Frozen Warmwater Shrimp from Brazil, China, India, Thailand, and Vietnam

INSTRUCTION BOOKLET
GENERAL INFORMATION, INSTRUCTIONS, AND
DEFINITIONS FOR COMMISSION QUESTIONNAIRES

Frozen Warmwater Shrimp from Brazil, China, India, Thailand, and Vietnam
Investigation Nos. 731-TA-1063, 1064, 1066-1068 (Review)

Further information.--If you have any questions concerning the enclosed
questionnaire(s) or other matters related to these reviews, you may contact
the following members of the Commission=s staff (Fax 202-205-3205):
Elizabeth Haines, investigator (202-205-3200; E-mail elizabeth.haines@usitc.gov)
regarding general questions and trade and related information;
Justin Jee, auditor (202-205-3186; E-mail justin.jee@usitc.gov)
regarding financial information; and
Ioana Mic, economist (202-205-3196; E-mail ioana.mic@usitc.gov)
regarding pricing, market, and related information.

GENERAL INFORMATION
Background.—On February 1, 2005, the Department of Commerce issued antidumping duty
orders on imports of frozen warmwater shrimp from Brazil, China, India, Thailand, and Vietnam
(70 F.R. 5143-5156). On January 4, 2010, the Commission instituted reviews pursuant to section
751(c) of the Tariff Act of 1930 (19 U.S.C. § 1675(c)) (the Act) to determine whether revocation
of the orders would be likely to lead to continuation or recurrence of material injury to the
domestic industry within a reasonably foreseeable time (75 F.R. 1078). If the Commission and
Commerce make affirmative determinations with respect to a particular order, that order will
remain in place. If the Commission or Commerce make a negative determination with respect to
a particular order, Commerce will revoke that order.
Questionnaires and other information pertinent to these reviews are available at
http://www.usitc.gov/trade_remedy/731_ad_701_cvd/investigations/2010/shrimp/reviewphase.ht
m. Address all correspondence to the United States International Trade Commission, Washington,
DC 20436. Hearing-impaired individuals can obtain information regarding these reviews via the
Commission=s TDD terminal (202-205-1810).
Due date of questionnaire(s).--Return the completed questionnaire(s) to the United States
International Trade Commission by no later than November 22, 2010. Although the enclosed
postpaid envelope may be used to return the completed questionnaire, use of an overnight mail
service may be necessary to ensure that your response actually reaches the Commission by
November 22, 2010. If you do not use the enclosed envelope, please make sure the completed
questionnaire is sent to the attention of Elizabeth Haines. Return only one copy of the
completed questionnaire(s), but please keep a copy for your records so that you can refer to
it if the Commission staff contacts you with any questions during the course of the reviews.
Service of questionnaire response(s).--In the event that your firm is a party to these reviews, you
are required to serve a copy of the questionnaire(s), once completed, on parties to the proceeding
that are subject to administrative protective order (see 19 CFR ' 207.7). A list of such parties is
maintained by the Commission=s Secretary and may be obtained by calling 202-205-1803. A
certificate of service must accompany the copy of the completed questionnaire(s) you submit (see
19 CFR ' 207.7).
Confidentiality.--The commercial and financial data furnished in response to the enclosed
questionnaire(s) that reveal the individual operations of your firm will be treated as confidential by
the Commission to the extent that such data are not otherwise available to the public and will not
be disclosed except as may be required by law (see 19 U.S.C. ' 1677f). Such confidential
information will not be published in a manner that will reveal the individual operations of your
firm; however, nonnumerical characterizations of numerical business proprietary information
(such as discussion of trends) will be treated as confidential business information only at the
request of the submitter for good cause shown.

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GENERAL INFORMATION--Continued
Verification.--The information submitted in the enclosed questionnaire(s) is subject to audit
and verification by the Commission. To facilitate possible verification of data, please keep
all your workpapers and supporting documents used in the preparation of the questionnaire
response(s).
Release of information.--The information provided by your firm in response to the
questionnaire(s), as well as any other business proprietary information submitted by your firm to
the Commission in connection with the reviews, may become subject to, and released under, the
administrative protective order provisions of the Tariff Act of 1930 (19 U.S.C. ' 1677f) and
section 207.7 of the Commission=s Rules of Practice and Procedure (19 CFR ' 207.7). This means
that certain lawyers and other authorized individuals may temporarily be given access to the
information for use in connection with these reviews or other import-injury proceedings or
reviews conducted by the Commission on the same or similar merchandise; those individuals
would be subject to severe penalties if the information were divulged to unauthorized individuals.

INSTRUCTIONS
Answer all questions.--Do not leave any question or section blank unless a questionnaire
expressly directs you to skip over certain questions or sections. If the answer to any question is
Anone,@ write Anone.@ If information is not readily available from your records in exactly the
form requested, furnish carefully prepared estimates--designated as such by the letter
AE@--and explain the basis of your estimates. Answers to questions and any necessary
comments or explanations should be supplied in the space provided or on separate sheets attached
to the appropriate page of the questionnaire(s). If your firm is completing more than one
questionnaire in connection with these reviews (i.e., a producer, importer, and/or purchaser
questionnaire), you need not respond to duplicated questions in the questionnaires.
Consolidate all U.S. establishments.--Report the requested data for your establishment(s) located
in the United States. Firms operating more than one establishment should combine the data
for all establishments into a single report.
Filing instructions.—Questionnaires may be filed either in paper form or electronically.

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INSTRUCTIONS--Continued
OPTIONS FOR FILING
This questionnaire is available as a “fillable” form in MS Word format on the
Commission’s website at
http://www.usitc.gov/trade_remedy/731_ad_701_cvd/investigations/2010/shrimp/
reviewphase.htm. Please do not attempt to modify the format or permissions of
the questionnaire document. You may complete the questionnaire and submit it,
electronically, or you may print it out and submit it in paper form, as described
below:
• Compact disc (CD).—Copy your questionnaire onto a CD, include a signed certification page
(page 1) (either in paper form or scanned PDF copied onto CD), and mail to the address above. It
is strongly recommended that you use an overnight mail service. U.S. mail sent to government
offices undergoes additional processing which not only results in substantial delays in delivery but
may also damage CDs.
• E-mail.—E-mail your questionnaire to the investigator identified on page 1 of the Instruction
Booklet; include a scanned PDF of the signed certification page (page 1). Type the following in
the e-mail subject line: BPI Questionnaire, Inv. Nos. 731-TA-1063, 1064, 1066-1068 (Review).
Please note that submitting your questionnaire by e-mail may subject your firm’s business
proprietary information to transmission over an unsecure environment and to possible disclosure.
If you choose this option, the Commission warns you that any risk involving possible disclosure
of such information is assumed by the submitter and not by the Commission.
• Fax.—Fax to 202.205.3205.
• Overnight mail service.—Mail to the following address:
United States International Trade Commission
Office of Investigations, Room 615
500 E Street SW
Washington, DC 20024
• U.S. mail.—Mail to the address above, but use zip code 20436. This option is not recommended.
U.S. mail sent to government offices undergoes additional processing to screen for hazardous
materials; this additional processing results in substantial delays in delivery.
Note: If you are a party to the proceeding, and service of the questionnaire is required,
such service should be made in paper form.

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DEFINITIONS
Frozen warmwater shrimp.— includes certain frozen warmwater shrimp and prawns, whether
wild–caught (ocean harvested) or farm–raised (produced by aquaculture), head–on or head–off, shell–on or
peeled, tail–on or tail–off,1 deveined or not deveined, cooked or raw, or otherwise processed in frozen form.
The frozen warmwater shrimp and prawn products included in the reviews, regardless of definitions
in the Harmonized Tariff Schedule of the United States (“HTS”), are products which are processed from
warmwater shrimp and prawns through freezing and which are sold in any count size.
The products described above may be processed from any species of warmwater shrimp and
prawns. Warmwater shrimp and prawns are generally classified in, but are not limited to, the Penaeidae
family. Some examples of the farmed and wild–caught warmwater species include, but are not limited to,
whiteleg shrimp (Penaeus vannemei), banana prawn (Penaeus merguiensis), fleshy prawn (Penaeus
chinensis), giant river prawn (Macrobrachium rosenbergii), giant tiger prawn (Penaeus monodon),
redspotted shrimp (Penaeus brasiliensis), southern brown shrimp (Penaeus subtilis), southern pink shrimp
(Penaeus notialis), southern rough shrimp (Trachypenaeus curvirostris), southern white shrimp (Penaeus
schmitti), blue shrimp (Penaeus stylirostris), western white shrimp (Penaeus occidentalis), and Indian
white prawn (Penaeus indicus).
Frozen shrimp and prawns that are packed with marinade, spices or sauce are included in the scope
of the reviews. In addition, food preparations (including dusted shrimp), which are not ‘‘prepared meals,’’
that contain more than 20 percent by weight of shrimp or prawn are also included in the scope of the
reviews.
The products covered by the reviews are currently classified under the following HTS subheadings:
0306.13.00.03, 0306.13.00.06, 0306.13.00.09, 0306.13.00.12, 0306.13.00.15, 0306.13.00.18,
0306.13.00.21, 0306.13.00.24, 0306.13.00.27, 0306.13.00.40, 1605.20.10.10, and 1605.20.10.30. These
HTS subheadings are provided for convenience and for customs purposes only and are not dispositive, but
rather the written description of the scope of the reviews is dispositive.
Excluded from the scope are: 1) breaded shrimp and prawns (HTS subheading 1605.20.10.20); 2)
shrimp and prawns generally classified in the Pandalidae family and commonly referred to as coldwater
shrimp, in any state of processing; 3) fresh shrimp and prawns whether shell–on or peeled (HTS
subheadings 0306.23.00.20 and 0306.23.00.40); 4) shrimp and prawns in prepared meals (HTS subheading
1605.20.05.10); 5) dried shrimp and prawns; 6) Lee Kum Kee’s shrimp sauce;2 7) canned warmwater
shrimp and prawns (HTS subheading 1605.20.10.40); and 8) certain battered shrimp. Battered shrimp is a
shrimp–based product: 1) that is produced from fresh (or thawed–from-frozen) and peeled shrimp; 2) to
which a ‘‘dusting’’ layer of rice or wheat flour of at least 95 percent purity has been applied; 3) with the
entire surface of the shrimp flesh thoroughly and evenly coated with the flour; 4) with the non–shrimp
content of the end product constituting between four and 10 percent of the product’s total weight after being
dusted, but prior to being frozen; and 5) that is subjected to IQF freezing immediately after application of
the dusting layer. When dusted in accordance with the definition of dusting above, the battered shrimp
product is also coated with a wet viscous layer containing egg and/or milk, and par–fried.
The following definition applies only to the Fishermen=s Questionnaire:
Warmwater shrimp and prawns (harvested).--The product herein is fresh shrimp and prawns
generally classified in, but not limited to, the Penaeidae family (e.g., Brown shrimp (Penaeus
aztecus), White shrimp (Penaeus setiferus), and Pink shrimp (Penaeus duorarum).

1
2

“Tails” in this context means the tail fan, which includes the telson and the uropods.
The specifice exclusion for Lee Kum Kee’s shrimp sauce applies only to the scope in the PRC case.

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DEFINITIONS--Continued
Firm.--An individual proprietorship, partnership, joint venture, association, corporation
(including any subsidiary corporation), business trust, cooperative, trustee in bankruptcy, or
receiver under decree of any court.
Related firm.--A firm that your firm solely or jointly owned, managed, or otherwise controlled; a
firm that solely or jointly owned, managed, or otherwise controlled your firm; and/or a firm that
was solely or jointly owned, managed, or otherwise controlled by a firm that also solely or jointly
owned, managed, or otherwise controlled your firm.
Establishment.--Each facility of a firm in the United States involved in the production,
importation, and/or purchase of frozen warmwater shrimp (as defined above), including auxiliary
facilities operated in conjunction with (whether or not physically separate from) such facilities.
United States.--For purposes of these reviews, the 50 States, Puerto Rico, the U.S. Virgin Islands,
and the District of Columbia.
Importer.--Any person or firm engaged, either directly or through a parent company or subsidiary,
in importing frozen warmwater shrimp (as defined above) into the United States from a foreign
manufacturer or through its selling agent.
Imports.--Those products identified for Customs purposes as imports for consumption for which
your firm was the importer of record (i.e., was responsible for paying any import duty) or
consignee (i.e., to which the merchandise was first delivered).
Import quantities.--Quantities reported should be net of returns.
Import values.--Values reported should be landed, duty-paid values (but not including
antidumping and/or countervailing duties) at the U.S. port of entry, including ocean freight and
insurance costs, brokerage charges, and normal import duties (i.e., including all charges except
inland freight in the United States and antidumping and/or countervailing duties).
Purchaser.--Any person or firm engaged, either directly or through a parent company or
subsidiary, in purchasing frozen warmwater shrimp (as defined above) from another firm that
produces, imports, or otherwise distributes frozen warmwater shrimp. A retail firm that is the
importer of record may be considered a purchaser.
Purchases.--Purchases from all sources, NOT including direct imports from foreign sources
located outside of the United States (which should be reported in an importer questionnaire).
Purchase quantities.--Quantities reported should be net of returns.

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DEFINITIONS--Continued
Purchase values.--Values reported should be net values (i.e., gross purchase values less all
discounts, allowances, rebates, and the value of returned goods), delivered to your U.S.
receiving point.
Shipments.--Shipments of products produced in or imported by your U.S. establishment(s).
Include shipments to the contracting firm of product produced by your firm under a toll agreement.
Shipment quantities.--Quantities reported should be net of returns.
Shipment values.--Values reported should be net values (i.e., gross sales values less all
discounts, allowances, rebates, prepaid freight, and the value of returned goods), f.o.b.
your U.S. point of shipment. The value of domestic shipments to the contracting firm
under a toll agreement is the conversion fee (including profit).
Types of shipments:
U.S. shipments.--Commercial shipments, internal consumption, and transfers to related
firms within the United States.
Commercial shipments.--Shipments, other than internal consumption and transfers
to related firms, within the United States.
Internal consumption.--Product consumed internally by your firm.
Transfers to related firms.--Shipments made to related domestic firms.
Export shipments.--Shipments to destinations outside the United States, including
shipments to related firms.
Inventories.--Finished goods inventory, not raw materials or work-in-progress.
Gulf Oil Spill.--Refers to the April 20, 2010 “Deepwater Horizon” incident in the Gulf of Mexico
(http://www.deepwaterhorizonresponse.com/go/doc/2931/541571, accessed on September 7,
2010).
Rubicon Group.—Consists of the following Thai firms that were excluded from the antidumping
duty order on or after January 16, 2009: Andaman Seafood Co., Ltd.; Chanthaburi Frozen
Food Co., Ltd.; Chanthaburi Seafoods Co., Ltd.; Intersia Foods Co., Ltd.; Phatthana
Frozen Food Co., Ltd.; Phatthana Seafood Co., Ltd.; S.C.C. Frozen Seafood Co., Ltd.; Sea
Wealth Frozen Food Co.; Thailand Fishery Cold Storage Public Co., Ltd.; Thai
International Seafoods Co., Ltd.; and Wales & Co. Universe Limited.

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DEFINITIONS--Continued
The following definitions apply only to the PROCESSOR AND FISHERMEN
QUESTIONNAIRES.
Average production capacity.--The level of production that your establishment(s) could
reasonably have expected to attain during the specified periods. Assume normal operating
conditions (i.e., using equipment and machinery in place and ready to operate; normal operating
levels (hours per week/weeks per year) and time for downtime, maintenance, repair, and cleanup;
and a typical or representative product mix).
Toll agreement.--Agreement between two firms whereby the first firm furnishes the raw materials
and the second firm uses the raw materials to produce a product that it then returns to the first firm
with a charge for processing costs, overhead, etc.
Production.--All production in your U.S. establishment(s), including production consumed
internally within your firm and production for another firm under a toll agreement.
PRWs.--Production and related workers, including working supervisors and all nonsupervisory
workers (including group leaders and trainees) engaged in fabricating, processing, assembling,
inspecting, receiving, storage, handling, packing, warehousing, shipping, trucking, hauling,
maintenance, repair, janitorial and guard services, product development, auxiliary production for
plant=s own use (e.g., power plant), recordkeeping, and other services closely associated with the
above production operations.
Average number employed.--Add the number of employees, both full-time and part-time, for the
12 pay periods ending closest to the 15th of the month and divide that total by 12. For the
January-September periods, calculate similarly and divide by 9.
Hours worked.--Include time paid for sick leave, holidays, and vacation time. Include overtime
hours actually worked; do not convert overtime pay to its equivalent in straight-time hours.
Wages paid.--Total wages paid before deductions of any kind (e.g., withholding taxes, old-age and
unemployment insurance, group insurance, union dues, bonds, etc.). Include wages paid directly
by your firm for overtime, holidays, vacations, and sick leave.
Fiscal year.--The 12-month period between settlement of your firm=s financial accounts.
Continued Dumping and Subsidy Offset Act (Byrd Amendment) funds received.--Funds
disbursed by the Bureau of Customs and Border Protection under the Continued Dumping and
Subsidy Offset Act of 2000 (the AByrd Amendment@). The Byrd Amendment provides for the
annual distribution of the duties collected pursuant to antidumping and countervailing duty orders.
The distribution is available to Aaffected domestic producers for qualifying expenditures.@
Purchases other than direct imports.--Purchases from U.S. producers, U.S. importers, and other
U.S. sources.
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