11-1-2906 US Processor Questionnaire

Information collections for import injury investigations (producers, importers, purchasers, and foreign producer questionnaires and institution notices for 5-year reviews)

Shrimp Sunset US Processor Questionnaire

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

OMB: 3117-0016

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 3117-0016 can be found here:

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OMB No. 3117-0016/USITC No. 11-1-2906; Expiration Date: 6/30/2011
(No response is required if currently valid OMB control number is not displayed)

U.S. PROCESSORS’ QUESTIONNAIRE
FROZEN WARMWATER SHRIMP FROM
BRAZIL, CHINA, INDIA, THAILAND, AND VIETNAM

This questionnaire must be received by the Commission by no later than November 22, 2010
See page 4 of the Instruction Booklet for filing instructions.
The information called for in this questionnaire is for use by the United States International Trade Commission in
connection with its reviews of the antidumping duty orders concerning frozen warmwater shrimp from Brazil, China,
India, Thailand, and Vietnam (Inv. Nos. 731-TA-1063, 1064, 1066-1068 (Review)). The information requested in the
questionnaire is requested under the authority of the Tariff Act of 1930, title VII. This report is mandatory and
failure to reply as directed can result in a subpoena or other order to compel the submission of records or
information in your possession (19 U.S.C. § 1333(a)).

Name of firm
Address
State

City

Zip Code

World Wide Web address
Has your firm processed frozen warmwater shrimp (as defined in the instruction booklet) at any time since
January 1, 2005?

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

YES

(Read the instruction booklet carefully, complete all parts of the questionnaire, and return the entire
questionnaire to the Commission so as to be received by the date indicated above)

CERTIFICATION
I certify that the information herein supplied in response to this questionnaire is complete and correct to the best of my knowledge
and belief and understand that the information submitted is subject to audit and verification by the Commission.
By means of this certification I also grant consent for the Commission, and its employees and contract personnel, to use the
information provided in this questionnaire and throughout these reviews in any other import-injury proceedings or reviews
conducted by the Commission on the same or similar merchandise.
I acknowledge that information submitted in this questionnaire response and throughout these reviews 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 these reviews or related proceedings for which this information is submitted, or in internal audits and
proceedings relating to the programs and operations of the Commission pursuant to 5 U.S.C. Appendix 3. I understand that all
contract personnel will sign non-disclosure agreements.

Name of Authorized Official

Title of Authorized Official
Phone: (

Date

)

Signature

E-mail address
Fax (

)

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 2

PART I.—GENERAL INFORMATION
The questions in this questionnaire have been reviewed with market participants to ensure that issues of
concern are adequately addressed and that data requests are sufficient, meaningful, and as limited as
possible. Public reporting burden for this questionnaire is estimated to average 50 hours per response,
including the time for reviewing instructions, searching existing data sources, gathering the data needed,
and completing and reviewing the questionnaire. 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 Office of Investigations, U.S. International Trade Commission, 500 E Street, SW,
Washington, DC 20436.
I-1a.

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

dollars

I-1b.

OMB feedback.--We are interested in any comments you may have for improving this
questionnaire in general or the clarity of specific questions. Please attach such comments to your
response or send them to the above address.

I-2.

Establishments covered.--Provide the name and address of establishment(s) covered by this
questionnaire (see page 3 of the instruction booklet for reporting guidelines). If your firm is
publicly traded, please specify the stock exchange and trading symbol.

I-3.

Support for continuation of orders.--Do you support or oppose continuation of the antidumping
duty orders currently in place for frozen warmwater shrimp from the following countries?
Brazil

Support

Oppose

Take no position

China

Support

Oppose

Take no position

India

Support

Oppose

Take no position

Thailand

Support

Oppose

Take no position

Vietnam

Support

Oppose

Take no position

Currently the Department of Commerce is considering a changed circumstances review request
filed jointly by the Ad Hoc Shrimp Trade Action Committee (the petitioner in the original
investigation) and the Thai Frozen Foods Association (“TFFA”) in which they seek revocation of
the order on shrimp from Thailand retroactive to its inception. Do you support, oppose, or take
no position concerning this settlement?
Support
Oppose
Take no position

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 3

PART I.--GENERAL INFORMATION--Continued
I-4.

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

Yes--List the following information.

Firm name

I-5.

I-6.

Address

Extent of ownership

Related SUBJECT importers/exporters.--Does your firm have any related firms, either
domestic or foreign, which are engaged in importing frozen warmwater shrimp from Brazil,
China, India, Thailand, or Vietnam into the United States or which are engaged in exporting
frozen warmwater shrimp from those subject countries to the United States?
No

Yes--List the following information.

Firm name

Address

Affiliation

Related NONSUBJECT importers/exporters.--Does your firm have any related firms, either
domestic or foreign, which are engaged in importing frozen warmwater shrimp from countries
other than Brazil, China, India, Thailand, or Vietnam into the United States or which are engaged
in exporting frozen warmwater shrimp from countries other than those subject countries to the
United States?
No

Yes--List the following information.

Firm name and country

Address

Affiliation

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 4

PART I.--GENERAL INFORMATION--Continued
I-7.

I-8.

Related processors.--Does your firm have any related firms, either domestic or foreign, which
are engaged in the processing of frozen warmwater shrimp?
No

Yes--List the following information.

Firm name

Address

Affiliation

Business plan.--Does your company or any related firm have a business plan or any internal
documents that describe, discuss, or analyze expected market conditions for frozen warmwater
shrimp?
No

Yes--Please provide the requested documents. If you are not providing the
requested documents, please explain why not.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 5

PART II.--TRADE AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from Elizabeth Haines (202-2053200, elizabeth.haines@usitc.gov). Supply all data requested on a calendar-year basis.
II-1.

Please identify the individual to be contacted regarding the confidential information requested in
part II?
Name and title:
Please indicate the manner by which Commission staff may contact the individual responsible for
part II with questions regarding the submitted confidential information
E-mail:
Fax: (

II-2.

Telephone: (

)

Changes in operations.--Please indicate whether your firm has experienced any of the following
changes in relation to the production of frozen warmwater shrimp since January 1, 2005.
(check as many as appropriate)
plant openings ..........................

plant closings ............................

relocations ................................

expansions ................................

acquisitions ...............................

consolidations ...........................

prolonged shutdowns or
production curtailments .................
revised labor agreements ..........

other (e.g., technology) ............

(please describe)

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 6

PART II.--TRADE AND RELATED INFORMATION--Continued
II-3.

Anticipated changes in operations.--Does your firm anticipate any changes in the character of
your operations or organization (as noted above) relating to the production of frozen warmwater
shrimp in the future? Include in your response a specific projection of your firm’s capacity
to process frozen warmwater shrimp (in 1,000 pounds) for 2011 and 2012.
No

Yes--Supply details as to the time, nature, and significance of such changes
and provide underlying assumptions, along with relevant portions of
business plans or other supporting documentation that address this
issue.

For question II-4, if your response differs for particular orders, please indicate and explain the
particular effect of revocation of specific orders.
II-4.

Anticipated changes in operations in the event the orders are revoked.--Would your firm
anticipate any changes in the character of your operations or organization (as noted above)
relating to the production of frozen warmwater shrimp in the future if the antidumping duty
orders on frozen warmwater shrimp from Brazil, China, India, Thailand, or Vietnam were to be
revoked?
No

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 7

PART II.--TRADE AND RELATED INFORMATION--Continued
II-5.

Same equipment, machinery, and workers.--Has your firm since 2005 produced, or does your
firm anticipate producing in the future, other products on the same equipment and machinery
used in the production of frozen warmwater shrimp and/or using the same production and related
workers employed to produce frozen warmwater shrimp?
No

Yes--List the following information and report your firm’s combined
production capacity and production of these products and frozen
warmwater shrimp in the periods indicated.

Product

Basis for allocation of capacity and
employment data (indicate if different)

Period

(Quantity in 1,000 pounds)
Item

2005

2006

2007

2008

2009

Overall Production Capacity
Production of:
Frozen warmwater shrimp
Other product 1
Other product 2

II-6.

Freezing capacity.--Please provide your firm’s total and allocated freezing capacity data for all
freeze-processed products at your facilities since 2005 based on your firm’s typical product mix
of frozen products
(Quantity in 1,000 pounds)
Item

2005

2006

2007

2008

2009

Total potential freezing capacity1 (A)
of which,
allocated to frozen warmwater
2
shrimp (B)
Total block freezing capacity
Total IQF freezing capacity
1

The total potential freezing capacity reported is based on your firm’s typical operations: i.e., operating
hours per week,
weeks per year. Do not report changes in capacity due to cyclicality of
operations, i.e., hold average operating hours per week and weeks per year constant over the period.
2
If the allocation of freezing capacity changed over the period since 2005, please describe why your firm
allocated more or less freezing capacity to frozen warmwater shrimp as a share of total freezing capacity.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 8

PART II.--TRADE AND RELATED INFORMATION--Continued

5 most
important

4th most
important

3 most
important

2 most
important

Item

Most
important

Constraints on production.--Please rank the following constraint(s) that limited your firm’s
production capacity of frozen warmwater shrimp during the period under review. If a given
potential constraint was not actually applicable to your firm’s operation over the period under
review, please indicate “not applicable” even if it would be or would have potentially been a
constraint.
Not
applicable
over period

II-7.

Freezing capacity
Live shrimp supply
Machinery or equipment other than
freezers
Storage capacity
Labor availability
Other:

If you indicated above that there were constraints on your production capacity for frozen
warmwater shrimp other than freezing capacity, please discuss the magnitude and timing of these
constraints on your firm’s operations since 2005.

II-8.

Production shifting.--Is your firm able to switch production between frozen warmwater shrimp
and other products in response to a relative change in the price of frozen warmwater shrimp vis-avis the price of other products, using the same equipment and labor?
No

Yes--Please identify the other products, the approximate time and cost
involved in switching, and the minimum relative price change required
for your firm to switch production to or from frozen warmwater
shrimp.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 9

PART II.--TRADE AND RELATED INFORMATION--Continued
II-9.

Trade data.--Report your firm’s production capacity, production, shipments, inventories, and
employment related to the production of frozen warmwater shrimp in your U.S. establishment(s)
during the specified periods. (See definitions in the instruction booklet.)
Quantity (in 1,000 pounds) and value (in $1,000)
Calendar year
Item

2005

2006

2007

January-September
2008

2009

2010

Average production capacity1
(quantity) (A)
Beginning-of-period inventories
(quantity) (B)
Production (quantity) (C)
U.S. shipments:
Commercial shipments:
quantity (D)
value (E)
Internal consumption:2
quantity (F)
value (G)
Transfers to related firms:2
quantity (H)
value (I)
Export shipments:3
quantity (J)
value (K)
End-of-period inventories
(quantity) (L)
Channels of distribution:
U.S. shipments to distributors
(quantity) (M)
U.S. shipments to end users
(quantity) (N)
U.S. shipments to
4
5
retailers /institutional buyers
(quantity) (M)
Employment data:
Average number of PRWs
(number) (O)
Hours worked by PRWs
(1,000 hours) (P)
Wages paid to PRWs (value)
(Q)
1

The production capacity (see definitions in instruction booklet) reported is based on operating
hours per week,
weeks per year. Please describe the methodology used to calculate production capacity, and explain any changes in
reported capacity (use additional pages as necessary).
2

Internal consumption and transfers to related firms should be valued at fair market value. In the event that you use a
different basis for valuing these transactions, please specify that basis (e.g., cost, cost plus, etc.) and provide value data
using that basis for each of the periods noted above:
3

Identify your principal export markets:
Entities that purchase and resell to end users (i.e., supermarket and other retailers that sell to customers).
5
Entities such as restaurants, hotels, hospitals, etc.
4

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 10

PART II.--TRADE AND RELATED INFORMATION--Continued
II-10.

Reconciliation of trade data.--

(a)

Please note that the quantities reported in question II-9 should reconcile as follows in
each period (i.e., in each column):
Reconciliation
B+C–D–F–H–J=L
D+F+H=M+N

(b)

Yes

No--Please

Yes

No--Please

Please note that the quantities reported for end of period inventories should equal the
beginning of period inventories reported in the subsequent calendar year (i.e., line L of
year 2005 should equal line B of year 2005). Do these data reconcile for each adjacent
calendar year?
Yes.

II-11.

Do these data reconcile?
explain
Do these data reconcile?
explain

No--Please explain.

Transfers to related firms.--If you reported transfers to related firms in question II-9, please
indicate the nature of the relationship between your firm and the related firms (e.g., joint venture,
wholly owned subsidiary), whether the transfers were priced at market value or by a non-market
formula, whether your firm retained marketing rights to all transfers, and whether the related
firms also processed inputs from sources other than your firm.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 11

PART II.--TRADE AND RELATED INFORMATION--Continued
II-12.

Purchases.--Other than direct imports, has your firm otherwise purchased frozen warmwater
shrimp since January 1, 2005? (See definitions in the instruction booklet.)
No
Yes-- Please indicate the reasons for your purchases (if your reasons differ by
source, please elaborate) and report the quantity and value of such
purchases below for the specified periods
Reasons:
(Quantity in 1,000 pounds, value in $1,000)
Calendar years
Item

2005

2006

2007

January-September
2008

2009

2010

PURCHASES FROM U.S.
IMPORTERS1 OF FROZEN
WARMWATER SHRIMP FROM.—
BRAZIL:
quantity
value
CHINA:2
quantity
Value
INDIA:
quantity
value
THAILAND:3
quantity
value
VIETNAM:
quantity
value
All Other Countries:
quantity
value
PURCHASES FROM DOMESTIC
4
PRODUCERS:
quantity
value
PURCHASES FROM OTHER
SOURCES:
quantity
Value
1
Please list the name of the importer(s) from which you purchased this product. If your suppliers differ by
source, please identify the source for each listed supplier.

Please exclude product exported by Zhanjiang Guolian Aquatic Products Co., Ltd.
Please exclude product exported by the following firms made on or after January 16, 2009: Rubicon Group
(including 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) and Thai I-Mei Frozen Foods Co..
4
Please list the name of the domestic producer(s) from which you purchased this product.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 12

PART II.--TRADE AND RELATED INFORMATION--Continued
II-13.

FTZ.--Does your firm produce frozen warmwater shrimp in a foreign trade zone (FTZ)?
No

II-14.

Yes--Identify FTZ(s):

(a) Please provide the total volume of frozen warmwater shrimp that your firm processed in
calendar year 2009:
Total volume processed (quantity): ____________
Days shrimp was processed (number): ____________
(b) Identify each type of processing that your firm performs and the quantity of product that was
processed in that manner in calendar year 2009.
No

Yes—Grading

Quantity: ______________

Yes—Deheading

Quantity: ______________

Yes—Hand peeling

Quantity: ______________

Yes—Deveining

Quantity: ______________

Yes—Dusting

Quantity: ______________

Yes—Breading

Quantity: ______________

No
No

Yes—Butterflying/
Quantity: ______________
other special cutting
Yes—Machine peeling
Quantity: ______________

Yes—Cooking

Quantity: ______________

Yes—Marinating/saucing

Quantity: ______________

Yes—Other (__________) Quantity: ______________

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 13

PART II.--TRADE AND RELATED INFORMATION--Continued
II-15.

For calendar year 2009, provide the quantity (1,000 pounds) and value ($1,000) of your firm=s
commercial shipments of the following:
Quantity
Value
Fresh:
_______
________
Frozen-raw, head on:

_______

________

raw, headless:

_______

________

raw, peeled undeveined (PUD):

_______

________

raw, peeled and deveined (P&D):

_______

________

raw, dusted:

_______

________

raw, breaded:

_______

________

raw, marinated or sauced:

_______

________

raw, other ( ____________ ):

_______

________

cooked, breaded:

_______

________

cooked, other ( _____________ ):

_______

________

Total block frozen

_______

________

Total IQF frozen

_______

________

II-16.

For calendar year 2009, provide the quantity (1,000 pounds) and value ($1,000) of your firm=s
commercial shipments of the following:
Size (count) (headless)
Under 16:

Quantity
_______

Value
________

16/20:

_______

________

21/25:

_______

________

26/30:

_______

________

31/35:

_______

________

36/40:

_______

________

41/50:

_______

________

51/60:

_______

________

61/70:

_______

________

71/90:

_______

________

110/130:

_______

________

130/150:

_______

________

Over 150:

_______

________

Broken: _______

________

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 14

PART II.--TRADE AND RELATED INFORMATION--Continued
II-17.

For calendar year 2009, provide the share (in percent) of your purchases of frozen warmwater
shrimp that were: farmed ________, wild caught ________.

II-18.

Direct imports.--Since January 1, 2005, has your firm imported frozen warmwater shrimp?
No

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

For questions II-19 and II-20, if your response differs for particular orders, please indicate and
explain the particular effect of imposition and/or revocation of specific orders.
II-19.

Effect of order.--Describe the significance of the existing antidumping duty orders covering
imports of frozen warmwater shrimp from Brazil, China, India, Thailand, or Vietnam in terms of
its effect on your firm’s production capacity, production, U.S. shipments, inventories, purchases,
employment, revenues, costs, profits, cash flow, capital expenditures, research and development
expenditures, and asset values. You may wish to compare your firm’s operations before and after
the imposition of the order.

II-20.

Likely effect of revocation of order.--Would your firm anticipate any changes in its production
capacity, production, U.S. shipments, inventories, purchases, employment, revenues, costs,
profits, cash flow, capital expenditures, research and development expenditures, or asset values
relating to the production of frozen warmwater shrimp in the future if the antidumping duty
orders on frozen warmwater shrimp from Brazil, China, India, Thailand, or Vietnam were to be
revoked?
No

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 15

PART II.--TRADE AND RELATED INFORMATION--Continued
II-21.

Settlement agreements.-(a)

Has your firm, any affiliate of your firm, any representative of your firm, or any group to
which your firm belongs ever received payments, directly or indirectly, from any
producer/exporter or U.S. importer of frozen warmwater shrimp from Brazil, China,
India, Thailand, or Vietnam, in connection with an agreement to withdraw a request to
initiate, or avoid a request to initiate, an administrative review by the Department of
Commerce of imports frozen warmwater shrimp subject to the antidumping duties?
No

Yes-- Report separately (1) any such payments received, either
directly or indirectly, from suppliers, (2) any such payments received,
either directly or indirectly, from non-suppliers in connection with the
settlement of an administrative review request, and (3) provide a copy
of the agreement.
(Value in $1,000)

Item

2005

2006

2007

2008

Suppliers (Brazilian producers/exporters, importers from Brazil, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)1
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)
Suppliers (Chinese producers/exporters, importers from China, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)2
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)
Suppliers (Indian producers/exporters, importers from India, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)3
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)
Suppliers (Thai producers/exporters, importers from Thailand, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)4
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)

Table continued on next page.

2009

2010

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 16

PART II.--TRADE AND RELATED INFORMATION--Continued
II-21.

Settlement agreements.--Continued
(Value in $1,000)
Item

2005

2006

2007

2008

2009

2010

Suppliers (Vietnamese producers/exporters, importers from Vietnam, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)5
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)
Suppliers (Other producers/exporters, and/or other entities).
Please list all firms/entities; use additional pages if necessary.
Firm/entity:
Rate (percent)6
Firm/entity:
Rate (percent)
Firm/entity:
Rate (percent)
1

If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis
the settlement amounts were calculated:
2

If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis
the settlement amounts were calculated:
3

If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis the
settlement amounts were calculated:
4

If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis the
settlement amounts were calculated:
5

If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis
the settlement amounts were calculated:
6
If the settlement you received was not based on a percentage of the value of imports, please indicate on what basis the
settlement amounts were calculated:

(b)

Please provide details on any form of consideration received other than payment of
money, including an exclusive preferred supply arangement.

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 17

PART III.--FINANCIAL INFORMATION
Address questions on this part of the questionnaire to Justin Jee (202-205-3186, justin.jee@usitc.gov).
III-1.

Who should be contacted regarding the requested financial information?
Company contact:
Name and title
(
)
Phone number & Fax number

III-2.

E-mail address

Briefly describe your financial accounting system.
A.

When does your fiscal year end (month and day)?
If your fiscal year changed during the period examined, explain below:

B.1.

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

2.
3.

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

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

III-3.

Briefly describe your cost accounting system (e.g., standard cost, job order cost, etc.).

III-4.

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

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 18

PART III.--FINANCIAL INFORMATION--Continued
III-5. Other products.--Please list any other products you produced in the facilities in which you produced
frozen warmwater shrimp, and provide the share of net sales accounted for by these other products in 2009 or
your most recent fiscal year:
Products

III-6.

Share of sales

In the space below and as it relates to your operations on frozen warmwater shrimp, please list total
damage claims related to the Gulf oil spill and total amount actually received as compensation,
respectively, during the interim 2010 period.
A.

Total claim for damages (interim 2010) relating to Gulf oil spill:

Total compensation received for damages (interim 2010) relating to Gulf oil spill:

C. Where these payments were recorded in your actual accounting books/records in the normal
course of business, and where you have reported the amounts in question III-9 for this submission.

III-7.

Settlement funds received.—If your firm received any payment pursuant to a settlement agreement
with any importers, exporters, foreign producers, or any other entities during the period of review,
please indicate the amount (in thousands of dollars), where these payments were recorded in your
actual accounting books/records in the normal course of business, and where you have reported the
amounts in question III-9 for this submission.
Did your firm receive any payments pursuant to settlement agreements during the period of review?
No —Skip to question III-8

Yes—Please complete the table below.
Fiscal years ended--

Item

2005

2006

2007

Settlement funds received ($1,000)
Settlement funds received
Specific account where
funds are recorded in your
books
Specific accounts where
funds are reported in
question III-9

2008

2009

2010

Business Proprietary
U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 19

PART III.--FINANCIAL INFORMATION--Continued
III-8.

Was your firm involved in a toll agreement (either as the toller or as the tollee) in the production of
frozen warmwater shrimp?
Yes

Was your firm the Toller _________ or Tollee________ (please check mark)
Identify the name of the company your firm was engaged in a toll agreement with, the contact
person and phone number at that firm, a description of the toll work performed under the toll
agreement, and the volume and value of the toll work for full-year 2005 for 2009 and for the
specified interim periods. Alternatively, report the five most recently completed fiscal years in
chronological order from left to right and the specified interim periods.
Company name:
Contact and phone number:
Description of work performed:
Calendar year
Item
Volume (1,000 pounds)
Value ($1,000)

2005

2006

2007

January-September
2008

2009

2010

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 20

PART III.--FINANCIAL INFORMATION--Continued
III-9. Operations on frozen warmwater shrimp.--Report the revenue and related cost information requested
below on the frozen warmwater shrimp operations of your U.S. establishment(s).1 Do not report resales of
products. Note that internal consumption and transfers to related firms must be valued at fair market value
and purchases from related firms must be at cost.2 Provide financial results for full-years 2005 through
2009 and for the specified interim periods. Alternatively, report the five most recently completed fiscal
years in chronological order from left to right and the specified interim periods.
Quantity (in 1,000 pounds) and value (in $1,000)
Fiscal year
Item

2005

2006

2007

2008

January-September
2009

2009

2010

Net sales quantities:3
Commercial sales
Internal consumption
Transfers to related firms
Total net sales quantities
Net sales values:3
Commercial sales
Internal consumption
Transfers to related firms
Total net sales values
Cost of goods sold (COGS):4
Raw materials:
Shrimp and prawns
Procured domestically
Imported
Other raw materials
Direct labor
Other factory costs
Total COGS
Gross profit or (loss)
Selling, general, and administrative (SG&A) expenses:
Selling expenses
General and administrative expenses
Total SG&A expenses
Operating income (loss)
Other income and expenses:
Interest expense
All other expense items
CDSOA funds received5
All other income items
All other income or expenses, net
Net income or (loss) before income taxes
Depreciation/amortization included above
1

Include only sales (whether domestic or export) and costs related to your U.S. manufacturing operations.
Please list the expense categories and amounts of any profits on internal inputs or inputs from related firms that are reflected on your books but
which are eliminated from the costs reported below.
3
Less discounts, returns, allowances, and prepaid freight. The quantities and values should approximate the corresponding shipment quantities
and values reported in Part II of this questionnaire.
4
COGS should include costs associated with internal consumption and transfers to related firms.
5
Please report funds received under this act in the period(s) in which they were received. Do not report these funds as an offset to operating
expenses.
2

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U.S. Processors’ Questionnaire – Frozen Warmwater Shrimp

Page 21

PART III.--FINANCIAL INFORMATION--Continued
III-10. Asset values.--Report the total assets associated with the production, warehousing, and sale of
frozen warmwater shrimp. If your firm does not maintain some or all of the specific asset data in the
normal course of business, please estimate it based upon a method (such as production, sales, or
costs) that is consistent with your cost allocations in the previous question. Provide the requested
information for full-years 2005 through 2009. Alternatively, report the five most recently completed
fiscal years in chronological order from left to right.
Value (in $1,000)
Fiscal year
Item

2005

2006

2007

2008

2009

Assets associated with the production, warehousing, and sale of product:
1. Current assets:
A. Cash and equivalents
B. Accounts receivable, net
C. Inventories
D. Other current assets
E. Total current assets (lines 1.A. through
1.D.)
2. Non-current assets:
A. Original cost of property, plant, and
equipment (“PPE”)
B. Less: Accumulated depreciation
C. Equals: Net book value of PPE
D. Other non-current assets
E. Total non-current assets (lines 2.C.+2.D)
3. Total assets (lines 1.E and 2.E)

III-11. Capital expenditures and research and development expenditures.--Report your firm’s capital
expenditures and research and development expenditures on frozen warmwater shrimp. Provide the
requested information for full-years 2005 through 2009 and for the specified interim periods.
Alternatively, report the five most recently completed fiscal years in chronological order from left to
right and the specified interim periods.
Value (in $1,000)
Fiscal year
Item
Capital expenditures
Research and development
expenditures

2005

2006

2007

January-September
2008

2009

2010

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 22

PART IV.--PRICING AND MARKET FACTORS
Further information on this part of the questionnaire can be obtained from Ioana Mic (202-205-3196,
ioana.mic@usitc.gov).
IV-1.

Please identify the individual to be contacted regarding the confidential information requested in
part IV.
Name and title:
Please indicate the manner by which Commission staff may contact the individual responsible for part
IV with questions regarding the submitted confidential information.
E-mail:
Fax: (

Telephone: (

)

)
PRICE DATA

This section requests quarterly quantity and value data, f.o.b. your U.S. point of shipment, for your
commercial shipments to unrelated U.S. customers since 2005 of the following products produced by your
firm.
Product 1.--Frozen, raw warmwater shrimp or prawns, all species, 71 to 90 count, headless,
peeled (whether or not deveined), tail-off, block frozen (cut or not cut).
Product 2.--Frozen, raw warmwater shrimp or prawns, all species, 41 to 50 count, P&D (peeled and
deveined), tail-off, block frozen (cut or not cut).
Product 3.--Frozen, raw warmwater shrimp or prawns, all species, 31 to 40 count, headless,
shell-on, block frozen.
Product 4.--Frozen, raw warmwater shrimp or prawns, all species, 26 to 30 count, headless, shell-on,
block frozen.
Product 5.--Frozen, raw warmwater shrimp or prawns, all species, 10 to 15 count, headless,
shell-on, block frozen.
Product 6.--Frozen, cooked warmwater shrimp or prawns, all species, 51 to 60 finished count,
headless, shell-on, IQF.
Product 7.--Frozen, cooked warmwater shrimp or prawns, all species, 26 to 30 count, P&D (peeled
and deveined), headless, tail-on or tail-off, IQF.
Product 8.--Frozen, raw warmwater shrimp or prawns, all species, 16 to 20 count, headless, EZ-peel,
deveined, tail-on, IQF.

Please note that total dollar values should be f.o.b., U.S. point of shipment and should not include U.S.inland transportation costs. Total dollar values should reflect the FINAL NET amount paid to you (i.e.,
should be net of all deductions for discounts or rebates). See instruction booklet.

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 23

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-2.

Pricing data.--Report below the quarterly price data1 for pricing products2 produced and sold by your
firm.
Product 1
Quantity
Value
(lbs)
(dollars)

Product 2
Quantity
Value
(lbs)
(dollars)

Product 3
Quantity
Value
(lbs)
(dollars)

Product 4
Quantity
Value
(lbs)
(dollars)

Period of shipment
2005:
January-March
April-June
July-September
October-December
2006:
January-March
April-June
July-September
October-December
2007:
January-March
April-June
July-September
October-December
2008:
January-March
April-June
July-September
October-December
2009:
January-March
April-June
July-September
October-December
2010:
January-March
April-June
July-September
1
Net values (i.e., gross sales values less all discounts, allowances, rebates, prepaid freight, and the value of returned goods),
f.o.b. your U.S. point of shipment.
2
Pricing product definitions are provided on the first page of Part IV.
Note.--If your product does not exactly meet the product specifications but is competitive with the specified product, provide a
description of your product:
Product 1:
Product 2:
Product 3:
Product 4:

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 24

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-2.

Pricing data.--Continued

Product 5
Quantity
Value
(lbs)
(dollars)

Product 6
Quantity
Value
(lbs)
(dollars)

Product 7
Quantity
Value
(lbs)
(dollars)

Product 8
Quantity
Value
(lbs)
(dollars)

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 25

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-3.

Price setting.-- How does your firm determine the prices that it charges for sales of frozen
warmwater shrimp (check all that apply)? If your firm issues price lists, please include a copy of a
recent price list with your submission. If your price list is large, please only submit some sample
pages.
Transaction by transaction

Contracts

Set price lists

Other--Please describe:

IV-4.

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

Annual total volume discounts

No discounts

Other--Please describe:

IV-5.

IV-6.

Pricing terms for frozen warmwater shrimp.-(a)

What are your firm’s typical sales terms for its U.S.-produced frozen warmwater shrimp (e.g.,
2/10 net 30 days)?
.

(b)

On what basis are your prices of domestic frozen warmwater shrimp usually quoted? (check
one)
F.o.b.--Please specify point:
Delivered

Contract versus spot.--Approximately what share of your firm’s sales of its U.S.-produced frozen
warmwater shrimp in 2009 were on a (1) long-term contract basis (multiple deliveries for more than
12 months), (2) short-term contract basis (multiple deliveries up to and including 12 months), and
(3) spot sales basis (for a single delivery)?
Type of sale
Long-term contracts
Short-term contracts
Spot sales

Share of sales (percent)

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 26

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-7.

IV-8.

IV-9.

Long-term contact provisions.--If you sell on a long-term contract basis, please answer the
following questions with respect to provisions of a typical long-term contract.
(a)

What is the average duration of a contract?

(b)

Can prices be renegotiated during the contract period?

(c)

Does the contract fix quantity, price, or both?

(d)

Does the contract have a meet or release provision?

Yes

Quantity

No
Price

Yes

Both
No

Short-term contract provisions.--If you sell on a short-term contract basis, please answer the
following questions with respect to provisions of a typical short-term contract.
(a)

What is the average duration of a contract?

(b)

Can prices be renegotiated during the contract period?

(c)

Does the contract fix quantity, price, or both?

(d)

Does the contract have a meet or release provision?

Yes

Quantity

No
Price

Yes

Both
No

Lead times.--What is the average lead time between a customer’s order and the date of delivery for
your firm’s sales of your U.S.-produced frozen warmwater shrimp?
Source

Share of sales in 2009

Lead time

From inventory
Produced to order
Total

100 %

IV-10. Shipping information.-(a)

What is the approximate percentage of the total delivered cost of frozen warmwater shrimp
that is accounted for by U.S. inland transportation costs?
percent.

(b)

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

(c)

What proportion of your sales are delivered:
Within 100 miles of your processing facility (provide the percentages)?
Within 101 to 1,000 miles?
percent.
percent.
Over 1,000 miles?

percent.

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 27

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-11. Geographical shipments.-- What is the geographic market area in the United States served by your
firm’s frozen warmwater shrimp? (check all that apply)
Geographic area

√ if applicable

Northeast.–CT, ME, MA, NH, NJ, NY, PA, RI, and VT.
Midwest.–IL, IN, IA, KS, MI, MN, MO, NE, ND, OH, SD, and WI.
Southeast.–AL, DE, DC, FL, GA, KY, MD, MS, NC, SC, TN, VA, and WV.
Central Southwest.–AR, LA, OK, and TX.
Mountains.–AZ, CO, ID, MT, NV, NM, UT, and WY.
Pacific Coast.–CA, OR, and WA.
Other.–All other markets in the United States not previously listed, including AK, HI,
PR, VI, among others.

IV-12. Final product.—Do you further process frozen warmwater shrimp into products such as breaded
shrimp or shrimp in prepared meals? If so, identify the further processed products and indicated the
percentage of the total cost is accounted for by frozen warmwater shrimp?
Product

Share of total cost (percent)

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 28

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-13. Substitutes.—Please list in order of importance any products that may be substituted for frozen
warmwater shrimp (e.g. coldwater shrimp, other seafood products, etc.).

Substitute product

Description of
processed products
in which this substitute
can be used

Have changes in the prices of this
substitute affected the price of frozen
warmwater shrimp since January 1, 2005

Yes—Please explain.

Yes--Please explain.

IV-14. Changes in substitutes.--Have there been any changes in the number or types of products that can be
substituted for frozen warmwater shrimp since January 1, 2005?
No

Yes--Please explain.

IV-15. Anticipated changes in substitutes.--Do you anticipate any changes in terms of the substitutability
of other products for frozen warmwater shrimp in the future?
No

Yes--Please describe.

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 29

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-16. Changes in factors affecting supply.
(a)

Have any changes other than the Gulf Oil Spill occurred in any other factors affecting supply
(e.g., changes in availability or prices of energy or labor; transportation conditions;
processing capacity and/or methods of processing; technology; export markets; or alternative
processing opportunities) that affected the availability of U.S.-produced frozen warmwater
shrimp in the U.S. market since January 1, 2005?
No

(b)

Yes--Please note the time period(s) of any such changes, the factors(s)
involved, and the impact such changes had on your shipment volumes and
prices.

Has the Gulf Oil Spill affected your supply?
No

Yes--Please describe how the oil spill affected your supply and when
do you expect that supply will come back to pre-oil spill levels.

IV-17. Availability of supply (U.S.-produced).-(a)

Do you anticipate any changes in terms of the availability of U.S.-produced frozen
warmwater shrimp in the U.S. market in the future?
Increase

(b)

No change

If you anticipate changes in supply, please explain.

Decrease

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 30

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-18. Regulations.-(a) Please describe the effect that regulations (e.g. USDA, etc.) have on your ability to
supply frozen warmwater shrimp. To your knowledge, does imported shrimp meet the same
regulations?

(b) Please describe any regulations in other countries that affect the U.S. market for frozen
warmwater shrimp.

IV-19. Competition.-(a)

Does frozen warmwater shrimp in a particular form (e.g., headless tail-on, headless tail-off,
PUD, etc.) compete with frozen warmwater shrimp in a different form?
No

(b)

Yes--Please explain.

Does wild-caught frozen warmwater shrimp compete with farm-raised shrimp?
Never

Sometimes

Usually

Always

If you answered other than “always,” please describe the differences between wild-caught
and farm-raised frozen warmwater shrimp that are relevant in competition between them, and
explain how such differences affect taste, physical characteristics, quality, price, and/or
availability.

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 31

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-19. Competition.--Continued
(c)

Has your firm participated in the Wild American Shrimp (WAS) Program?
No

Yes

Please describe the benefits you have received under this program, including the amount of
any price premium per pound that you have received for WAS-certified shrimp as compared
to non-WAS-certified shrimp that you sell. If no, describe why you have not participated.

IV-20. Product changes.--Have there been any significant changes in the product range or marketing
(including sales over the internet) of frozen warmwater shrimp since January 1, 2005?
No

Yes--Please describe and quantify if possible.

IV-21. Anticipated product changes.--Do you anticipate any changes in terms of the product range or
marketing (including sales over the internet) of frozen warmwater shrimp in the future?
No

Yes--Please identify, including the time period.

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U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 32

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-22. Demand trends.-(a)

How has the demand within the United States for frozen warmwater shrimp changed since
January 1, 2005? What principal factors other than the Gulf Oil Spill affect changes in
demand?
Increased

(b)

Fluctuated

Yes--Please describe how the oil spill affected your demand and when
do you expect that demand will come back to pre-oil spill levels.

Has the Gulf Oil Spill affected customer preference for U.S. harvested product?
No

(d)

Decreased

Has the Gulf Oil Spill affected demand for frozen warmwater shrimp?
No

(c)

No Change

Yes--Please describe how the oil spill affected customer preference for
U.S. harvested product and when do you expect it will come back to pre-oil
spill levels.

How has the demand outside the United States (if known) for frozen warmwater shrimp
changed since January 1, 2005? What principal factors affect changes in demand?
Increased

No Change

Decreased

Fluctuated

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 33

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-23. Anticipated demand trends.-(a)

How do you anticipate demand will change within the United States for frozen warmwater
shrimp in the future? What principal factors will affect these changes in demand?
Increase

(b)

No Change

Decrease

Fluctuate

How do you anticipate demand will change outside the United States for frozen warmwater
shrimp to in the future? What principal factors will affect these changes in demand?
Increase

No Change

Decrease

Fluctuate

IV-24. Seasonality.-(a) Is there any seasonality in the supply of frozen warmwater shrimp available in the United States,
or is it available year-round at the same levels? Please describe.
No

Yes-- Please describe below.

(b) If yes, please describe any seasonal changes in your ability to supply frozen warmwater shrimp.

Business Proprietary
U.S. Processors’ Questionnaire - Frozen Warmwater Shrimp

Page 34

PART IV.--PRICING AND MARKET FACTORS--Continued
IV-25. Price comparisons.--Please compare market prices of frozen warmwater shrimp in U.S. and nonU.S. markets, if known. Provide specific information as to time periods and regions for any price
comparisons.

IV-26. Interchangeability.--Is frozen warmwater shrimp produced in the United States and in other
countries interchangeable (i.e., can they physically be used in the same applications)? Please indicate
below, using “A” to indicate that the products from a specified country-pair are always
interchangeable, “F” to indicate that the products are frequently interchangeable, “S” to indicate that
the products are sometimes interchangeable, “N” to indicate that the products are never
interchangeable, and “0” to indicate no familiarity with products from a specified country-pair.1

Country-pair

Brazil

China

India

Thailand

Vietnam

Other countries

United States
Brazil
China
India
Thailand
Vietnam
1
For any country-pair producing frozen warmwater shrimp which is sometimes or never interchangeable, please
explain the factors that limit or preclude interchangeable use.
2
Excluding product exported by Zhaijing Guolian Aquatic Products Co., Ltd..
3
Excluding product exported by the Rubicon Group (including Andaman Seafood Co., Ltd.; Chanthaburi Frozen Food
Co., Ltd.; Chanthaburi Seafoods Co., Ltd.; Intersia Foods Co., Ltd.; Phatthana Seafood Co., Ltd.; Phatthana Frozen Food
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) and Thai I-Mei Frozen Foods Co.

Business Proprietary
U.S. Processor’s Questionnaire – Frozen Warmwater Shrimp

Page 35

PART IV.--PRICING AND MARKET FACTORS

IV-27. Differences other than price by country-pair.--Are differences other than price (i.e., quality,
availability, transportation network, product range, technical support, etc.) between frozen warmwater
shrimp produced in the United States and in other countries a significant factor in your firm’s sales of
the products? Please indicate below, using “A” to indicate that such differences are always
significant, “F” to indicate that such differences are frequently significant, “S” to indicate that such
differences are sometimes significant, “N” to indicate that such differences are never significant, and
“0” to indicate no familiarity with products from a specified country-pair.1
Country-pair

Brazil

China

India

Thailand

Vietnam

Other countries

File Type	application/pdf
File Title	Microsoft Word - Shrimp Sunset US Processor Questionnaire.doc
Author	elizabeth.haines
File Modified	2010-10-21
File Created	2010-10-21