value unknown, leave cell blank. Underlined terms defined on pages 4-6.

Organization type	2004	2005	2006	2007
	Number
Enzyme/micro-organism developer or producer	     	     	     	     
Agriculture feedstock provider	     	     	     	     
Intermediate product producer	     	     	     	     
End product producer	     	     	     	     
Retail marketer	     	     	     	     
R&D organization not affiliated with university or government	     	     	     	     
University	     	     	     	     
Federal government entity	     	     	     	     
State or local government entity	     	     	     	     
Other	     	     	     	     
Specify other:      
Note: For 2007, include any anticipated new alliances or collaborations through the end of the year.

VIII.3. Please indicate the reasons for the alliances listed in the previous two questions. Check all that apply. Underlined terms defined on pages 4-6.

Access to agricultural feedstocks
Access to other biomass
Access to R&D resources
Lower operating expenses
Access to domestic markets/distribution channels
Access to foreign markets/distribution channels
Access to intellectual property
Access to capital
Access to production knowledge/skills
Risk reduction
Other
Specify other:      

SECTION IX. GOVERNMENT POLICIES

IX.1. Please provide the amount of government grant funds your organization received, and any matching funds from your organization, for industrial biotechnology activities during 2004-2007. Include entire amount of grant in the year of the grant. If value is zero, put zero in cell; if value unknown, leave cell blank.

#	Grant type	2004	2005	2006	2007 est.
		Rounded to nearest 1,000 dollars
	Federal government:
1	Funds from federal government	     	     	     	     
2	Your organization’s matching funds	     	     	     	     
	State and local grants:
3	Funds from a state or locality	     	     	     	     
4	Your organization’s matching funds	     	     	     	     
Note: For 2007, include any anticipated grants.

IX.2. Please provide information on what grants were or are being used for during 2004-2007, ranked by amount of total grant during 2004-2007. Leave blank if you did not use grants for indicated use category. Select user category that the grant best fits.

Use category	Rank (indicate 1, 2, 3, etc.)
R&D of enzyme or micro-organisms	     
R&D of liquid biofuels	     
R&D of bio-based chemicals	     
R&D of second generation bio-refinery	     
Liquid fuels pilot or demonstration plant	     
Bio-based chemical pilot or demonstration plant	     
Second generation bio-refinery pilot or demonstration plant	     
Commercialization of liquid biofuels	     
Commercialization of bio-based chemicals	     
Commercialization of second generation bio-refinery	     
Other	     
Specify other:      
Note: If a grant is for more than one of the uses indicated above, prorate the amount to each use, and then determine ranking.

IX.3. Please indicate the relative importance of U.S. government programs that are currently supporting your organization’s development and/or adoption of industrial biotechnology. Underlined term defined on page 4.

#	Government program	Check one box per line to indicate importance
		Not important					Very important
	Tax incentives:
1	Federal	1	2		3	4		5
2	State or local	1	2		3	4		5
3	Mandatory use of intermediate products	1	2		3	4		5
4	Mandatory use of final products	1	2		3	4		5
	Loan guarantees:
5	Federal	1	2		3	4		5
6	State or local	1	2		3	4		5
	Grants from federal government:
7	From Department of Energy	1	2		3	4		5
8	From Department of Agriculture	1	2		3	4		5
9	From all other federal government agencies	1	2		3	4		5
10	Grants from state or local government	1	2		3	4		5
11	Collaboration with government agencies, including national laboratories	1	2		3	4		5
12	Government procurement of bio-based products	1	2		3	4		5
13	U.S. import tariff	1	2		3	4		5
14	Supporting agriculture feedstock supply	1	2		3	4		5
15	Supporting agriculture feedstock utilization	1	2		3	4		5
16	Other	1	2		3	4		5
Specify other program:      

IX.4. Compare the government programs listed in question IX.3 to each other, and list the top five most effective in supporting your organization’s development and/or adoption of industrial biotechnology.

Rank	Top government programs in effectiveness (use number in first column of table in previous question)
1
2
3
4
5

IX.5. Please describe any federal, state, or local programs that are currently inhibiting your organization’s development and/or adoption of industrial biotechnology.

Description:      

IX.6. Please indicate below which countries have government policies at the national or local levels that give their developers and adopters an advantage compared with U.S. developers of bio-based products, and the nature of the advantage. Consider only cases where your organization has direct experience with business conditions in the country or region. If there are any other policy advantages that are not listed in this table, please list in section XI.

Country/region	Do not know	No advantage	Policy advantage (check all that apply)
			Tax incentives	R&D support	Mandatory use	Loan guarantees	Import tariffs
Argentina
Australia
Brazil
Canada
China
EU*
Belgium
Finland
France
Germany
Netherlands
Sweden
United Kingdom
India
Indonesia
Japan
Korea
Malaysia
New Zealand
Thailand
Philippines
South Africa
Other
Specify other country:      
*Include policies that apply to all EU countries. Policies specific to one EU country should be included in the response for that country.

IX.7. Please indicate which countries have the most supportive government policies in regard to the development and adoption of industrial biotechnology. Consider all countries, including the United States. Indicate up to the top 5 below.

Rank	Country
1	     
2	     
3	     
4	     
5	     

IX.8. Do agricultural feedstock issues listed below affect your operations that consume these materials? Indicate all that affect your operations, and rank the five most important issues. Agricultural feedstocks include crops (such as corn, wheat, soybeans), crop wastes (such as corn stover), switchgrass, and wheatgrass.

Check if affects operations	Agricultural feedstock issue	Ranking of top 5 issues*
	Lack of storage capacity at point of origin	     
	Costs	     
	Poor quality (contamination)	     
	Supply disruptions	     
	Transportation bottlenecks from point of origin to your operations	     
	Poor crop yields	     
	Unavailability of new varieties	     
	Other	     
Specify other:      
*Indicate a number for just the top five issues based on their effects on your organization.

IX.9. List the major U.S. government programs and the administering agency at the federal, state, or local level that directly affect your organization’s supply of agriculture feedstocks. Include any programs that provide farm assistance, R&D support, loan guarantees to suppliers, etc. Do not include any programs that affect downstream products; for example, tax credits for ethanol blending. Leave blank if none or unknown. Underlined term defined on page 4.

     

IX.10. List the major U.S. government programs and the administering agency at the federal, state, or local level that are directly affecting your organization’s utilization of agriculture feedstocks. Leave blank if none or unknown. Underlined term defined on page 4.

     

SECTION X. COMPARISON OF BIO-BASED PRODUCT WITH CONVENTIONAL PRODUCT

X.1. Does your organization produce, or have experience producing, a conventional liquid fuel or chemical and a comparable bio-based product? Examples include: conventional diesel fuel versus biodiesel fuel; petroleum-based 1,3-propanediol versus bio-based 1,3-propanediol.

NO Proceed to section XI.

YES Proceed below.

The rest of this section requests information for each of your organization’s top two products (based on sales of the bio-based product) for which you can make a knowledgeable comparison. If your organization would like to submit more than two comparisons, please contact the project team.

_____________________________________________

X.2A. Product 1

Product name:

     

Product type (check one):

Fuel
Commodity chemical
Chemical intermediate
Specialty chemical
Pharmaceutical
Food additive/ingredient
Polymer
Flavor or fragrance
Other
Specify other:      

X.2B. Comparing the conventional product to the bio-based product, please indicate the difference in the indicated items in regard to production. For example, if the investment required to build a plant that can produce the bio-based product is 10 percent lower than the capital costs to build a comparable conventional plant, put a check in box number 3 in the first row. Please respond for each item that applies. Assume costs for raw material, labor, etc. are the same as the current situation. Leave cells in row blank if unknown.

Item	Bio-based product is lower by				No differ-ence	Bio-based product is higher by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Investment	1	2	3	4	5	6	7	8	9
Energy consump-tion	1	2	3	4	5	6	7	8	9
Total prod- uction costs	1	2	3	4	5	6	7	8	9
Labor costs	1	2	3	4	5	6	7	8	9
Product purity	1	2	3	4	5	6	7	8	9
Green-house gas emission	1	2	3	4	5	6	7	8	9
Air pollutant emissions	1	2	3	4	5	6	7	8	9
Solid waste generation	1	2	3	4	5	6	7	8	9
Other	1	2	3	4	5	6	7	8	9
Specify other:      

X.2C. Please provide the following production costs as a percent of total production costs to the nearest indicated percentage for the most recent year. Check one box per cost item.

	Percent of total production costs for most recent year
Cost item	10%	20%	30%	40%	50%	60%	70%	80%	90%
For conventional product:
Raw materials
Energy
Direct labor
For bio-based product:
Raw materials
Energy
Direct labor

X.2D. Please compare the average price of the bio-based product as compared with the price of the conventional products during the most recent year, and indicate the difference below.

Item	Bio-based product is lower by				No differ-ence	Bio-based product is higher by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Comparison of average price	1	2	3	4	5	6	7	8	9

X.2E. Please indicate the trend in net sales during 2004-2007 of the bio-based product and the conventional product, and indicate the difference below.

Item	Declined by				Remained constant	Increased by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Net sales of bio-product	1	2	3	4	5	6	7	8	9
Net sales of conventional product	1	2	3	4	5	6	7	8	9

X.2F. The primary purchasers of the bio-based and conventional product are engaged in:

Production of an intermediate product

Production of a final product

Distribution to end user

Other Specify other:      

X.2G. What are the reasons that your primary purchasers buy the bio-based product as compared with the conventional product? Check all that apply.

	Lower price
	Provides product qualities that enhance their production process
	Provides specific product qualities desired by their consumers
	Provides energy savings in their production process
	Provides environmental benefits by reducing waste
	Meets federal, state, or local government mandate
	Enables sales into a new market
	Ability to market product as “green”
	Other
Specify other:      

_____________________________________________

X.3A. Product 2

Product name:

     

Product type (check one):

Fuel
Commodity chemical
Chemical intermediate
Specialty chemical
Pharmaceutical
Food additive/ingredient
Polymer
Flavor or fragrance
Other
Specify other:      

X.3B. Comparing the conventional product to the bio-based product, please indicate the difference in the indicated items in regard to production. For example, if the investment required to build a plant that can produce the bio-based product is 10 percent lower than the capital costs to build a comparable conventional plant, put a check in box number 3 in the first row. Please respond for each item that applies. Assume costs for raw material, labor, etc. are the same as the current situation. Leave cells in row blank if unknown.

Item	Bio-based product is lower by				No differ-ence	Bio-based product is higher by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Investment	1	2	3	4	5	6	7	8	9
Energy consump-tion	1	2	3	4	5	6	7	8	9
Total prod- uction costs	1	2	3	4	5	6	7	8	9
Labor costs	1	2	3	4	5	6	7	8	9
Product purity	1	2	3	4	5	6	7	8	9
Green-house gas emission	1	2	3	4	5	6	7	8	9
Air pollutant emissions	1	2	3	4	5	6	7	8	9
Solid waste generation	1	2	3	4	5	6	7	8	9
Other	1	2	3	4	5	6	7	8	9
Specify other:      

X.3C. Please provide the following production costs as a percent of total production costs to the nearest indicated percentage for the most recent year. Check one box per cost item.

	Percent of total production costs for most recent year
Cost item	10%	20%	30%	40%	50%	60%	70%	80%	90%
For conventional product:
Raw materials
Energy
Direct labor
For bio-based product:
Raw materials
Energy
Direct labor

X.3D. Please compare the average price of the bio-based product as compared with the price of the conventional products during the most recent year, and indicate the difference below.

Item	Bio-based product is lower by				No differ-ence	Bio-based product is higher by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Comparison of average price	1	2	3	4	5	6	7	8	9

X.3E. Please indicate the trend in net sales during 2004-2007 of the bio-based product and the conventional product, and indicate the difference below.

Item	Declined by				Remained constant	Increased by
	Over 25%	11% to 25%	6% to 10%	5% or less		5% or less	6% to 10%	11% to 25%	Over 25%
Net sales of bio-product	1	2	3	4	5	6	7	8	9
Net sales of conventional product	1	2	3	4	5	6	7	8	9

X.3F. The primary purchasers of the bio-based and conventional product are engaged in:

Production of an intermediate product

Production of a final product

Distribution to end user

Other Specify other:     

X.3G. What are the reasons that your primary purchasers buy the bio-based product as compared with the conventional product? Check all that apply.

	Lower price
	Provides product qualities that enhance their production process
	Provides specific product qualities desired by their consumers
	Provides energy savings in their production process
	Provides environmental benefits by reducing waste
	Meets federal, state, or local government mandate
	Enables sales into a new market
	Ability to market product as “green”
	Other
Specify other:      

SECTION XI. OTHER INFORMATION

XI.1. If you would like to elaborate on any of your responses, or provide any additional pertinent information, use the space below. Specify if the additional information applies to a specific question number. If information is general in nature, leave “Question no.” column blank.

Question no.	Additional information
     	     
     	     
     	     
     	     

OMB No. 3117-XXXX/USITC No. 332-481; Expiration Date: XX/XX/XX

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