RESTRICTED
WORLD TRADE G/ADP/AHG/W/27
8October 1997
ORGANIZATION(97-4284)
Original: English Committee onAnti-Dumping Practices
AdHocGroup onImplementation
TOPIC 7*-ARTICLE 6.9"ESSENTIAL FACTS"
Paper bytheUnited States
Thefollowing communication, dated 7October 1997, hasbeenreceived fromthePermanent
Mission oftheUnited States.
_______________
Introduction
Article 6.9oftheAgreement onImplementation ofArticle VIoftheGeneral Agreement on
Tariffs andTrade 1994(Anti-dumping Agreement) provides that,before afinaldetermination ismade,
authorities shallinform allinterested parties inananti-dumping investigation of"theessential facts
under consideration which formthebasisforthedecision whether toapply definitive measures. Such
disclosure should takeplace insufficient timefortheparties todefend theirinterests."
TheUnited States Department ofCommerce (theCommerce Department ortheDepartment)
andtheUnitedStatesInternationalTradeCommission(theCommission),intheinterestsoftransparency,
have longmaintained procedures fordisclosing toparties thefacts underlying theiranti-dumping
determinations. Theprocedures address thedisclosure ofessential facts, procedures, andcalculations
leading todefinitive measures inanti-dumping proceedings.
Information thatissubmitted onatimely basistotheCommerce Department ortheCommission
issubject tocomment byother parties totheproceeding within suchreasonable timeastheDepartment
ortheCommission mayprovide. BoththeCommerce Department andtheCommission, before making
afinaldetermination, cease collecting information andprovide theparties withopportunities tocomment
oninformation obtained.1
Department ofCommerce Procedures
TheCommerce Department, which ischarged withcalculating theactual margin ofdumping
inananti-dumping investigation, acquires mostofitsfactual information inanti-dumping investigations
from submissions made byinterested parties during thecourse oftheproceedings. Those interested
parties arepermitted tosubmit comments onfactsprovided tothembytheDepartment orother parties
inananti-dumping investigation, upanduntilseven dayspriortoverification.2Inthisregard, parties
*See document G/ADP/W/401 fordescriptions ofthenumbered topics.
1Section 782(g) oftheTariff Actof1930 ("the Act").
2See19C.F.R. 351.301(b)(1).G/ADP/AHG/W/27
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maysubmit factual information torebut, clarify orcorrect factual information submitted byanyother
interested party atanytimeprior tothisdeadline.3
Notwithstanding thisdeadline, theDepartment mayrequest fromanyparty thesubmission of
additional factual information atanytimeduring ananti-dumping proceeding4and,pursuant to
Section 782(g) oftheTariff Actof1930, mustprovide theparties withtheopportunity tocomment
onanyinformation obtained bytheDepartment upon which theyhavenotpreviously hadsuchan
opportunity tocomment.
During aninvestigation, parties mayalsocomment onfactsintherecord bysubmitting written
caseandrebuttal briefs5andparticipating inapublic hearing.6Initsfinaldetermination, theDepartment
mustinclude anexplanation ofthebasisforitsdetermination thataddresses relevant arguments made
byallinterestedparties.7Withinfivedaysoftheannouncementofitsfinaldetermination,theDepartment
mustdisclose toparties thedetails ofitsanti-dumping margin calculation. Parties maythensubmit
comments onanyerrors or,within another fivedays, reply tocomments submitted byothers regarding
anyerrors.8
Animportant feature ofthewaytheCommerce Department system ensures thatparties obtain
alloftherelevant caseinformation inastimely afashion aspossible isthatparties totheproceeding
mustserve theirinformation ontheother parties totheproceeding atthesame timethattheyfileit
withtheDepartment. Thisobviates theneedforparties tohavetogoandinspect (andcopy) information
fromtheDepartment 'sfile.Also, when submitting information totheDepartment, parties arerequired
tosubmit theoriginal andsixcopies oftheproprietary version ofthedocument, along withthreecopies
ofthepublic version. Oneofthepublic version copies isplaced inthepublic casefile,which isopen
forinspection bythepublic without appointment during normal hours ofoperation.
International Trade Commission Procedures
TheCommission determines whether aUnited States industry hasbeenmaterially injured by
reason ofdumped imports. Therefore, theCommission during thecourse ofananti-dumping
investigation discloses allinformation obtained before therecord isclosed andprovides parties with
opportunities tocomment onallinformation initsrecord. Toillustrate, parties areprovided atleast
seven opportunities tocomment onfactsprovided tothem inanti-dumping investigations before the
Commission. These opportunities include: (1)apreliminary phase staffconference, (2)apostconference
written brief, (3)written comments ondraftquestionnaires forthefinalphase oftheinvestigation,
(4)awritten prehearing brief, (5)testimony delivered athearings before theCommissioners andstaff,
(6)awritten posthearing brief, and(7)finalwritten comments onlate-arriving information. Moreover,
throughout anti-dumping investigations, parties areprovided numerous andcontinuing opportunities
3See19CFR 351.301(c)(1) (note thatifcomments onfactsprovided aresubmitted lessthan10daysbefore, onorafter
thedeadline (normally onlywiththepermission oftheDepartment), rebuttal comments stillmaybesubmitted within tendays
after thecomments were served onother parties).
4See19C.F.R. 351.301(c)(2).
5See19C.F.R. 351.309(c)(1)(i) and351.309(d).
6See19CFR 351.310.
7SeeSection 777(i)(3) oftheAct.
8See19CFR 351.224(c).G/ADP/AHG/W/27
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tocontact Commission investigative staffandprovide additional data,comments orcorrections oninjury
issues.
Inparticular,partiesmaytestifyatastaffconferenceprovidedforintheCommission'spublished
notice oftheinstitution ofitspreliminary phase investigation, andtheymaythereafter filewritten briefs
inwhich theycancomment onthetestimony presented atthepreliminary phase staffconference,
challenge information presented bytheiropponents, orcomment oninformation thathasbeenreleased
under theprotection ofanadministrative protection order uptothatpoint intheproceeding.9
Later, before questionnaires areissued bytheCommission during thefinal phase ofan
investigation, parties areagain provided anopportunity tocomment inwriting onthecontent ofthose
questionnaires.10Throughout thefinalphase oftheinvestigation, interested parties totheinvestigation
areserved withsubmissions made byother parties, andbusiness proprietary information received by
theCommission isreleased toparties under anadministrative protective order.
During thefinalphase ofaninvestigation, Commission staffprepare aprehearing report,
summarizingfactsandinformationreceivedbytheCommissionpriortoholdingahearingandpermitting
thefiling ofprehearing briefs. Thatreport isreleased toparties totheinvestigation, sotheirprehearing
briefs canreflect themostcurrent datapracticable.11Eachparty maythenfileaprehearing brief, attend
andpresent testimony atahearing before theCommissioners andstaff, andrespond atthehearing
orinawritten posthearing brieftoarguments oftheparties andtoquestions oftheCommission and
staff.12Afinalreport isthenprepared bythestaffsummarizing information obtained. Thefinalreport
isreleasable totheparties along withanylate-arriving information thathadnotpreviously beenreleased
totheparties. Thereport isnormally released onorabout day265oftheanti-dumping investigation.
Parties areprovided withafinalopportunity tocomment ontheinformation priortotheCommission 's
finalvoteoninjury.13After thevote, theCommission thenreleases totheparties its"final phase"
determination andviews oftheCommission.
9See19C.F.R. 207.3 (requirement ofparties toserve information submitted onother parties), 207.7(a)(1) (release of
business proprietary information under APO), 207.12 (notice ofpreliminary phase ofinvestigation published), and207.15
(provision forwritten briefs andconference).
10See19C.F.R. 207.20(b).
11See19C.F.R. 207.22.
12See19C.F.R. 207.23, 207.24, and207.25.
13See19C.F.R. 207.30.