RESTRICTEDWORLD TRADE
ORGANIZATIONG/ADP/AHG/W/64/Rev.3
4 September 2000
(00-3438)
Committee on Anti-Dumping Practices
Ad Hoc Group on Implementation
DRAFT RECOMMENDATION CONCERNING
MATTERS TO BE INCLUDED IN PRELIMINARY
AFFIRMATIVE DETERMINATIONS
Revision
The following sets out revisions to the text of the draft recommendation tentatively agreed to
during the meeting of the Ad Hoc Group on Implementation in April-May 2000.  Drafting suggestions
not tentatively agreed to are set out in brackets.  The Group discussed revisions through paragraph 6
of the draft text - the remainder of the text was not discussed, and as set out below reflects the state of
the draft as of 1 May 2000.
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The Committee notes that Article 7 of the Agreement on Implementation of Article VI of
GATT 1994 provides that provisional measures may be applied only if a preliminary affirmative
determination has been made of dumping and consequent injury to a domestic industry.  Similarly,
Article 8 of the Agreement provides that price u ndertakings shall not be sought or accepted from
exporters unless a preliminary affirmative determination of dumping and injury caused by such
dumping has been made.
The Committee considers that guidelines for the matters to be included in such preliminary
affirmative determination would be useful.  [The Committee recognizes that Article 12.2 of the
Agreement specifies the contents of the public notice or separate public report of a preliminary
affirmative determination, and this recommendation is not intended to add to or subtract from the
obligations of that provision].
[Notwithstanding the foregoing considerations, the Committee recommends that, as a general
rule, a preliminary affirmative determination should include the following matters, whether in the
public notice or in a separate public report]:
1. the name(s) of the domestic producer(s) of the like product submitting the application, the
names of other domestic producers of the like product, and the names of the importer(s), the known
exporter(s) and  the known foreign producer(s) of the product under investigation.
2. information concerning the procedural background of the investigation, including the date
that the application was received, the date that the application was accepted as properly documented,
and the date of initiation, as appropriate under each Members' practice.
3. the description of the product under investigation to which the preliminary determination
applies, including the tariff classification for Customs purposes of the product, and the country(ies) of
origin or export.G/ADP/AHG/W/64/Rev.3
Page 2
4. information concerning the domestic like product and industry, including information
regarding any exclusion of producers for the purposes of defining the domestic industry and of the
preliminary injury determination.
5. information concerning the domestic market for the product, [and a description of the
international market for the product].
6. the periods of data collection for both the preliminary dumping and preliminary injury
analysis, and an explanation of the selection of such periods, where appropriate.
[7-1. information concerning the estimation of the dumping margin, including information
concerning the normal value, the export price, the comparison of the normal values with the export
prices, and, if relevant, the manner in which Article 6.8 (facts available) was applied and the
methodology used in sampling on a sufficiently detailed basis.]  ( Japan  - alternative to 7-2,
originally proposed by Japan)
[7-2. information concerning the estimation of th e dumping margin, including, [subject to the
requirements of confidentiality,] ( Canada ) information concerning
(a) [ normal value , including [the reasons for the selection of the types/models of product
used for the establishment of normal value, as well as] ( Mexico ) the reasons for using
or not using domestic prices, e.g. the results of "sufficient quantity" tests, the results
of any "ordinary course of trade tests", including methodology for calculating cost of
production, the precise methodology for calculating constructed normal values or
prices to third countries;
(b) export prices , in particular if they have been considered unreliable, in  which case
information should be included on the methodology and the adjustments made to
construct the export prices;
(c) comparison , including reasons for rejecting claims for adjustments, the reasons for
any deviation from the average-to-average rule [or the transaction-to-transaction rule]
(Japan ) and reasons for the choice of exchange rates; and
(d) other key issues , such, in a case sampling has been used, the justification for doing so,
as well as the justification for the selection of the sample] ( Japan )
[8-1. Information concerning the evaluation of injury, including information concerning the
volume and the price effects of the dumped imports, the impact of the subject imports and, if
relevant, the cumulative assessment on a sufficiently detailed basis.] ( Japan  - alternative to 8-2,
originally proposed by Japan)
[8-2. information concerning the evaluation of injury, including the evidence concerning:
(a) definition of the domestic industry, including the reasons for any exclusion of
domestic companies from its scope, [for the purposes of determination injury in the
preliminary determination] ( US) (Mexico - delete subparagraph (a) )
(b) preliminary findings on the price and/or volume effects of the dumped imports and
clear explanations on the finding of injury;
(c) preliminary evidence showing the consequent adverse impact of these effects on the
domestic industry;G/ADP/AHG/W/64/Rev.3
Page 3
(d) in the absence of evidence of the existenc e of material injury, evidence leading to a
preliminary finding of immediate threat of material injury, or of material retardation
of the establishment of the industry.
(e) information on why or why not the effects of imports were cumulatively assessed]
(Japan )
[8-3. information concerning the evaluation of injury, including the evidence concerning the factors
set forth in Article 3 of the Agreement, the analysis employed, and, when appropriate, the evaluation
of cumulation criteria established in Article 3.3.]  ( Brazil, Mexico ).
[8-4. information concerning the evaluation of in jury and concerning the causal relationship between
the dumped imports and any injury found.] ( US)
[8-5. information concerning the examination of injury, including the evidence concerning the
factors set forth in Article 3 of the Anti-Dumping Agreement.] ( Egypt )
9. information concerning [the [preliminary]  (Mexico ) evaluation of ] (Brazil ) [determination of ]
(Egypt ) the causal relationship between the dumped imports and any injury found [including the
[preliminary] ( Mexico ) evaluation  [examination]  (Egypt) of the "other factors" ] (Brazil ), [in the
sense of Article 3.5 of the Agreement] ( Mexico ) (US - delete ).
10. information concerning verification, if undertaken.
11-1. information on the decision whether or not to impose provisional measures, including [the
period of application of provisional measures, and]  ( Korea ) (Thailand, Mexico - delete ) the form
and level of such measures.
[11-2. information concerning the period of application of provisional measures.] ( Japan )
12. information concerning the continuation of the investigation, including such matters as time
frames for further procedures, submissions, hearings, the requirements for undertakings if offered[.]
(Egypt  - delete remainder of paragraph ), and the name, telephone and telefax numbers and address
of [a contact person  the investigating authority].( Mexico )
[The authorities should, if they fail to include any of the information referenced above in a preliminary
affirmative determination, explain in the preliminar y affirmative determinati on why such information
was not included.] ( Japan)  (Brazil  - delete if revert to a more general list )
[Information provided in preliminary affirmative de termination by the authorities should be subject to
the need to protect confidential information.] ( Japan )
[The public notice should explain the basis on which the figures used in preliminary determinations
were obtained, whether from questionnaire responses or  other information sources, and to what extent
they have been verified.] ( Japan )
[This recommendation will be applicable only to preliminary affirmative determinations in anti-
dumping investigations initiated after the date of its entry into force.]  ( Mexico )
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