The TRA’s investigation process

Question 1

Legal framework

Accepted Answer

Primary legislation in the Taxation (Cross-border Trade) Act 2018 (the Taxation Act)

Schedule 4 to the Taxation Act describes the principles of how dumping and subsidy investigations should be conducted. Schedule 5 covers safeguard investigations.

The guidance reflects the changes introduced by the Finance (No.2) Act 2023.

Secondary legislation in The Trade Remedies (Dumping and Subsidisation) (EU Exit) Regulations 2019 (the D&S Regs)

Part 6 of the D&S Regs describes how dumping and subsidy investigations should be conducted.

Secondary legislation in The Trade Remedies (Increase in Imports Causing Serious Injury to UK Producers) (EU Exit) Regulations 2019 (the Safeguarding Regs)

Part 5 of the Safeguarding Regs describes how to conduct safeguard investigations.

World Trade Organization – relevant agreements

The General Agreement on Tariffs and Trade (GATT) provides some guidance on how to conduct trade remedies investigations. The following agreements provide further information: * Agreement on the Implementation of Article VI of the General Agreement on Tariffs and Trade 1994 (Anti-Dumping Agreement) * Agreement on Subsidies and Countervailing Measures * Agreement on Safeguards

Question 2

Investigation process

Accepted Answer

We may initiate a dumping or subsidy investigation when we receive an application from a UK industry and we assess that it warrants an investigation, or in exceptional circumstances, if requested to do so by the Secretary of State. A safeguard investigation may be requested by or on behalf of UK producers or the Secretary of State.

More guidance on how we assess applications from UK industry can be found in our Application Assessment guidance.

During each investigation we complete a series of tasks and activities, which may include:

Pre- and post-initiation notifications
Registration
Sampling and limited examination
Questionnaires and information gathering
Verification
Meetings and hearings
Assessments and calculations
Defining a measure
Economic interest test
Determinations and recommendations

Question 3

Pre- and post-initiation notifications

Accepted Answer

The requirements for initiating an investigation are laid out in UK legislation. These include who to notify and when, and what information our initiation notices should include.

If we decide to initiate an investigation, we will notify the Secretary of State of our decision.

We will then inform the applicant that the application has been accepted, notify the governments of the relevant foreign countries or territories subject to the new investigation and, in subsidy investigations, invite them to participate in consultations.

When we initiate, we will publish a notice of initiation online through the Trade Remedies Service. This will serve as a public file.

We will also notify the Secretary of State and interested parties, including the governments of the relevant foreign countries or territories that an investigation has been initiated.

Notification timings

This table summarises who we notify before and after we initiate an investigation:

Steps required to initiate investigation	Dumping	Subsidy	Safeguards
Notify the Secretary of State of decision to initiate a new investigation	Yes	Yes	Yes
Notify the relevant foreign government(s) of decision to initiate a new investigation	Yes	Yes	No*
Invite the relevant foreign government(s) to participate in consultations	No	Yes	No*
Publish notice of initiation	Yes	Yes	Yes
Notify the Secretary of State and interested parties that a new investigation has been initiated	Yes	Yes	Yes
Notify the relevant foreign government(s) that a new investigation has been initiated	Yes	Yes	No*

Measures will affect all countries except for those specifically exempted

When we initiate a safeguard investigation, there are additional WTO notification and consultation requirements which are performed by the UK Government.

Notice of initiation

The notice of initiation will set out the scope of the investigation, including:

the description of the goods subject to the investigation
the period of investigation to assess dumping, subsidisation or increases in imports
in subsidy investigations: the subsidies subject to the investigation

Goods subject to the investigation

Goods concerned

Goods concerned are the goods imported into the UK from the exporting country subject to the investigation. In reviews, these goods are referred to as goods subject to review.

These goods are described in detail in the notice of initiation. We use Product Control Numbers (PCNs) in our investigation to define and distinguish the different types of products that fall under the goods description.

Like goods

Like goods are goods which are like the goods concerned in all respects, or with characteristics closely resembling them.

During our investigations we assess the like goods produced and sold in the domestic market of the country under investigation. We also assess the like goods produced by UK producers as well as those imported into the UK from other countries not subject to the investigation.

Directly competitive goods

Directly competitive goods are only relevant in safeguard investigations. These are goods produced in the UK which are directly competitive with the goods concerned.

This can include goods that are not only similar to the goods concerned, such as a different type or variety, but also include goods that occupy a position of direct competition with these goods. A directly competitive good may be one that is substitutable with the goods concerned.

Period of investigation

During every investigation, we will analyse industry data relating to a specific time period before the case initiated – this is the period of investigation.

When we are conducting dumping and subsidy investigations, we will generally use a period of investigation of one year. We will aim for the end point of such period to be as close as possible to the date of initiation.

In a safeguard investigation, we will normally look at the most recent five years for which data is available, although this will be assessed on a case-by-case basis. In some circumstances, we may need to look at different periods – for example, if domestic production only started in the last year or if the market has changed substantially within the last three years. We will use an appropriate period of time that provides sufficient data to assess import trends, and will aim for the end point of such period to be as close as possible to the date of initiation.

In general, periods of investigation will finish at the end of a calendar month. Where the UK industry uses similar financial years, the period of investigation may end on the final day of a financial quarter. However, we will decide this on a case-by-case basis.

We may also follow a different practice necessary to align with other elements of the investigation.

Injury period

During every investigation, we will analyse whether UK industry has been injured by imports of the goods concerned or goods subject to review. We will assess the trends of economic indicators over a specific time period before the case initiated – this is the injury period.

When we are conducting dumping and subsidy investigations, the injury period will be the period of investigation and normally includes the 36 months immediately before this (i.e. 48 months in total).

In safeguard investigations, the period of investigation and the injury period are generally the same.

Amending the scope

In some cases, we may amend the scope of the investigation following the notice of initiation. This may result in changes to:

the description of the goods concerned
the period of investigation
the alleged subsidies (only for subsidy investigations)

To determine if we need to revise the scope, we will consider:

whether we would have initiated an investigation with the revised scope if the relevant information had been included in the application
whether the proposed revision may prejudice the interests of any interested party or contributor
whether the proposed revision would prevent us from proceeding with the investigation in a timely manner

If we consider to revise the scope, we will give all interested parties and contributors our reasons for the proposed revision and an opportunity to comment. If we decide to revise the scope, we will publish an amended notice of initiation.

Question 4

Registration

Accepted Answer

Once we initiate an investigation, we will set a period for interested parties and contributors to contact us. This is known as a registration period. Parties should register online through the Trade Remedies Service.

It is very important that parties register with us during this period to make sure they have the opportunity to be involved in the investigation. We will consider requests made after the registration period on a case-by-case basis.

Interested parties and contributors

Interested parties in an investigation include:

a government of the foreign country or territory subject to the investigation (in a safeguard investigation: any foreign government)
an overseas exporter, an overseas producer or an importer of the goods concerned
a UK producer of the like goods (in a safeguard investigation: a UK producer of the like goods or directly competitive goods)
a trade or business association representing one or many of these parties

A contributor is a person or organisation who is not an interested party but who has contacted us so that they can participate in an investigation, e.g. by contributing to hearings or submitting supplementary information.

Interested parties can request and attend hearings. Contributors cannot request but attend hearings. Further information about our arrangements for hearings can be found in the Meetings and Hearings guidance further below.

The roles of interested parties and contributors do overlap in some ways and we may ask for similar information from both groups.

Definition of UK industry

In dumping and subsidy investigations, UK industry is defined as either:

all the producers in the UK of like goods
a group of those producers whose collective output of like goods constitutes a major proportion of the total production of those goods in the UK

In each investigation we carry out, we will determine which definition to use and therefore which UK producers constitute the “UK industry” in the particular goods based on what is most appropriate for that investigation. We will use this as the basis for relevant calculations, such as determining whether UK industry has suffered or is suffering injury and determining an injury margin.

In safeguard cases, we will take a similar approach, although the processes for a safeguard case mean we use the definition ‘UK producers’ rather than ‘UK industry’.

When we sample UK producers, we will select our sample from the UK producers we have defined as constituting UK industry.

In dumping and subsidy cases only, we may disregard any UK producers that:

import the goods concerned
are related to an importer/overseas exporter of the goods concerned if we consider that the relationship causes the producer to behave differently to other, unrelated producers of like goods in the UK.

If we disregard individual UK producers in our investigation, they will be excluded from the definition of UK industry and any relevant assessments, such as the injury assessment.

We will determine the effect of the relationship on the producer based on the circumstances of the case and the information available to us at the time. In this context, “behave differently” generally refers to suffering injury differently and/or interacting with the investigation differently compared to other, unrelated producers.

Question 5

Sampling and limited examination

Accepted Answer

Where a case involves a large number of interested parties or products in scope of the investigation, we may select and analyse a smaller data set to permit the investigation to proceed. In dumping and subsidy investigations, this is referred to as sampling. In safeguard investigations, this is called limited examination.

In dumping and subsidy investigations, we may use sampling for:

overseas exporters
importers
categories of goods
UK producers
UK transactions involving purchases of the like goods
anything else we think appropriate

Sampling may be used to determine:

export prices or normal values of goods
subsidy amounts
material injury

In safeguard investigations, we may limit examination to:

categories of goods
UK producers
UK transactions involving purchases of the like goods and directly competitive goods
anything else we think appropriate

We will determine our sample by sending pre-sampling questionnaires which need to be completed by overseas exporters, importers and UK producers when they register.

For making our dumping determination, we may sample based on either:

the largest volume of exports we can reasonably investigate
another statistically valid method

For making our determinations in relation to other aspects of an investigation, including subsidies and injury, we can use any reasonable method to select a sample. We will determine the most appropriate approach to use on a case-by-case basis.

In dumping cases, we will publish lists of proposed samples of overseas exporters and importers on the Trade Remedies Service to allow parties to provide any comments on the methodology we applied to choose the sample. We will then finalise the sample and send questionnaires to the parties sampled.

Overseas exporters who are sampled and who cooperate with our investigation will have an individual duty rate calculated for them. Exporters who are not sampled may also ask us to calculate an individual margin for them. We will accept this request and calculate an individual duty rate for them unless this would be unduly burdensome and prevent the timely completion of the investigation.

More information on duties and types of measure can be found in our Defining a measure guidance below.

Question 6

Questionnaires and information gathering

Accepted Answer

Purpose and content of questionnaires and surveys

To carry out our investigations, we ask for information from interested parties and contributors. This includes accounting records, company-specific data and pricing practices, and indicators of the economic performance of the UK industry (or UK producers in safeguard investigations). We may obtain this information through questionnaires issued to interested parties, contributors and any other group that we think is relevant. Where appropriate, we may also use online surveys to obtain evidence on supply chain businesses and consumers to inform our economic interest tests.

We will send a questionnaire to each type of interested party or contributor. This is because various elements of our investigation require different information from each group.

For dumping and subsidy investigations, we will seek to issue questionnaires to all interested parties and contributors who have registered their interest with us and all parties identified in the application. Please note that we will not typically send questionnaires to foreign governments in dumping cases. Sampling may be used in certain circumstances.

In safeguard investigations, we may send questionnaires to any of these parties. We will set a time limit for interested parties to respond to questionnaires and return the completed version to us. We may grant extensions to deadlines on a case-by-case basis with a commitment to ensuring fairness to all parties.

When we are conducting an economic interest test, we may use online surveys for upstream and downstream businesses and consumers, to improve our understanding of the impacts on these groups. The surveys gather relatively limited evidence and are only used for the economic interest test and do not inform our other assessments so cannot be used by UK producers, importers and exporters instead of questionnaires.

We may ask for supplementary information throughout the course of a case. Both interested parties and contributors can provide extra information when they feel it is needed.

Providing confidential information and non-confidential summaries

When we gather information from interested parties and contributors through questionnaires or other submissions, we need to handle this evidence in a way which respects the confidentiality of this information and is also fair and transparent.

Why we ask for non-confidential versions of information submitted to us

It is important that parties involved in a case have the opportunity to understand the evidence provided by other interested parties and contributors and defend their own interests by submitting responses to such information if necessary. However, we understand that some of the information parties provide to us may be confidential to them. Therefore, we ask parties to provide non-confidential versions of their evidence as well, so that we can make this available to other parties.

The non-confidential versions must be sufficiently detailed for other parties to have a reasonable understanding of:

the substance of the information to which it relates
its potential relevance to the investigation or review

If you are submitting confidential documents to us, you must accompany them with non-confidential versions which don’t include your commercially sensitive data or other confidential information. If you don’t provide a non-confidential version, we may not be able to use the information that you have provided.

The non-confidential version of a file must be identical to the confidential version, except for the information which is considered confidential. We usually can’t accept responses such as “N/A”, “Confidential”, or simply leaving the answer blank. Further guidance on how to prepare the non-confidential version is given below. By providing non-confidential versions which meet these guidelines, you will help us process the information you give us more efficiently and reduce the likelihood that we will need to contact you to update and amend the documents.

If, in exceptional circumstances, you are unable to supply a non-confidential version of the required information, you will need to explain why it was not possible to do so. Further guidance on when exceptional circumstances may apply is given below.

What is confidential information?

We may treat data from a party as confidential where:

they supply it on a confidential basis
the information is, by its nature, confidential

In each case, you will need to give the reasons and demonstrate good cause why you feel the information should be treated as confidential.

Confidential information can include anything which:

If we think you have incorrectly identified something as confidential, we will contact you to discuss this.

How to provide confidential information in a non-confidential format

You must submit the non-confidential version of a file at the same time – and to the same deadline – as you provide the confidential version. You’ll need to submit all your documents and their non-confidential versions online using the Trade Remedies Service.

The non-confidential version of a file must be identical to the confidential version, except for the information which is considered confidential.

How to create non-confidential versions of your documents

Any non-confidential summary should contain enough detail to give a reasonable understanding of the confidential information.

To create a non-confidential version of a document:

identify the sections that contain information you think is confidential; provide reasons why you believe the information should be considered confidential
delete or redact those sections by providing a non-confidential summary of the information which has been removed (this must contain enough detail to give a reasonable understanding of the confidential information)
ensure that all personal information which identifies individuals, including names of individuals within the company, contact details and signatures has been removed

Examples of redacting confidential text

Example 1:

Confidential Version

We use SAP accounting systems for our financial accounting, sales and production. Company expenditure is allocated as follows: 45% to region A; 30% to region B; 25% to region C.

Non-Confidential Version

We use [redacted – commercially sensitive information] accounting systems for our financial accounting, sales and production. Company expenditure is allocated across three regions [the exact split of the allocation has been deleted for reasons of commercial sensitivity].

Example 2:

Confidential Version

The main inputs for our production process are steel and aluminium. We source these materials from our supplier, Company A. The terms of sales and pricing are negotiated with Company A on a transaction-by-transaction basis.

Non-Confidential Version

The main inputs for our production process are steel and aluminium. We source these materials from [redacted – commercially sensitive information]. The terms of sales and pricing are negotiated with [redacted – commercially sensitive information] on a transaction-by-transaction basis.

Example 3:

Confidential Version
Legal name of company	Company Ltd
Legal structure	Limited Company
Year of establishment	2008
Place of registration	123 High Street
Name (point of contact)	John Smith
Position	Managing director
Address	123 High Street
Telephone No	0123 456789
Email	John.smith@email.com

Non-Confidential Version
Legal name of company	Company Ltd
Legal structure	Limited Company
Year of establishment	2008
Place of registration	123 High Street
Name (point of contact)	[redacted – contains personal information]
Position	Managing director
Address	123 High Street
Telephone No	[redacted – contains personal information]
Email	[redacted – contains personal information]

How to provide non-confidential versions of numerical data

To create a non-confidential version of numerical data, you should generally provide either a detailed indexing of the data or use ranged values. Where this is not possible, you can provide a summary of the type of data removed or, in exceptional circumstances, a written statement of reasons explaining why we should treat that information as confidential and why that information cannot be summarised.

Indexing

This allows you to set a baseline figure for an initial number and show relative increases or decreases in figures over a period of time.

Example of confidential information:

Year 1	Year 2	Year 3
£20.00	£30.00	£40.00

This could be represented in a non-confidential summary like this:

Year 1	Year 2	Year 3
100	150	200

Ranges

You can also use ranged values. This means providing a range of two numbers, one higher and one lower than the confidential figure. This range should give a reasonable summary of the data provided, with each number generally being within 15% of the confidential figure. The true value should not always be the midpoint of the range.

Example of a confidential figure:

The sales price is £215 per tonne.

Non-confidential summary:

The sales price is [commercially sensitive data: non-confidential range: £200 – £240] per tonne.

Sometimes it will not be possible to use indexing or ranges. In this case, you should redact the data with an accompanying explanation.

How to provide non-confidential versions of charts

To make charts non-confidential, you may only need to remove the numbers on the Y axis. Please avoid any breaks in the Y axis and label it with zero so that the scale of changes can still be understood.

Exceptional circumstances and providing a statement of reasons

In exceptional circumstances, you may find it impossible to summarise your confidential information. If that is the case, please provide a ‘statement of reasons’ describing why that information is confidential and why providing a non-confidential summary of that information is not possible. The statement of reasons should sit within the non-confidential document itself.

A statement of reasons should not be provided simply on the basis that providing a non-confidential summary would be burdensome or costly. You must demonstrate that it is not possible to present the information in a non-confidential way, or with sufficient detail to allow a reasonable understanding of the information in the confidential version.

Examples of where it may be appropriate to provide a statement of reasons

It may be appropriate to provide a statement of reasons if it is not possible to delete or redact the confidential sections of a document in a way that would allow a reasonable understanding of the information.

Example 1:

In the confidential version, a contract between the producer and their supplier is provided.

In this case, it may be appropriate to provide a statement of reasons which states that a contract with your supplier was submitted in the confidential version, in general terms what the substance of that contract related to (for example, the supply of raw materials) and why it was not possible to provide a non-confidential version.

Example 2:

In the confidential version, a price list of products from a supplier has been provided.

In this case, it may be appropriate to provide a statement of reasons which states that you have provided a price list of products from your supplier and explains why it was not possible to provide a non-confidential version.

Deficiency notices

If we find that confidential information supplied in a returned questionnaire is insufficient or inadequate, or that a non-confidential version hasn’t been supplied in a format that may allow us to publish it on the public file, we may issue a notice to the relevant interested party or contributor to request further information. This is known as a deficiency notice.

The most common reasons for a deficiency notice being issued are that information is omitted, is in the incorrect format, or not to the required standard.

We will send deficiency notices online using the Trade Remedies Service. These will include a time limit for the information requested to be supplied.

Non-cooperation

We may consider an interested party to be non-cooperative if they fail to cooperate with an investigation, for example by not providing sufficient questionnaire responses, or significantly impeding its progress.

If we believe parties are not cooperating with us, we may disregard any information they have supplied. If an interested party does not cooperate and we believe relevant information is being withheld from us, this could lead to a result which is less favourable to the party in question – for instance, it may affect the duty rate that applies to them.

We will not find a party to be non-cooperative if they have acted to the best of their ability to cooperate with us.

Use of information and facts available

In our investigations, we will consider information provided to us by any interested party, contributor or other person we have requested information from, provided that the information:

is verifiable
has been appropriately submitted (in such a way that we can use the information without undue difficulty)
has been supplied to us within any applicable time limit
where relevant, has been supplied to us in the form we requested

We will not consider oral statements made in the course of a hearing unless:

the statements are reproduced in writing
we make the written reproductions available to interested parties and contributors

We may disregard confidential information if the party supplying the information has not supplied a non-confidential summary or a statement of reasons unless, using our discretion, we are satisfied that the information is correct.

We will provide our reasons if we disregard information from an interested party or contributor. We will include these in the Statement of Essential Facts, Statement of Intended Final Determination or Final Determination.

Where submissions are only partially complete, we will use ‘facts available’ to fill in any gaps. We will not disregard all the data just because some parts are not as complete as desired. We will examine this on a case-by-case basis.

‘Facts available’ may include information:

contained in the application
from other interested parties in the investigation
from other secondary sources

When we use ‘facts available’, we will do so with special circumspection and, where practical, verify information from secondary sources. This includes information in the application.

We will explain how we came to any decisions based on ‘facts available’ and detail any supporting information we used. This may include:

published price lists
official import statistics
customs returns
information from other interested parties

Question 7

Verification

Accepted Answer

Verification, referred to as authentication in safeguard investigations, helps us to establish an accurate and reasonable dataset for our investigation in order to make our assessments and calculate trade remedy measures.

Our initial desk analysis seeks to establish complete and reliable data. We use this analysis to determine specific questions and areas to consider in further verification. We may find submitted data is incomplete. In these cases, we may send a deficiency notice.

We may also carry out verification to assess the origin and validity of the data submitted. At our discretion we will visit companies to assess the completeness, relevance and accuracy of their data. Visits will generally take place on the premises of the interested party. They normally take several days for UK producers or overseas exporters, or a day for importers.

After completing the verification, we will draft a written report of the findings during this process. The company we verified then has to summarise this into a non-confidential report within an agreed timeframe. We will publish this non-confidential report on our online Trade Remedies Service.

Question 8

Assessments and calculations

Accepted Answer

We will analyse all the evidence we have gathered to establish whether dumping is occurring, subsidies provided to exporters of the goods concerned are countervailable or whether there have been unforeseen increases in imports. We also use the information to calculate dumping margins or subsidy amounts.

Further information on these assessments and calculations can be found here:

Furthermore, we use the evidence to determine whether UK industry has suffered or is suffering injury (in safeguards investigations: serious injury) and whether such injury is caused by the goods concerned. We also use the evidence to calculate injury margins. In some cases, we will assess whether the goods concerned are threatening to cause injury or causing material retardation of establishment of UK industry.

Further information on injury and causation assessments can be found in our Determining injury and causation guidance.

Question 9

Defining a measure

Accepted Answer

If we establish that unfair trade practices or unforeseen surges in imports have caused or are causing injury to UK industry and that measures are needed, we will specify the type, level and duration of such measures.

Defining the level of duty

To determine the level of duty to apply to dumped or subsidised imports, we will consider the level of dumping or amount of subsidies calculated in our investigations, and the injury margin. We will use the Lesser Duty Rule, which means that the recommended level of duty will not exceed the dumping margin/the amount of subsidy being applied to the goods or the injury margin – whichever is the lower.

Further information about how we calculate those margins can be found here:

Determining dumping and anti-dumping duties
Determining subsidies and countervailing duties
Determining injury and causation

Where the goods concerned are subject to separate dumping and subsidy investigations, we may impose both anti-dumping and countervailing measures. The total amount of both levels of duty should be no more than the amount needed to remove the injury caused to the UK industry by the dumping and the importation of subsidised goods.

How we define the level of duty recommended following a safeguard investigation is described in our Determining safeguard measure guidance.

Defining the form of measure

We will decide the most appropriate form of measure to apply on a case-by-case basis, taking into account any evidence submitted by interested parties.

Some forms of anti-dumping and countervailing measures we may recommend are described below.

Ad valorem duties

Ad valorem duties are applied to the value of the imports of the goods subject to the measure. Ad valorem duties based on the lower of the dumping margin/amount of subsidy and the injury margin. Margins are expressed as a percentage. Further information on how these margins are calculated can be found here:

The ad valorem duty amount is added to the price of each import at the border. This means that the effective rate is the same no matter what the import price is and allows the measure to keep up with changes in the market, such as inflation.

Specific duties (also known as fixed duties)

A specific level of duty is added for each unit of the product imported. The duty is based on quantity rather than value.

A specific duty may be appropriate when goods come in a form mixed with other products, making it hard to determine the value of the individual products. For example, it is hard to determine the value of a chemical when it is mixed in with other chemicals. However, the volume would be easier to determine, so it makes sense to recommend a measure based on quantity.

Variable duty – minimum import price

This is a type of variable duty which enforces a minimum import price (MIP) by applying a duty if the price of an import falls below a certain level. We calculate the MIP using data gathered during our investigation, including the UK target price. If the goods are sold at a lower price, the importer must pay the difference.

Further information about how we calculate target prices can be found in our Determining injury and causation guidance.

Compound duty

A compound duty is a combination of different forms of measures which apply to the imported product in combination. For example, if the imported good is subject to a compound duty, an importer may have to pay a fixed duty and an ad valorem duty for such good.

Mixed duty

Mixed duties offer a conditional choice between different forms of measures. Only one of these forms of measure will apply to the imported good. For example, if the imported good is subject to a mixed duty, an importer may be required to pay a fixed duty or an ad valorem duty for such good.

The forms of safeguard measures we may recommend are described below:

Safeguarding amount

A safeguarding amount is an additional amount of import duty on the relevant goods.

Tariff rate quota

If we recommend a tariff rate quota, goods up to a specified quantity will become subject to a lower import duty. Once the quota has been exceeded, a higher import duty will be applied.

Further information on how we determine safeguard measures is provided in our Determining safeguard measure guidance.

Defining the duration of measure

We will normally recommend that a definitive anti-dumping or countervailing measure be applied to goods for a period of five years (in addition to the period during which any provisional measures may have been in place). However, we may recommend a shorter period if we think that would be enough to remedy the injury to the UK industry being caused by the dumped or subsidised goods.

The period when a safeguard measure is operational must not exceed four years. However, after an extension review, we can recommend that the measure is extended to a maximum of eight years in total. Further information about how we define a safeguard measure can be found in our Determining safeguard measures guidance.

Applying measures to certain goods

We may recommend to apply different levels of duty to goods within a category. We may also determine that certain product types in scope of the investigation should not become subject to a duty.

Determining specific duty levels for different exporters

When we conclude our investigation, we may set different duty rates for exporters.

We will set an individual duty rate for each cooperating exporter. When we sample exporters, we may only set individual duty rates for sampled cooperating parties.

Exporters who are not sampled may also ask us to calculate an individual margin for them. We will accept this request and calculate an individual duty rate for them unless this would be unduly burdensome and prevent the timely completion of the investigation.

We will set a single duty rate for all non-sampled, cooperating exporters. This will be the weighted average of the rates for the sampled cooperating exporters.

We will set a single duty rate for all other exporters, including non-cooperating exporters. This is known as the residual rate. We will determine this rate on a case-by-case basis.

Alternative options

We may conclude that more than one measure might be appropriate to address the unfair trade practices or surges in imports. We assess whether to provide alternative options when:

a proposed measure would not meet the economic interest. We will then consider whether an alternative measure does meet the economic interest. Further information about how we assess the economic interest can be found in the Economic interest test guidance and Economic interest test further below.
we otherwise consider that it is appropriate.

Agreeing an undertaking

In some anti-dumping or subsidy cases, we may agree to an undertaking instead of applying a measure. This is an agreement made by the exporter to revise the prices of the dumped goods or subsidised imports or to cease the export of the goods to the UK. In a case involving subsidised imports, it may be an agreement with the relevant foreign government to stop or reduce the subsidisation of the goods being exported to the UK.

Retrospective measures

In exceptional circumstances, we may also recommend imposing a dumping or countervailing measure retrospectively. For example, where there is a history of dumping which caused injury, the injury has been caused by a massive volume of dumped or subsidised goods in a short period of time, or there is a rapid build-up of inventories of the dumped goods. The duties will be applied to a specified volume of goods from particular exporters for a defined period. The duties can continue to be applied for up to 90 days before provisional measures are applied.

Question 10

Economic interest test

Accepted Answer

If we establish that measures are needed to protect UK industry, we will assess whether such measures are in the economic interest of the UK.

If measures are deemed to not be in the economic interest, we will assess whether we can recommend alternative measures that meet the economic interest test.

Further information on how we apply the economic interest test can be found in our Applying the economic interest test guidance.

Question 11

Meetings, hearings and visits

Accepted Answer

Throughout an investigation, we may hold meetings, hearing or conduct industry visits to gather information relevant for our determinations.

Meetings

Purpose of meetings

Meetings are usually held with a single interested party or contributor. They may be held in person or virtually. The purpose of a meeting may vary depending on the needs of the case. They are an informal way for interested parties or contributors to discuss issues relating to an ongoing investigation and provide additional information to our investigations team. They can also be a useful way for interested parties and contributors to discuss confidential information with us on a one-to-one basis.

Meetings should be an opportunity for interested parties and contributors to put forward new information and not to repeat or emphasise information they have already provided to us. Interested parties and contributors are welcome to provide written statements at any time during the course of an investigation or review. Alternatively, meetings can be used to raise and discuss a specific issue (or issues) identified throughout the course of an investigation. They should not be used to ask for feedback on the progress of the case.

Requesting a meeting

Only an interested party or contributor who has registered their interest on the Trade Remedies Service (TRS) can ask for a meeting with us about a case. You can find instructions on the TRS on how to do this. We handle each request on a case-by-case basis, as part of the ongoing investigation process.

If you ask us for a meeting, you should provide an agenda outlining what you want to discuss, and a clear explanation why you would like to meet with us.

We will publish your request for a meeting on our public file, along with other non-confidential information about the case. For this reason, if you include confidential material with your request, please also provide a non-confidential version. We will only publish the non-confidential version of the information you provide.

We may ask an interested party or contributor to meet us. If we do, we will provide an agenda outlining what we want to discuss, and a clear explanation why we would like to meet with you. We will publish our request on our public file. We will only publish a non-confidential version of the request. Only the interested party or contributor who we asked to meet can attend, unless otherwise agreed. We will contact you to arrange a suitable date, time and location (if the meeting will be in person) and make any reasonable adjustments to help ensure you can attend.

Holding meetings

While meetings are an informal way to discuss the investigation with us, it is important to remember that if you want what you say to be taken into account in our investigation, you will need to provide a written version of any statements you make during the meeting, including any evidence you refer to.

All written submissions will be published on our public file so that other interested parties and contributors can view them. If you provide a written statement that contains any confidential information, you will also need to provide a non-confidential version.

Hearings

Purpose of hearings

A hearing is an opportunity for interested parties to meet with us and other interested parties and contributors during an ongoing investigation or review, to present their views and hear the views of others involved. It is not an opportunity to question the TRA about the investigation and decisions will not be made and/or disclosed during a hearing.

The purpose of a hearing varies depending on the needs of the case. However, in general, hearings are a mechanism to discuss a specific issue (or issues) arising following publication of our initial report. Therefore, the best time for a hearing, regardless of who proposes it, is generally once we have carried out evidence-gathering and analysis and published our initial report of our findings. In a dumping or subsidy case, this is called a Statement of Essential Facts (SEF), while in a safeguard investigation, it is called a Statement of Intended Final Determination (SIFD). If you would like to meet with us before this stage, we would encourage you to ask for a meeting with us.

Requesting a hearing

A hearing may be requested by an interested party (contributors can’t ask for hearings) or we may suggest one ourselves. You can find instructions on the TRS on how to do this. We handle each request on a case-by-case basis, as part of the ongoing investigation process.

If you request a hearing, you should provide a completed ‘request for hearing’ form (available on the TRS), an agenda outlining what you want to discuss, and a clear reasoning on the need for a hearing. It is important to give clear reasoning about why a hearing is required and why you can’t simply provide information in written form. If you don’t provide this, we may ask you for further information. If we don’t receive this, or we don’t consider your reasoning to be sufficient justification for holding a hearing, we may reject the request. If we do, as an interested party, you can still provide a written response to our initial report.

When we arrange a hearing, we will give notice to all interested parties and contributors by publishing the request on our public file, along with other non-confidential information you provide. For this reason, if you include confidential material with your request, please also provide a non-confidential version of this.

We may decide to conduct a hearing on our own initiative and ask interested parties and/or contributors to attend. If we do, we will provide an agenda outlining what we want to discuss and clear reasoning on the need for a hearing.

As when we receive a request for a hearing, we will publish our intention to hold a hearing on the public file. We will only publish a non-confidential version of this.

Conducting a hearing

Only interested parties and contributors who are registered on the TRS to the relevant investigation can attend hearings. They are not open to the public.

We will arrange a date, time and location in consultation with all attendees and make any reasonable adjustments to help ensure individuals can attend. However, once a hearing has been agreed and scheduled, it is unlikely that we will be able to make any further changes to the arrangements.

We will notify interested parties and contributors in advance to tell them about any specific processes and procedures that will be adopted at the hearing.

Interested parties and contributors (or their representatives) are not under any obligation to attend a hearing, including hearings we initiate. If an interested party doesn’t attend a hearing, we won’t determine them to be non-cooperative as a result and their failure to attend will not be prejudicial to their interests.

Because hearings may be attended by individuals representing many different companies and industries, anything said in a hearing must be considered public and cannot be treated as confidential. Any oral statements made at a hearing can only be taken into account in our investigation or review if a written version is provided.

If you make an oral statement at a hearing, you should provide a written version of that statement afterwards, via the TRS. It’s a good idea to prepare what you want to say beforehand in writing – this can form the basis of your written copy. You can include confidential information which you did not include in your oral statement.

All written statements will be published on the TRS so other interested parties and contributors can view them. For this reason, if your submission includes confidential information, you must also provide a non-confidential version of your submission which we can publish.

Industry visits

When we receive an application from a UK industry for a new investigation or review, we may want to visit relevant UK industry premises to find out more about the industry, before we decide whether or not to initiate the investigation or review. The purpose of our visit will vary depending on the information provided in the application.

If we decide to carry out an industry visit, we will contact the company in question to ask them to host a visit. If they agree, we will arrange a suitable date for our visit and provide an agenda/itinerary outlining what we want to discuss or any elements of the manufacturing processes we want to view. If a visit can’t be arranged, this won’t affect our decision on whether to initiate an investigation or review.

After a visit, we may ask the company we visited to provide us with further information, including any evidence they referred to during our visit. Once we have made a decision on whether or not to initiate the investigation or review, we will prepare a report of our visit and publish a non-confidential version of this on the public file.

Question 12

Determinations and recommendations

Accepted Answer

Once we have assessed whether measures are needed and whether these are in the economic interest, we will record our findings in a report.

Provisional affirmative determinations and provisional measures

In new investigations, we may submit a provisional affirmative determination with our preliminary findings to the Secretary of State.

In a dumping or subsidy investigation, a provisional affirmative determination may be made at any stage of the investigation and based on evidence before us at the point of making such determination that allows us to conclude that:

dumped/subsidised goods have been or are being imported into the UK and
these imports are causing or have caused injury to UK industry.

In safeguard investigations, a provisional affirmative determination may be made at any stage of the investigation and based on evidence before us that:

the goods have been or are being imported into the UK in increased quantities
the importation of the goods in increased quantities has caused or is causing serious injury to UK producers of those goods.

We will not make a provisional affirmative determination without making sure that interested parties have been given adequate opportunity to comment through our online platform. In subsidy investigations, we will also give the foreign government reasonable opportunity for consultation beforehand.

If we make a provisional affirmative determination in our investigation, we may recommend provisional measures to the Secretary of State.

We will make a recommendation for a provisional measure if we are satisfied that it is necessary to prevent injury (in safeguard investigations: serious injury) being caused during the investigation to a UK industry in the relevant goods. We will advise the Secretary of State whether a provisional measure meets the economic interest test.

If the Secretary of State accepts our recommendation to impose provisional measures or decides to impose an alternative provisional measure, importers may be asked to provide a guarantee to cover the duty amount they would incur if measures were made final.

In dumping and subsidy investigations, the form of guarantee may be cash, a bond or a bank guarantee. Provisional anti-dumping measures can be applied to goods for up to six months and extended up to a maximum of nine months. Provisional countervailing measures can be applied for up to four months.

In safeguard investigations, the provisional measure may take the form of either a provisional safeguarding amount or a provisional tariff rate quota. Any provisional remedy we recommend will not exceed 200 days.

If the recommendation is accepted, the Secretary of State will publish notice of our provisional affirmative determination and of the recommendation. They will then publish a notice requiring all importers of the goods to give a guarantee and will also notify interested parties.

If the recommendation is rejected, the Secretary of State will publish notice of our provisional affirmative determination, the recommendation and the rejection. They will then notify interested parties and lay a statement in the House of Commons, setting out their reasons for rejecting the recommendation.

The Secretary of State may also take a different decision from the one we recommended. In order to take a different decision, the Secretary of State must find that an alternative measure is in the public interest. The Secretary of State may ask us to provide further advice, information or other support to allow them to make their decision. If the Secretary of State decides to take a different decision, they must reject our recommendation.

In some cases, we may decide not to make a recommendation to the Secretary of State even where we have made a provisional affirmative determination. This will be because the provisional measure is not deemed necessary to prevent injury (or serious injury) during the investigation to the UK industry (or UK producers). In these cases, we will publish a notice of our determination. We will then notify the Secretary of State and interested parties.

Statement of Essential Facts

Before publishing a final determination, we will publish a Statement of Essential Facts (in safeguard investigations: Statement of Intended Final Determination). It will inform parties of the facts which form the basis for our decision on whether to recommend definitive measures.

The Statement of Essential Facts (or Statement of Intended Final Determination) provides relevant parties with the opportunity to comment on the information and our calculations before the final determination.

Final determination and definitive measures

After considering comments and submissions in response to the Statement of Essential Facts (or Statement of Intended Final Determination), we will then make our final determination. This will set out our final recommendation of measures to the Secretary of State.

We will submit a final affirmative determination and recommendation for a definitive measure if we are satisfied that it is necessary to prevent injury being caused to a UK industry in the relevant goods (or to prevent serious injury caused to UK producers of the relevant goods). We will advise the Secretary of State whether a definitive measure meets the economic interest test. We may also provide the Secretary of State with alternative options if appropriate.

Once we have submitted our final affirmative determination and recommendation for a definitive measure, the Secretary of State may request us to reassess our recommendation if there is relevant information that we did not take into account, if there is an error in our recommendation or in exceptional circumstances if appropriate. We may then make a revised recommendation or provide alternative options, and must advise whether these are in the economic interest.

If we intend to make a final negative determination or, for safeguard investigations, where we propose to make a final affirmative determine in relation to goods and determine that there is not a recommendation which we could make, we must notify the Secretary of State before making that determination. The Secretary of State may request that we reassess our proposed final negative determination if there is relevant information that we did not take into account, if there is an error in our proposed determination or in exceptional circumstances if appropriate. We will then carry out a reassessment in accordance with the Secretary of State’s request.

If our recommendation, and alternative options if provided, are rejected, the Secretary of State will publish a notice of our final determination, the recommendation and the rejection. They will then notify interested parties and lay a statement in the House of Commons setting out their reasons for rejecting the recommendation.

If our recommendation, or one of the alternative options we have provided, is accepted, the Secretary of State will publish a notice of our final affirmative determination and of the recommendation. They will also notify interested parties.

The Secretary of State may also take a different decision from the one we recommended. In order to take a different decision, the Secretary of State must find that an alternative measure is in the public interest. The Secretary of State may ask us to provide further advice, information or other support to allow them to make their decision. If the Secretary of Stage decides to take a different decision, they must reject our recommendation.

If the Secretary of State decides to impose a definitive measure, this will start to apply the day after the Secretary of State’s publishes a notice with their decision. Duties will then also be collected for the period during which any provisional measures have been in place. Measures will be applied to the goods specified in the Secretary of State’s notice. Different measures may apply for specified exporters, or certain foreign countries or territories, or categories of goods.

Termination of investigation

We will propose terminating a dumping or subsidy investigation if, at any stage during the investigation, we find that the dumping margin or subsidy amount for all relevant goods (cumulatively and per country) is minimal. A dumping margin is minimal if it is less than 2% of the export price. A subsidy amount is minimal where it is less than 1% ad valorem (2% for developing countries).

We will also propose terminating a dumping or subsidy investigation if the volume of dumped goods or subsidised imports is negligible. This applies where dumped or subsidised imports from the country under investigation account for less than 3% of total imports of the like goods to the UK. This does not apply however where imports from exporting countries individually account for less than 3% of total imports of the like goods to the UK, but collectively account for more than 7% (less than 4% individually but more than 9% collectively for subsidised imports from developing countries).

Furthermore, we will propose to terminate a dumping or subsidy investigation where we find that the injury is negligible.

When any of these situations arise, we must notify the Secretary of State. The Secretary of State may request that we reassess our proposal if there is relevant information that we did not take into account or in exceptional circumstances if appropriate.

If the Secretary of State does not make such request within 21 days of being notified of the proposed termination, we will terminate the investigation. We will publish a notice to explain why the investigation has been terminated and notify the Secretary of State and interested parties accordingly.

We may also, where appropriate, terminate a dumping, subsidy or safeguard investigation at the request of the UK industry that applied for the remedy. We must notify the Secretary of State accordingly.

If a termination request made by the applicant UK producer(s) has been rejected, we will publish a notice which gives the reasons for doing so and we will notify interested parties and contributors.

Reassessment

The Secretary of State may request us to reassess our findings and conclusions when:

we propose to terminate an investigation
we propose to make a final negative determination

When any of these situations arise, we must notify the Secretary of State. They will have 21 days to consider whether to request a reassessment.

The Secretary of State may also request us to reassess our recommendation when:

we submit our final affirmative determination

A request may be made because:

there is new evidence which we did not previously consider, and/or
there is an error of fact in our findings, and/or
in exceptional circumstances.

The Secretary of State must consult with the TRA before making a request, for example to discuss the scope of the reassessment and whether a reassessment could be completed within any applicable WTO deadlines.

If the Secretary of States makes a request for reassessment, we must comply with it. If no request is made within 21 days or the Secretary of State informs us that they will not make such request, we will proceed as proposed.

If following consultations, the Secretary of State and TRA determined that a reassessment request should not be made due to time constraints, the Secretary of State may accept the TRA’s recommendation, but then ask the TRA to initiate an early review within 60 days of publication of the Taxation Notice giving effect to the TRA’s original recommendation.

Question 13

If you disagree with a trade remedies decision

Accepted Answer

Once the Secretary of State has made a decision following the conclusion of an investigation, you may be able to ask us to reconsider the final determination on which that decision was based. For further information on this, see our guidance on reconsiderations.

You may also be able to appeal to the Tax and Chancery Chamber of the UK’s Upper Tribunal.

You can do this if:

you have already followed the reconsideration process for a decision and disagree with our reconsidered decision,
you have asked for the decision to be reconsidered and your application has been rejected
you want to appeal a trade remedies decision made by the Secretary of State

What decisions can I challenge?

A full list of the decisions that can be reconsidered and appealed is set out at Schedules 1 and 2 of the Trade Remedies (Reconsideration and Appeals) (EU Exit) Regulations 2019.

In most cases, anyone who was an interested party in the original investigation can appeal. Interested parties may include:

a foreign government
overseas exporters, overseas producers or importers
UK producers
a trade or business association of those UK producers, overseas exporters, overseas producers or importers

For some decisions, an appeal can only be lodged by whoever applied for reconsideration of the original decision.

These include:

a decision to reject an application for a dumping, subsidisation or safeguard investigation
a decision to reject an application for review of a dumping or countervailing measure
a decision to reject an application for an extension review of a safeguard measure
a decision to reject an application for reconsideration that is submitted late or that does not meet the criteria set out in the regulations

How to appeal

To appeal to the Upper Tribunal, you will need to complete a notice of appeal form. For more details read the guidance on how the Tribunal works.

The Tribunal cannot give you legal advice.

Your completed form must be sent to the Tribunal so that it is received no later than one month after:

the date on which notice of the reconsidered decision you wish to appeal is published or, if later, the date on which that notice comes into effect; or
if the decision does not need to be published, the date on which you were notified of the reconsidered decision

What can the Upper Tribunal decide?

When making a decision, the Upper Tribunal must apply the same principles as would be applied by a court on an application for judicial review.

At the end of the appeal process, the Tribunal can:

dismiss the appeal
set aside all or part of the decision to which the appeal relates

If the Tribunal sets aside all or part of a decision, it will refer the matter back to the decision-maker and order them to make a new decision in accordance with the Tribunal’s ruling.

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