13-1-3108 U.S. Producer Questionnaire

OMB No. 3117-0016/USITC No. 13-1-3108; Expiration Date: 6/30/2014
(No response is required if currently valid OMB control number is not displayed)

U.S. PRODUCERS’ QUESTIONNAIRE
XANTHAN GUM FROM AUSTRIA AND CHINA

This questionnaire must be received by the Commission by no later than March 26, 2013
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 antidumping investigations concerning xanthan gum from Austria and China (Inv. Nos. 731-TA-120203 (Final)). 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
City

State

Zip Code

World Wide Web address
Has your firm produced xanthan gum (as defined in the instruction booklet) at any time since January 1, 2010?

NO

(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 this proceeding in any other import-injury proceedings conducted by
the Commission on the same or similar merchandise.
I acknowledge that information submitted in this questionnaire response and throughout this proceeding 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 proceeding 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

Date

Phone:
Signature

Email address
Fax:

Business Proprietary
U.S. Producers’ Questionnaire – Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) 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.

Petition support.--Do you support or oppose the petition?
Support

Oppose

Take no position

Business Proprietary
U.S. Producers’ Questionnaire – Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 3
PART I.--GENERAL INFORMATION--Continued
I-4.

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

Firm name

I-5.

Address

Extent of
ownership

Related importers/exporters.--Does your firm have any related firms, either domestic or
foreign, that are engaged in importing xanthan gum from Austria and/or China into the United
States or that are engaged in exporting xanthan gum from Austria and/or China to the United
States?
No
Firm name

I-6.

Yes--List the following information.

Yes--List the following information.
Address

Affiliation

Related producers.--Does your firm have any related firms, either domestic or foreign, that are
engaged in the production of xanthan gum?
No
Firm name

Yes--List the following information.
Address

Affiliation

Business Proprietary
U.S. Producers’ Questionnaire – Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 4
PART II.--TRADE AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from Cynthia Trainor (202-2053354, cynthia.trainor@usitc.gov). Supply all data requested on a calendar-year basis.
II-1.

Contact information.-- Please identify the responsible individual and the manner by which
Commission staff may contact that individual regarding the confidential information submitted in
part II.
Name and title
Email
Telephone
Fax

II-2.

Changes in operations.--Please indicate whether your firm has experienced any of the following
changes in relation to the production of xanthan gum since January 1, 2010.
(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) ................

development of new xanthan
gum products ................................

(please describe and provide date of change)

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 5
PART II.--TRADE AND RELATED INFORMATION--Continued
II-3.

Same equipment, machinery, and workers.--Has your firm since 2010 produced, or does your
firm anticipate producing in the future, other products on the same equipment and machinery
used in the production of xanthan gum and/or using the same production and related workers
employed to produce xanthan gum?
No

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

Product

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

Period

Calendar years
2010
Item

2011

2012

Quantity (1,000 pounds)

Overall Production Capacity
Production of:
Xanthan gum
Other product 1
Other product 2

II-4.

Production constraints and product shifting.--Please describe the constraint(s) that set the limit(s)
on your production capacity and your ability to shift production capacity between products.

II-5.

Tolling.--Since January 1, 2010, has your firm been involved in a toll agreement (see definition
in the instruction booklet) regarding the production of xanthan gum?
No

II-6.

.

Foreign trade zone.--Does your firm produce xanthan gum in a foreign trade zone (FTZ)?
No

II-7.

Yes--Name firm(s):

Yes--Identify FTZ(s):

.

Importer.--Since January 1, 2010, has your firm imported xanthan gum?
No

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

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 6
PART II.--TRADE AND RELATED INFORMATION--Continued
II-8a.

Trade data.--Report your firm’s production capacity, production, shipments, inventories, and
employment related to the production of xanthan gum 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 years
Item

2010

2011

2012

Average production capacity1 (quantity)
Beginning-of-period inventories (quantity)
Production (quantity)
U.S. shipments:
Commercial shipments:
Quantity of commercial shipments
Value of commercial shipments
Internal consumption:
Quantity of internal consumption
Value2 of internal consumption
Transfers to related firms:
Quantity of transfers
Value2 of transfers
Export shipments:3
Quantity of export shipments
Value of export shipments
End-of-period inventories4 (quantity)
Channels of distribution:
U.S. shipments to distributors (quantity)
U.S. shipments to end users (quantity)
Employment data:
Average number of PRWs (number)
Hours worked by PRWs (1,000 hours)
Wages paid to PRWs (value)
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 must 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:
Reconciliation of data.--Please note that the quantities reported above should reconcile as follows: beginning-ofperiod inventories, plus production, less total shipments, equals end-of-period inventories. Do the data reported
reconcile?
4

Yes

No--Please explain:

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 7
PART II.--TRADE AND RELATED INFORMATION--Continued
Definitions for U.S. shipment and export shipment end use application tables (II-8b and II-8c) are:
1.
2.
3.
4.
5.

Food & beverage
Pharmaceutical applications
Consumer applications
Industrial applications
Oilfield applications

Xanthan gum provides multiple forms of utility. Applications may benefit from xanthan gum’s ability to
suspend and stabilize dispersions of solids, immiscible fluids, and gases in aqueous systems. Practically
speaking, this would include solids in drilling fluids, immiscible fluids such as oils in personal care
products and salad dressings, and gases in fire-fighting foams. Xanthan gum also provides lubricity,
reducing friction in oilfield drilling applications as well as providing a particular type of skin feel to
lotions and cosmetics.
Food & beverage applications include products approved for use in food and beverage systems. Xanthan
gum is used in condiments (e.g., relish salad dressing, sauces), beverages (e.g., diet, low sugar, energy, or
instant powder drinks), syrups, baked goods, frozen meals, prepared foods, bakery products, such as
frozen dough, muffins, and gluten-free products. “Approved” refers to definitions and requirements as
put forth by multiple regulatory bodies as well as definitive and compendia standards, including:
1.
2.
3.
4.

Food Chemicals Codex (FCC)
Canadian Food and Drug Law
JECFA
Japan’s Specifications and Standards for Food Additives

These bodies and standards manifest requirements in terms of:
1.
2.
3.
4.
5.
6.

Microbiological plate counts
Organism types
Heavy metal levels
Isopropyl Alcohol (IPA) and Ethanol residual levels
Basic requirements around color and appearance
Consistent and Characterized viscosity

Pharmaceutical end use applications include products such as antibiotics such as amoxicillin. These
products are designed to meet higher level purity standards as set forth in USP and NF monographs, and
international bodies such as the Japanese Pharmaceutical Excipients, and European Pharmacopeia.
Consumer end use applications include products intended for use in oral care (e.g., toothpaste), personal
care (e.g., suncare lotions and sprays).
Industrial applications include agricultural chemicals (e.g., sprayed onto leaves), fabric (e.g., stain
removal), home care (e.g., toilet bowl, surface, and oven cleaners), paints and coatings (e.g., pigment
suspension), and textiles. These products are regulated under the Toxic Substances Control Act
(“TSCA”), The European Community Regulation on the Registration, Evaluation, Authorisation, and
Restriction of Chemicals (“REACH”), etc.
Oilfield applications include products used in drilling fluid and other applications for the extraction of
oil and gas. These products meet the requirements contained in ISO 13500 and American Petroleum
Institute (“API”) standards.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 8
PART II.--TRADE AND RELATED INFORMATION--Continued
II-8b. U.S. shipments by end use.--Report your firm’s U.S. shipments (commercial shipments and
internal consumption and transfers of xanthan gum), by major end use.
Quantity (in 1,000 pounds), value (in $1,000)
Calendar years
2010
2011

Item
FOOD & BEVERAGE:1
Quantity
Value
PHARMACEUTICAL APPLICATIONS:1
Quantity
Value
CONSUMER APPLICATIONS:1
Quantity
Value
INDUSTRIAL APPLICATIONS:1
Quantity
Value
OILFIELD APPLICATIONS:1
Quantity
Value
ALL OTHER:2
Quantity
Value
TOTAL U.S. SHIPMENTS:3
Quantity
Value
1

2012

Please indicate the ranges of xanthan gum purity for reported U.S. shipments during 2012 as follows:
Purity
(percent)

Food & beverage . . . . . . . . . . . . . . . . . . _____________
Pharmaceutical . . . . . . . . . . . . . . . . . . . _____________
Consumer applications . . . . . . . . . . . . . _____________
Industrial applications . . . . . . . . . . . . . . _____________
Oilfield applications . . . . . . . . . . . . . . . . _____________
Other . . . . . . . . . . . . . . . . . . . . . . . . . . . _____________
2

Please describe: __________________________________________________________________

3
U.S. shipment data (food & beverage + pharmaceutical + consumer applications + Industrial
applications + oilfield applications + all other) should reconcile with total U.S. shipment data
reported in section II-8a.

Definitions for the above-specified U.S. shipment end use applications appear on page 7.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 9
PART II.--TRADE AND RELATED INFORMATION--Continued
II-8c.

Export shipments by end use.--Report your firm’s export shipments, by major end use.
Quantity (in 1,000 pounds), value (in $1,000)
Calendar years
2010
2011

Item
FOOD & BEVERAGE:1
Quantity
Value
PHARMACEUTICAL APPLICATIONS:1
Quantity
Value
CONSUMER APPLICATIONS:1
Quantity
Value
INDUSTRIAL APPLICATIONS:1
Quantity
Value
OILFIELD APPLICATIONS:1
Quantity
Value
ALL OTHER:2
Quantity
Value
TOTAL U.S. SHIPMENTS:3
Quantity
Value
1

2012

Please indicate the ranges of xanthan gum purity for reported export shipments during 2012 as follows:
Purity
(percent)

Food & beverage . . . . . . . . . . . . . . . . . . _____________
Pharmaceutical . . . . . . . . . . . . . . . . . . . _____________
Consumer applications . . . . . . . . . . . . . _____________
Industrial applications . . . . . . . . . . . . . . _____________
Oilfield applications . . . . . . . . . . . . . . . . _____________
Other . . . . . . . . . . . . . . . . . . . . . . . . . . . _____________
2

Please describe: __________________________________________________________________

3
Export shipment data (food & beverage + pharmaceutical + consumer applications + Industrial
applications + oilfield applications + all other) should reconcile with total export shipment data
reported in section II-8a.

Definitions for the above-specified export shipment end use applications appear on page 7.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 10
PART II.--TRADE AND RELATED INFORMATION--Continued
II-9.
Related firms.--If you reported transfers to related firms in question II-8, 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.

II-10.

Purchases.--Other than direct imports, has your firm otherwise purchased xanthan gum since
January 1, 2010? (See definitions in the instruction booklet.)
Yes--Report such purchases below for the specified periods.1

No

(Quantity in 1,000 pounds value in $1,000)
Calendar years
Item

2010

2011

2012

PURCHASES FROM U.S. IMPORTERS2
OF PRODUCT FROM—
AUSTRIA:
Quantity
Value
CHINA:
Quantity
Value
All other countries:
Quantity
Value
PURCHASES FROM DOMESTIC
PRODUCERS:2
Quantity
Value
PURCHASES FROM OTHER SOURCES:2
Quantity
Value
1

2

Please indicate your reasons for purchasing this product. If your reasons differ by source, please elaborate.

Please list the name of the firm(s) from which you purchased this product. If your suppliers differ by source,
please identify the source for each listed supplier.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 11
PART III.--FINANCIAL INFORMATION
Address questions on this part of the questionnaire to Mary Klir (202-205-3247, mary.klir@usitc.gov).
III-1.

Contact information.-- Please identify the responsible individual and the manner by which
Commission staff may contact that individual regarding the confidential information submitted in
part III.
Name
Title
Email
Telephone
Fax

III-2.

Accounting system.--Briefly describe your 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 xanthan gum:

2.
3.

4.

Does your firm prepare profit/loss statements for the xanthan gum:
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,
10Qs,
Monthly,
quarterly,
semi-annually,
annually
Accounting basis:
GAAP,
cash,
tax, or
other comprehensive
basis of accounting (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
xanthan gum, as well as those statements and worksheets used to compile data for your firm’s
questionnaire response.

III-3.

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

______
III-4.

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

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 12
PART III.--FINANCIAL INFORMATION--Continued
III-5.

Other products.--Please list any other products you produced in the facilities in which you
produced xanthan gum, and provide the share of net sales accounted for by these other products
in your most recent fiscal year:
Products

Share of sales
%
%
%
%
%

III-6.

Does your firm purchase inputs (raw materials, labor, energy, or any other services) used in the
production of xanthan gum from any related firms?
Yes--Continue to question III-7 below.

III-7.

Inputs from related firms.--In the space provided below, identify the inputs used in the
production of xanthan gum that your firm purchases from related parties.
Related party

Input

III-8.

No--Continue to question III-9 below.

Inputs from related firms at cost.--All intercompany profit on inputs purchased from related
parties should be eliminated from the costs reported to the Commission in question III-10 (i.e.,
costs reported in question III-10 should only reflect the related party’s cost and not include an
associated profit component). Reasonable methods for determining and eliminating the
associated profit on inputs purchased from related parties are acceptable.
Has your firm complied with the Commission’s instructions regarding costs associated with
inputs purchased from related parties?
Yes

No

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 13
PART III.--FINANCIAL INFORMATION--Continued
III-9.

Nonrecurring items (charges and gains) included in xanthan gum financial results.--For
each annual period for which financial results are reported in question III-10, please specify all
significant nonrecurring items (charges and gains) in the schedule below, the specific table III-10
line item where the nonrecurring items are included, a brief description of the relevant
nonrecurring items, and the associated values (in $1,000), as reflected in table III-10; i.e., if an
aggregate nonrecurring item has been allocated to table III-10, only the allocated value amount
included in table III-10 should be reported in the schedule below. Note: The Commission’s
objective here is to gather information only on material (significant) nonrecurring items which
impacted the reported xanthan gum financial results in table III-10.

Fiscal years ended-Nonrecurring item: In this column please provide a
brief description of each nonrecurring item and indicate
the specific table III-10 line item where the nonrecurring
item is included.
1.
2.
3.
4.
5.
6.
7.

Nonrecurring item: In these columns please report the amount (in
$1,000) of the relevant nonrecurring item reported in table III-10.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 14
PART III.--FINANCIAL INFORMATION--Continued
III-10a. Operations on xanthan gum.--Report the revenue and related cost information requested below
on the xanthan gum 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 data for your
three most recently completed fiscal years in chronological order from left to right.
Quantity (in 1,000 pounds) and value (in $1,000)
Fiscal years ended-Item
Net sales quantities:3
Commercial sales (“CS”)
Internal consumption (“IC”)
Transfers to related firms (“Transfers”)
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
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
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 eliminate any profits or (losses) on inputs from related firms pursuant question III-8.
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 CS, IC, and Transfers, as well as export shipments as reported in question II-8.
2

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 15
PART III.--FINANCIAL INFORMATION--Continued
III-10b. Operations on xanthan gum exports.--Report the revenue and related cost information
requested below on the xanthan gum exports of your U.S. establishment(s).1 Do not report
resales of products. Provide data for your three most recently completed fiscal years in
chronological order from left to right. Note: This table is specific to the revenues and costs
associated ONLY with your firm’s exports of xantham gum, and is a subset of table III-10a.
Quantity (in 1,000 pounds) and value (in $1,000)
Fiscal years ended-Item
Export sales quantities:3
Export sales values:3
Cost of goods sold (COGS):4
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)
1

Include only export sales and costs related to your U.S. manufacturing operations.
Please eliminate any profits or (losses) on inputs from related firms pursuant question III-8.
3
Less discounts, returns, allowances, and prepaid freight. The quantities and values should approximate the corresponding export
shipment quantities and values reported in Part II of this questionnaire.
4
COGS should include only costs associated with export shipments as reported in question II-8.
2

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 16
PART III.--FINANCIAL INFORMATION--Continued
III-11. Asset values.--Report the total assets (i.e., both current and long-term assets) associated with the
production, warehousing, and sale of xanthan gum. If your firm does not maintain some or all of
the specific asset information necessary to calculate total assets for xanthan gum in the normal
course of business, please estimate this information based upon a method (such as production,
sales, or costs) that is consistent with your cost allocations in the previous question. Provide data
as of the end of your three most recently completed fiscal years in chronological order from left
to right.
Note: Total assets should reflect net assets after any accumulated depreciation and allowances deducted.
Total assets should be allocated to the subject products if these assets are also related to other products.
Please provide a brief explanation if there are any substantial changes in total asset value during the
period; e.g., due to asset write-offs, revaluation, and major purchases.
Value (in $1,000)
Fiscal years ended-Item
Total assets (net)

III-12. Capital expenditures and research and development expenses.--Report your firm’s capital
expenditures and research and development expenses on xanthan gum. Provide data for your
three most recently completed fiscal years in chronological order from left to right.
Fiscal years ended-Item
Capital expenditures
Research and development expenses

III-13. Data consistency and reconciliation.--Please indicate whether your financial data for questions
III-10, 11, and 12 are based on a calendar year or your fiscal year:
Calendar year
Fiscal year (specify

_________)

Please note the quantities and values reported in question III-10 should reconcile with the data
reported in question II-8 (including export shipments) as long as they are reported on the same
calendar year basis.
Do these data in question III-10 reconcile with data in question II-8?
Yes

No--Please explain

________________________

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U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 17
PART III.--FINANCIAL INFORMATION--Continued
III-14. Effects of imports.--Since January 1, 2010, has your firm experienced any actual negative effects
on its return on investment or its growth, investment, ability to raise capital, existing development
and production efforts (including efforts to develop a derivative or more advanced version of the
product), or the scale of capital investments as a result of imports of xanthan gum from Austria
and/or China?
No

Yes--My firm has experienced actual negative effects as follows:
Cancellation, postponement, or rejection of expansion projects
Denial or rejection of investment proposal
Reduction in the size of capital investments
Rejection of bank loans
Lowering of credit rating
Problem related to the issue of stocks or bonds
Other (specify)

III-15. Anticipated effects of imports.--Does your firm anticipate any negative effects due to imports of
xanthan gum from Austria and/or China?
No

Yes--My firm anticipates negative effects as follows:

III-16. Please provide copies of any business plans, stock or bond offerings, prospectus, or other
commercial or financial planning document that your company prepared since January 1, 2010,
which discusses xanthan gum.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 18
PART IV.--PRICING AND RELATED INFORMATION
Further information on this part of the questionnaire can be obtained from Clark Workman (202-2053248, clark.workman@usitc.gov).
IV-1.

Contact information.--Please identify the individual that Commission staff may contact
regarding the confidential information submitted in part IV.
Name
Title
Email
Telephone
Fax

PRICE DATA
IV-2.

These questions requests quarterly price and quantity data, f.o.b. your U.S. point of shipment, for
your commercial shipments to unrelated U.S. customers since January 1, 2010 of the following
products you imported from Austria and/or China. Data are requested separately for shipments to
distributors and end users.

THE PRODUCT DESCRIPTIONS ARE THE CONTROLLING FACTOR IN DECIDING
WHAT COMPANY-SPECIFIC PRODUCTS TO INCLUDE IN EACH PRODUCT
CATEGORY; THE PRODUCT TRADE NAMES ARE PROVIDED AS GUIDELINES.
Product 1.—Pharmaceutical: xanthan gum that meets the requirements contained in 21

C.F.R. § 172.695, Food Chemical Codex (“FCC”), Joint FAO/WHO Expert Committee on Food
Additives (“JECFA”), and European Pharmacopeia (“Ph Eur”); and has a TPC of not more than
500 cfu/g.
Product 2.—Consumer: Meets the requirements contained in 21 C.F.R. § 172.695, FCC

and JECFA; and has a TPC of not more than 1,000 cfu/g.
Product 3.—Food and Beverage (but not agglomerated): Xanthan gum meets food
grade requirements as dictated by the Food Chemicals Codex, 21 C.F.R. § 172.695 or JECFA.
Food and beverage can be produced with either isopropyl alcohol (IPA) or ethyl alcohol
(ethanol). Applications include, but are not limited to, basic food and beverage applications
including baking, condiments, instant beverages, and reduced calorie beverages.
Microbiological counts are typically NMT than 2000 CFU/g for TPC and NMT 100 CFU/g for
yeast and mold. The 1% KCI viscosity profiles are basic and may range from 1200-1600 cP or
from 1300-1700 cp (test is 1% gum in 1% gum in 1% KCI solution, 60rpm reading). Alcohol
levels are NMT 750 ppm for countries complying with CFR.

Other certifications include certification with widely recognized Kosher and Halal organizations.
In short, this product provides fitness to use and fitness to spec in that they provide a
characterized viscosity profile along with microbiological specifications as dictated by market
requirements and global regulatory bodies. Testing is done in a lot by lot manner in house or
utilizing recognized third party test labs. Product is manufactured under ISO 9001:2008 using a
recognized certifying body.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 19
PART IV.--PRICING AND RELATED INFORMATION--Continued
Product 4.—Agglomerated Food and Beverage: The product meets the definition of food
and beverage xanthan gum described above for (product 3) but which also has undergone the
additional production step of agglomeration.
Product 5.—Industrial: Industrial xanthan gum meets the requirements of the Toxic Substances
Control ACT (TSCA). General industrial applications include fire fighting foams, agricultural chemicals,
industrial and institutional cleaners, and architectural paints and coating. These industries and heavily
regulated due to waste water and sewer regulations.
Product 6. —Oilfield but not clarified: “Oilfield” exanthan gum consists of all other xanthan
gum that meets the physical characteristics of the subject merchandise but which does not meet the
requirements for products 1,2,3,4, or 5.
Product 7. —Clarified Oilfield: This pricing product is that xanthan gum meeting the definition
of product 6, but which is also “clarified” according to the following definition: 1% xanthan gum in DI
water, not less than 55% transmittance.

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. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 20
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-2a. Pricing data.--Report below the quarterly price data1 for pricing products2 produced and sold by
your firm to distributors.

Period of shipment
2010:
January-March
April-June
July-September
October-December
2011:
January-March
April-June
July-September
October-December
2012:
January-March
April-June
July-September
October-December

(Quantity in 1,000 kilograms, Value in dollars)
Product 1
Product 2
Product 3
Quantity
Value
Quantity
Value
Quantity
Value

Product 5
Quantity
Value

Product 6
Quantity
Value

Product 4
Quantity
Value

Product 7
Quantity
Value

2010:
January-March
April-June
July-September
October-December
2011:
January-March
April-June
July-September
October-December
2012:
January-March
April-June
July-September
October-December
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.
1
Please identify the specific company products (by trade name) that your firm reported for each product category where price
data was reported.

Note.--If your product does not exactly meet the specifications but is competitive with the specified product, provide a description of
your product. Also, please explain any anomalies in your reported pricing data.
Product 1:
________________________________________
Product 2:

____________________________________

Product 3:

________________________________________

Product 4:

________________________________________

Product 5:

________________________________________

Product 6:

________________________________________

Product 7:

________________________________________

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 21
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-2b. Pricing data.--Report below the quarterly price data1 for pricing products2 produced and sold by
your firm to end users.

Period of shipment
2010:
January-March
April-June
July-September
October-December
2011:
January-March
April-June
July-September
October-December
2012:
January-March
April-June
July-September
October-December

(Quantity in 1,000 kilograms, Value in dollars)
Product 1
Product 2
Product 3
Quantity
Value
Quantity
Value
Quantity
Value

Product 5
Quantity
Value

Product 6
Quantity
Value

Product 4
Quantity
Value

Product 7
Quantity
Value

2010:
January-March
April-June
July-September
October-December
2011:
January-March
April-June
July-September
October-December
2012:
January-March
April-June
July-September
October-December
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.
1
Please identify the specific company products (by trade name) that your firm reported for each product category where price
data was reported.

Note.--If your product does not exactly meet the specifications but is competitive with the specified product, provide a description of
your product. Also, please explain any anomalies in your reported pricing data.
Product 1:
________________________________________
Product 2:

____________________________________

Product 3:

________________________________________

Product 4:

________________________________________

Product 5:

________________________________________

Product 6:

________________________________________

Product 7:

________________________________________

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 22
PART IV.--PRICING AND RELATED INFORMATION--Continued

IV-3.

Price setting.-- How does your firm determine the prices that it charges for sales of xanthan gum
(check all that apply)? If your firm issues price lists, please submit sample pages of a recent list.
Transaction
by
transaction

IV-4.

If other, describe

Annual
total
volume
discounts

No
discount
policy

Other

Describe

Pricing terms for xanthan gum.-(a)

What are your firm’s typical sales terms for its U.S.-produced xanthan gum?
Net 30 days

(b)

Net 60 days

2/10 net 30 days

Other (specify)

On what basis are your prices of domestic xanthan gum usually quoted (check one)?
Delivered

IV-6.

Other

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

Quantity
discounts

IV-5.

Contracts

Set
price
lists

F.o.b.

If f.o.b., specify point

Contract versus spot.--Approximately what share of your firm’s sales of its U.S.-produced
xanthan gum in 2012 was on a (1) long-term contract basis, (2) short-term contract basis, and
(3) spot sales basis?
Share of
2012 sales

Type of sale
Long-term contracts (multiple deliveries for more
than 12 months)

%

Short-term contracts (multiple deliveries up to and
including 12 months)

%

Spot sales (for a single delivery)

%

Total

100

%

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 23
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-7.

Contract provisions.— Please fill out the table with respect to provisions of your typical sales
contracts for xanthan gum (or check “not applicable” if your firm does not sell on a long-term
and/or short-term contract basis). Please provide a list of the customers that have long-term
contracts for purchases of xanthan gum with your company.

Typical sales contract
provisions

Item

Average contract duration

Number of days

Price renegotiation (during the
contract period)

Yes

Short-term contracts

Long-term contracts

(multiple deliveries up to
and including 12 months)

(multiple deliveries for more
than 12 months)

No
Quantity

Fixed quantity and/or price

Price
Both
Yes

Meet or release provision

No

Not applicable

IV-8.

Lead times.--What is your share of sales both from inventory and produced to order and 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 xanthan gum?
(a)
Source

Share of
2012 sales

From inventory

%

Produced to order

%

Total

Lead time (days)

100 %

(b) Do items held in inventory generally have a shorter delivery lead time than items that are
produced to order? Yes___ NO___ In the space provided please discuss the relationship
between inventory levels and lead times for delivery at your company.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 24
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-9.

Shipping information.-(a)

What is the approximate percentage of the total delivered cost of xanthan gum that is
accounted for by U.S. inland transportation costs?
%

(b)

Who generally arranges the transportation to your customers’ locations?
Your firm
Purchaser (check one)
Indicate the approximate percentage of your sales of xanthan gum that are delivered the
following distances from your production facility.

(c)

Distance from production facility

Share

Within 100 miles

%

101 to 1,000 miles

%

Over 1,000 miles

%
Total

100

%

IV-10. Geographical shipments.-- What is the geographic market area in the United States served by
your firm’s shipments of xanthan gum? (check all that apply)
Geographic area

√ if applicable

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

IV-11. End uses.--List the end uses of the xanthan gum that you manufacture. For each end-use
product, what percentage of the total cost is accounted for by xanthan gum and other inputs?
Share of total cost of end use product
accounted for by
End use product

Xanthan gum (percent)

Other inputs (percent)

Total

%

%

100%

%

%

100%

%

%

100%

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 25
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-12. Substitutes.-- Can other products be substituted for xanthan gum?
(a)

No

Yes--Please fill out the table.

End use in which this
substitute is used

Substitute

Have changes in the prices of this substitute
affected the price for xanthan gum?
No Yes

Explanation

1.
2.
3.

(b) Is guar gum a substitute for xanthan gum?
No

Yes--Please discuss.

(c) Have changes in the price of guar gum affected the prices or demand for xanthan gum at
any time since January 1, 2010?
No

Yes--Please discuss.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 26
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-13. Demand trends.-- Indicate how demand within the United States and outside of the United States
(if known) for xanthan gum has changed since January 1, 2010. Describe the principal factors
that have affected these changes in demand.

Market

No
Increase change Decrease Fluctuate

Factors

Within
the United
States
Outside
the United
States

IV-14. Product changes.--Have there been any significant changes in the product range, product mix, or
marketing of xanthan gum since January 1, 2010?
No

Yes--Please describe and quantify if possible.

IV-15. Business cycles.-(a) Is the xanthan gum market subject to business cycles or conditions of competition (including
seasonal business) distinctive to xanthan gum?
No (skip to question IV-17.)

Yes-- Please describe below and then answer part (b).

(b) If yes, have there been any changes in the business cycles or conditions of competition for
xanthan gum since January 1, 2010?
No

Yes-- Please describe.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 27
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-16. Supply constraints.--Has your firm ever refused, declined, or been unable to supply xanthan
gum (examples include placing customers on allocation or “controlled order entry,” declining to
accept new customers or renew existing customers, delivering less than the quantity promised,
been unable to meet timely shipment commitments, etc.)?
No

Yes-- Please describe, indicating the specific period where the supply
constraint occurred and the nature of the supply constraint.

IV-17. Unusual Supply problems.—In the space provided below please discuss any significant U.S.
xanthan gum plant closings that have occurred in the United States since January 1, 2010. In
your discussion, please note the name and owner of the plant, the approximate date when the
closing occurred, and the reason the plant closed.

IV-18. Raw materials.--Please describe any trends in the prices of raw materials used to produce
xanthan gum, whether your firm expects these trends to continue, and what effect these trends
have had on pricing of xanthan gum.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 28
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-19. Interchangeability.--Is xanthan gum produced in the United States and in other countries
interchangeable (i.e., can they physically be used in the same applications)?
Please indicate A, F, S, N, or 0 in the table below:
A = the products from a specified country-pair are always interchangeable
F = the products are frequently interchangeable
S = the products are sometimes interchangeable
N = the products are never interchangeable
0 = no familiarity with products from a specified country-pair
Country-pair

AUSTRIA

CHINA

Other countries

United States
AUSTRIA
CHINA

For any country-pair producing xanthan gum that is sometimes or never interchangeable,
please explain the factors that limit or preclude interchangeable use:

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 29
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-20. Factors other than price.--Are differences other than price (i.e., quality, availability,
transportation network, product range, technical support, etc.) between xanthan gum produced in
the United States and in other countries a significant factor in your firm’s sales of the products?
Please indicate A, F, S, N, or 0 in the table below:
A = such differences are always significant
F = such differences are frequently significant
S = such differences are sometimes significant
N = such differences are never significant
0 = no familiarity with products from a specified country-pair
Country-pair

AUSTRIA

CHINA

Other countries

United States
AUSTRIA
CHINA

For any country-pair for which factors other than price always or frequently are a significant
factor in your firm’s sales of xanthan gum, identify the country-pair and report the advantages or
disadvantages imparted by such factors:

IV-21. Global prices—From your experience, are prices of xanthan gum determined largely on a global
basis because large global purchasers typically buy xanthan gum for delivery to their facilities
throughout the world in the same transaction? Yes____ No. ____. Please discuss in the space
provided.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 30
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-22. Substitutability between U.S.-produced and imported xanthan gum from Austria and
China—Are there certain applications where only U.S.-produced xanthan gum can be used rather
than imports from Austria or China? Yes___ No____ Please discuss these applications in the
space provided. In your discussion please note whether it is easy or difficult to switch suppliers.

IV-23. Quality issue relating to imports from China— Are there quality problems with imports of
xanthan gum from China that limit or discourage their used in certain applications? Yes___
No___. Please discuss the quality problems and applications in the space provided.

IV-24. Private label products— Are private label products commonly provided to customers on request
in the xanthan gum industry? Yes___No___. Please discuss below.

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 31
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-25. Customer Identification--Please identify the names and contact information for your firm’s
10 largest U.S. customers for xanthan gum since January 1, 2010. Indicate the share of the
quantity of your firm’s total shipments of xanthan gum that each of these customers accounted for
in 2012.

Customer’s name

1

Contact person

Email

Telephone

Street address (not P.O.
box), city, state, and zip
code

Street Address

,
City

2

State

Street Address

,
City

3

State

,
State

,
State

,
State

,
State

,
State

,
State

Zip Code

Street Address

,
City

10

Zip Code

Street Address
City

9

Zip Code

Street Address
City

8

Zip Code

Street Address
City

7

Zip Code

Street Address
City

6

Zip Code

Street Address
City

5

Zip Code

Street Address
City

4

Zip Code

State

Zip Code

Street Address

,
City

State

Zip Code

Share
of 2012
sales
(%)

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 32
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-26. COMPETITION FROM IMPORTS--LOST REVENUES.-Since January 1, 2010: To avoid losing sales to competitors selling xanthan gum from Austria
and/or China, did your firm:
No

Yes

Reduce prices
Roll back announced price increases
PLEASE DO NOT RE-SUBMIT ALLEGATIONS PROVIDED IN THE PRELIMINARY
PHASE OF THIS PROCEEDING.
If you indicated “yes” above, please furnish the following information for each affected
transaction. If possible, provide documentation (e.g., copies of invoices, sales reports, or letters
from customers). Please note that the Commission may contact the firms named to verify the
allegations reported.
Customer name, contact person, phone and fax numbers
Specific product(s) involved
Date of your initial price quotation
Quantity involved
Your initial rejected price quotation (total delivered value)
Your accepted price quotation (total delivered value)
The country of origin of the competing imported product
The competing price quotation of the imported product (total delivered value)

Customer name,
contact person,
phone and fax
numbers

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Product

Country
of origin

Date of
quote

Quantity
(pounds)

Initial
rejected U.S.
price (total
value-dollars)

Accepted
U.S. price
(total value-dollars)

Competing
import price
(total
value—
dollars)

Business Proprietary
U.S. Producers’ Questionnaire - Xanthan Gum from Austria and China (731-TA-1202-03 (Final)) Page 33
PART IV.--PRICING AND RELATED INFORMATION--Continued
IV-27. COMPETITION FROM IMPORTS--LOST SALES.—
Since January 1, 2010: Did your firm lose sales of xanthan gum to imports of these products
from Austria and/or China?
No
Yes
PLEASE DO NOT RE-SUBMIT ALLEGATIONS PROVIDED IN THE PRELIMINARY
PHASE OF THIS PROCEEDING.
If you indicated “yes” above, please furnish the following information for each affected
transaction. If possible, provide documentation (e.g., copies of invoices, sales reports, or letters
from customers). Please note that the Commission may contact the firms named to verify the
allegations reported.
Customer name, contact person, phone and fax numbers
Specific product(s) involved
Date of your price quotation
Quantity involved
Your rejected price quotation (total delivered value)
The country of origin of the competing imported product
The accepted price quotation of the imported product (total delivered value)
Customer name,
contact person,
phone and fax
numbers

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Firm
Contact
Phone

Fax

Product

Country
of
origin

Date of
quote

Quantity
(pounds)

Rejected
U.S. price
(total
value-dollars)

Competing
import price
(total
value—
dollars)