Organization Name:

Note: Representatives submitting on behalf of an organization must enter information below.

Requestor Representative:

Section 301 Investigation: China's Acts, Policies, and Practices Related to Technology 

Transfer, Intellectual Property, and Innovation - Form to Request Exclusion of Product

When submitting a product exclusion request using this form, enter the specified 

information in the following fields and explain the basis and rationale for your statements. 

By completing this form, you certify that the information provided is complete and 

correct to the best of your knowledge. 

1. Indicate whether the comment contains business confidential information (BCI), is a public

document, or is a public version of a BCI document.

3.

2. Please provide a complete and detailed description of the product of concern:

4.

5. Requestor's relationship to the product:

CONTINUED BELOW

*

10-digit HTSUS item number* for product you wish to address in this product exclusion request:

Use numerical characters only with no special characters (example: 1023456789). For help in finding 

the HTSUS item number associated with your product, see https://hts.usitc.gov/

1

7.

6. Does this submission in regulations.gov include additional attachments?

Please indicate whether any additional attachment contains business confidential

information (BCI), is a public document, or is a public version of a BCI document.

VERSION 1

Requestor Information

Requestor Name (Last, First):
END 2

8. Is this product, or a comparable product, available from sources in the United States?:

VERSION 1

11. Please provide information in support your request, taking account of the instructions

provided in Section B of the Federal Register notice (note: text entered below can extend

beyond the apparent size of this box).

9. Is this product, or a comparable product, available from sources in third countries?:

10. Please provide the value and quantity (with units) of the Chinese-origin product of concern

that you purchased for each calendar year specified. Limit this figure to the products

purchased by your firm (or by members of your trade association) alone. Please provide 

estimates if precise figures are unavailable.

2016 Value:

2015 Value:

2017 Value:

2016 Quantity:

2015 Quantity:

2017 Quantity:
505 Sansome Street, Suite 1475, San Francisco, CA 94111 USA • www.strtrade.com 

CHICAGO • GUANGZHOU • HONG KONG • MIAMI • NEW YORK • PAWLING, NY • SAN FRANCISCO • SHANGHAI • WASHINGTON D.C.

Elise Shibles

Partner

(415) 986-1088

eshibles@strtrade.com 

October 4, 2018 

Via Electronic Filing http://www.regulations.gov 

Ambassador Robert E. Lighthizer 

United States Trade Representative 

Office of the United States Trade Representative 

600 17th Street, NW 

Washington, DC 20508 

DOCKET USTR-2018-0025 

EXCLUSION REQUEST HTS 8421.99.0080, PALL CORPORATION

Dear Ambassador Lighthizer: 

On behalf of our client, Pall Corporation (Pall), we are submitting comments on proposed 

tariffs of 25 percent on certain China origin imports listed in Annex A of the Office of the 

United States Trade Representative Notice of Action and Request for Public Comment 

Concerning Proposed Determination of Action Pursuant to Section 301: China’s Acts, 

Policies, and Practices Related to Technology Transfer, Intellectual Property, and 

Innovation (83 Fed. Reg. 28710, June 20, 2018). 

We are asking for exclusion of certain filter end caps, classified under Harmonized Tariff 

Schedule of the United States (HTS) 8421.99.0080, from the proposed duties. The full 

description of the articles proposed for exclusion is described in Annex 1 attached hereto. 

Description of HTS 8421.99.00 

HTS 8421.99.00 is a basket provision in the HTS covering parts not more specifically 

described elsewhere of filtering or purifying machinery and apparatus for liquids or gases. 

PUBLIC VERSION 
United States Trade Representative 

October 4, 2018 

Page 2 of 5

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CHICAGO • GUANGZHOU • HONG KONG • MIAMI • NEW YORK • PAWLING, NY • SAN FRANCISCO • SHANGHAI • WASHINGTON D.C.

Pall Corporation seeks exclusion for a much narrower type of parts within this HTS code, 

described in detail in Annex 1. These are generally filter end caps, which are comprised 

of plastic, that are used to cap the end of the filter. The primary function of the filter end 

cap is to hold the filter element in place inside a filter housing. They are used in various 

industrial processes to provide a secure seal in liquid or gas filtration. 

Relation to Eliminating China’s Policies 

The filter end caps that are the subject of this request are produced in a Pall Corporation 

wholly foreign-owned enterprise (WFOE) as well as by contract facilities. The report on 

the Section 301 investigations recognized the WFOE as the business model least 

vulnerable to Chinese government coercion, including foreign technology transfer. To 

our knowledge, Pall Corporation’s WFOE in China has never experienced any threat to its 

intellectual property nor any pressure to transfer technology related to these filter end 

caps. 

The filter end caps at issue are used in the United States in the advancement of cuttingedge science, but the technology to produce these filter end caps is not cutting-edge 

itself. It is widely-used injection molding and other basic technology. While it is heavily 

automated, it is not advanced. The technology required to produce these filter end caps 

is not identified in the Made in China 2025 initiative. It is not a leapfrog technology on 

which Chinese companies may make technological gains. 

Lack of US Production or Other Sourcing Options 

These goods are not produced in the USA in sufficient quantities to meet Pall’s needs. Pall 

Corporation currently sources from US suppliers, goods made by similar processes, but 

not the specific goods the subject of this request. In order to meet Pall’s needs, the US 

suppliers would need to expand their manufacturing footprint, including additional 

equipment and machinery and production and support staff. This expansion would likely 

take about [ ]1, due in part to the lengthy component and product qualification 

and validations for these types of sensitive scientific instruments and parts. A complete 

shift of capacity to US sources could take up to [ ]2. 

 

1 Business confidential information that would endanger trade secrets or profitability, and 

information that would not customarily be released to the public. 

2 Business confidential information that would endanger trade secrets or profitability, and 

information that would not customarily be released to the public. 
United States Trade Representative 

October 4, 2018 

Page 3 of 5

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CHICAGO • GUANGZHOU • HONG KONG • MIAMI • NEW YORK • PAWLING, NY • SAN FRANCISCO • SHANGHAI • WASHINGTON D.C.

It would be extremely burdensome to shift production to any other facility, regardless of 

geographic location, because of the extensive tooling and automation requirements for 

this type of production. The tools and components are subject to extensive qualifications 

and validations before production can begin. Shifting the majority of production to 

facilities outside of China, on the scale required by Pall Corporation, would take 

approximately [ ]3. This estimate is based on the company’s past experience transferring 

similar components and products from one production facility to another. 

Economic Harm to US Interests 

Pall Corporation is a filtration, separation and purification leader, headquartered in Port 

Washington, New York, providing solutions to meet the critical fluid management needs 

of customers across the broad spectrum of life sciences and industry. Pall provides 

equipment for customers who discover, develop and produce biotech drugs, vaccines, cell 

therapies and classic pharmaceuticals. These solutions are essential to the critical care of 

patients receiving medical treatment in the United States. 

Pall Corporation employees over 3900 people in 17 locations in the United States. These 

US facilities include manufacturing, innovation and administrative functions. 

The economic impact of the proposed additional 25% tariff will be approximately [ ]4

annually, to be directly absorbed by Pall Corporation. 

Many components at issue are incorporated into finished goods within Pall’s US 

manufacturing facilities. The US processes include assembly, testing and packaging on 

top of the US-value added by Pall’s proprietary designs and intellectual property. The 

value of China-origin content in a US finished instrument is typically under 10%. 

In some cases, Pall Corporation purchases China origin products and resells them to 

medical and biotechnology laboratories in the condition as imported, but that is not the 

case for the filter end caps that are the subject of this request. 

Recent investigations by Pall indicate that even with the additional 25% duties in effect, 

certain materials and products will continue to be sourced in China for the long term 

because the costs associated with shifting production are greater than the duty 

 

3 Business confidential information that would endanger trade secrets or profitability, and 

information that would not customarily be released to the public. 

4 Business confidential information that would endanger trade secrets or profitability, and 

information that would not customarily be released to the public. 
United States Trade Representative 

October 4, 2018 

Page 4 of 5

505 Sansome Street, Suite 1475, San Francisco, CA 94111 USA • www.strtrade.com 

CHICAGO • GUANGZHOU • HONG KONG • MIAMI • NEW YORK • PAWLING, NY • SAN FRANCISCO • SHANGHAI • WASHINGTON D.C.

assessment. On that basis, the additional duties are unlikely to have the intended effect 

of penalizing China for its practices, but instead will harm US interests such as Pall 

Corporation. 

These goods are purchased through long term contracts under which prices are not 

adjustable. The imported components, incorporated into US-manufactured laboratory 

devices, are also sold under long term contracts under which prices are not adjustable. 

The increase in tariffs will only serve as a significant cost to Pall Corporation’s US business. 

Economic Harm to Consumers 

Eventually, as long-term contracts expire, these costs will be passed on to American 

patients in the ever-increasing cost of health care in the United States. 

Conclusion 

For these reasons, we urge you to exclude the filter end caps described in Annex 1 to this 

request, classified under HTS 8421.99.0080, from the proposed list for retaliatory tariffs 

in the amount of 25% on China origin goods. This action will inevitably and irrevocably 

harm Pall Corporation, a US manufacturer, and would not advance the administration’s 

goal of reducing China’s stated policy to force technology transfers. 

I certify that the information provided is complete and correct to the best of my 

knowledge. 

Sincerely yours, 

 Sandler, Travis & Rosenberg, P.A. 

 By:_ __________________________ 

 Elise Shibles 

Enclosure 

 
United States Trade Representative 

October 4, 2018 

Page 5 of 5

505 Sansome Street, Suite 1475, San Francisco, CA 94111 USA • www.strtrade.com 

CHICAGO • GUANGZHOU • HONG KONG • MIAMI • NEW YORK • PAWLING, NY • SAN FRANCISCO • SHANGHAI • WASHINGTON D.C.

ANNEX 1 

HTS: 8421.99.0080 

Description: Round filter end cap parts of machinery and apparatus for filtering other 

than water, designed to hold one or more filter elements in filter housing, of plastic 

(provided for in subheading 8421.99.0080)