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 particular product of concern:

4.

*

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/

7.

5. Requestor's relationship to the product:

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.

Requestor Information

Requestor Name (Last, First):

VERSION 2 CONTINUED BELOW 1
8. Is this product, or a comparable product, available from sources in the United States? (If you

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

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.

2017 Value:

2016 Value:

2015 Value:

2017 Quantity:

2016 Quantity:

2015 Quantity:

% of your total gross sales in 2017 that the Chinese-origin product accounted for.

% of the total cost of producing the final product(s) the Chinese-origin input 

accounts for.

% of your total gross sales in 2017 that sales of the final product(s) incorporating 

the input accounted for.

VERSION 2 CONTINUED BELOW 2

indicate "NO", you must provide support for your assertion in Box 12).

indicate "NO", you must provide support for your assertion in Box 12).

11. Is the Chinese-origin product of concern sold as a final product or an input used in

a) For imports sold as final products, please provide:

b) For imports of inputs used in the production of final products, please provide:

the production of a final product or products?
12. Please provide information in support your request, taking account of the

VERSION 2 END 3

instructions provided in Section B of the Federal Register notice. If you

responded "NO" to Questions 8 or 9, you must provide support for your

assertion in the box below. (Note: text entered below can extend beyond the

apparent size of this box).
October 9, 2018

VIA ELECTRONIC SUBMISSION

WWW.REGULATIONS.GOV

The Honorable Robert E. Lighthizer

United States Trade Representative

Office of the U.S. Trade Representative

600 17th Street, NW

Washington, DC 20508

Re: Request for Section 301 Exclusion (Docket Number USTR-2018-0005)

Drinking Water Filter Systems, HTSUS 8421.21.0000

Dear Mr. Lighthizer:

Pentair Residential Filtration LLC and Pentair Filtration Solutions LLC (collectively, 

“Pentair”) respectfully submit this China Section 301 exclusion request to the United States Trade 

Representative (“USTR”)1for drinking water filtration systems classified in subheading 

8421.21.0000 of the Harmonized Tariff Schedule of the United States (“HTSUS”). Drinking water 

filtration systems help consumers protect themselves from contaminants in the water that can 

present serious health hazards. Pentair requests that drinking water filtration systems be excluded 

from the Section 301 tariffs2for the following reasons:

 Drinking water filtration systems are not high-tech products that are related to or 

strategically important to the “Made in China 2025” initiative or other Chinese 

industrial programs.

 Drinking water filtration systems play an important role in public health and 

providing clean drinking water to consumers. Section 301 tariffs would increase 

costs on public health, placing the cost burdens on American consumers to ensure 

access to clean water in the United States.

 Pentair has no alternative sources of drinking water filtration systems outside of 

China that would be viable over the next three years.

 

1 See Docket USTR-2018-0025, Procedures to Consider Requests for Exclusion of Particular Products 

from the Determination of Action Pursuant to Section 301: China’s Acts, Policies, and Practices Related to 

Technology Transfer, Intellectual Property, and Innovation, 83 Fed. Reg. 32181 (July 11, 2018).

2 See Annex A of the 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) (“Annex 

A”).
October 9, 2018

Page 2 of 5

Pursuant to USTR’s instructions, Pentair is submitting both business confidential and 

public versions of this request for exclusion. The business confidential version contains 

information in brackets ([ ]), the disclosure of which would harm Pentair’s competitive position.

Product Description

Pentair designs and manufactures water filtration products for residential and commercial 

consumers. Water filtration systems are essential for the reduction of dirt, sediment, and 

chemicals found in potable water supplies, including chlorine, volatile organic compounds, lead, 

and other particles.

Filter systems consist of multiple components that are assembled together in plug-andplay solutions for water treatment needs in a residential setting. These components include filters, 

filter housings, piping to connect different parts of the system, and a control mechanism for the 

overall unit. These systems are typically placed at two locations within the water system of a 

house: Point-of-use locations such as under a kitchen sink for filtration for the kitchen faucet water 

or Point-of-entry locations such as piping coming from the municipality into the home. The 

systems are typically defined by their length, height, and width. The typical system dimensions 

range from a width of 10 to 20 inches, depth of 4 to 7 inches, and height 10 to 16 inches.

Below are photos and schematics of Pentair’s water filtration systems:
October 9, 2018

Page 3 of 5

Drinking water filtration systems are classified under HTSUS 8421.21.0000. 

8421 Centrifuges, including centrifugal dryers; filtering or purifying 

machinery and apparatus, for liquids or gases; parts thereof:

8421.21.00 00

Filtering or purifying machinery and apparatus for liquids:

For filtering or purifying water........................

U.S. Customs & Border Protection has classified drinking water filtration systems under HTSUS 

8421.21.0000. See, e.g., NY A80659 (Mar. 16, 1996) (tariff classification of drinking water filter 

systems from France), included as Exhibit A; NY R00040 (Dec. 31, 2003) (tariff classification of 

wastewater treatment system from the United States), included at Exhibit B.

Access to Water Filtration is Vital to Public Health

Pentair’s drinking water filtration systems are used in homes and businesses to ensure 

access to clean water, which becomes particularly important as infrastructure ages and increased 

contaminants appear in U.S. water supplies. A recent Environmental Working Group study of 

more than 22 million taps across the US found 260 regulated and unregulated substances. While 

more than 90% of local tap water was in compliance, there were 141 substances unregulated by 

the EPA that could potentially affect more than 220 million Americans. 

Water can become contaminated in a variety of ways, including right at home. Some older 

homes have lead pipes or plumbing systems that use lead-based solder to join copper pipes. Both 

can allow lead to leach into drinking water. Chemicals that are dumped onto or pumped into the 

ground can easily get into our water supply. There are an estimated 181,000 industrial waste 

sites, 13,000 active and inactive municipal landfills, and 100,000 ruptured underground gasoline 

storage tanks in the U.S. that leak substances into our water supplies. Agricultural pesticides and 

highway de-icing are among other common practices that can also contaminate water. Further 

impurities in the distribution system, including through lead and asbestos pipes, which are 

prevalent in municipal water distribution systems and can leach into the water.

Pentair manufactures components and systems for water filtration and treatment solutions 

for residential, commercial, and industrial applications. We have been trusted in the industry for 

over 50 years. During the 2015 California water drought we were able to provide cost effective 

and sustainable solutions to residents in California to help with a shortage in potable water. 

Pentair also donated filters to residents in Colon, North Carolina, who had been unable to use the 

water in their homes for months due to extremely high levels of the carcinogen hexavalent 

chromium.

The addition of or increase in tariffs directly impacts the consumer’s cost regardless if the 

filtration product is used in a home, day care, school, business, restaurant, coffee shop, hospital, 

clinic or nursing home. We all need clean water in many areas of our daily lives—not only to drink, 

but to bathe, wash our food and clothes, and cook our meals. Clean water provides quality of life 

for everyone. Increases in tariffs will reduce the quality of life of the American public, putting the 

costs of water filtration products out of reach for many individuals. The tariff increase not only 

increases our individual cost for home filtration but also will drive up the costs of anything that 

comes in contact with or uses water.
October 9, 2018

Page 4 of 5

No Alternative Sources of Water Filtration Systems Exist

Drinking water filtration systems are made in China at a manufacturing facility that Pentair 

owns. The factory is located near the source of raw materials. The manufacturing process uses 

specially designed customized tooling that has been manufactured and tested to ensure that the 

produced water filter systems meet certification standards. These standards are necessarily 

rigorous to safely protect consumers from pollutants in water purification applications. Pentair is 

certified by NSF International, a non-profit organization that provides public health and safety risk 

management solutions and certifies water filters to standards applicable to each type of treatment 

option. It confirms the system was rigorously tested and verified by an independent third party to 

reduce/remove lead from the water. The NSF mark is an essential industrial standard certification 

that assures customers the water they drink is free from harmful contaminants.

Pentair is not able to readily source drinking water filtration systems in the United States. 

It would take years to establish a new manufacturing facility in the United States, source raw 

materials, create and test the tooling, and ensure that the required certification standards can be 

met. Changes to materials of construction or processing would disrupt costly third party product 

certification required for distribution and sale in the United States. Relocation would impose 

substantial costs on Pentair with no benefit for the public policies that the government is pursuing 

with respect to intellectual property in China. These increased costs would make water filtration 

products unaffordable for many people, reducing access for consumers and negatively affecting 

the quality of life for many. It would also increase demand for bottled water, causing our landfill 

sites to increase in the amount of empty water bottles which would negatively impact our natural 

resources.

Water Filtration Systems Are Not Strategically Important for “Made in China 2025”

Drinking water filtration systems are not strategically important for the “Made in China 

2025” industrial policy. Imposing tariffs on filtration systems would not benefit U.S. industry, nor 

would it further the USTR’s stated goals underlying the Section 301 investigation. According to 

the USTR’s Section 301 Investigation findings, China’s “Made in China 2025” industrial policy is 

centered on promoting ten strategic sectors of high-technology industries. Water filtration devices 

are not among those categories. 

The Chinese government has not employed any tactics to intervene in or regulate 

Pentair’s operations in China. It has not attempted to use discretionary administrative licensing 

and approval processes, foreign equity limitations, or foreign ownership restrictions to require or 

pressure Pentair to transfer technology. Pentair’s control over its intellectual property and 

technology in China has not been undermined, and the Chinese government has not directed or 

facilitated investment in or acquisition or Pentair’s assets or intellectual property. Pentair is 

similarly unaware of any data breaches or attacks on any Pentair facilities in China. The Chinese 

government does not consider Pentair’s water filtration devices to be an area of strategic concern 

for its industrial policies. Imposing additional tariffs on such devices would only harm American 

interests and would not have a material effect on China’s acts, policies, and practices used to 

acquire foreign technology that are at issue in the USTR’s Section 301 orders. 

Disproportionate Economic Harm to U.S. Interests

Pentair understands that the purpose of the Section 301 tariffs is to eliminate unfair 

Chinese trade practices relating to the misappropriation of United States intellectual property and 

technology. The imposition of these tariffs is intended to be practicable and effective to obtain the 
October 9, 2018

Page 5 of 5

elimination of acts, policies and practices viewed as detrimental. Imposing tariffs on water filtration 

systems would cause disproportionate economic harm to U.S. interests, including small- or 

medium-size businesses and consumers. 

There is no U.S. production of comparable water filtration systems, and thus no U.S. 

producers stand to derive any benefit from these tariffs. U.S. consumers who purchase Pentair’s 

water filtration systems would be harmed by the increased cost burdens of tariffs on such 

products. 

Proposed Exclusion

Pentair respectfully requests that the USTR exclude from Annex A water filtration systems 

classified under HTSUS subheading 8421.21.0000. Devices of this type are essential for 

supporting public health, and no comparable products are manufactured in the United States. 

Respectfully submitted,

Anand Raghu

Product Manager

Pentair Residential Filtration LLC and 

Pentair Filtration Solutions LLC
Exhibit A
NY A80659

March 16, 1996

CLA-2-84:RR:NC:MA:104 A80659 

CATEGORY: Classification

TARIFF NO.: 8421.21.0000; 8421.99.0040; 8413.50.0050

 9107.00.8000; 6914.90.8000; 4016.93.5050 

Mr. Charles Watson

R.L. Swearer Company, Inc.

P.O. Box 471

Sewickley, PA 15143-0471

RE: The tariff classification of filtering equipment from France.

Dear Mr. Watson:

In your letter dated February 20, 1996 on behalf of U.S. Filter of 

Warrendale, PA you requested a tariff classification ruling.

The Membralox filtering system for water and wastewater consists basically 

of a ceramic membrane (filter element), a stainless steel housing and two 

gaskets for every element. (You refer to these items collectively as a "loaded 

filter".) The gaskets, which are specially made, may be EPDM, silicone or Viton 

depending on the application. The system may also include a backpulse device, 

backpulse cabinet and a stainless steel weld collar. The backpulse device is an 

air driven pump while the cabinet contains timers which control the pump. 

Backflushing or backpulsing is done to clean the ceramic elements. The weld 

collar is an adapter plate used to connect the filter to the piping for both the 

feed water stream and the byproduct stream.

The applicable subheading for the "loaded filter" and for the complete 

Membralox system including the backpulse device, backpulse cabinet and weld 

collar will be 8421.21.0000, Harmonized Tariff Schedule of the United States 

(HTS), which provides for filtering or purifying machinery and apparatus for 

water. The rate of duty will be 2.3 percent. 

You have indicated that the components of the Membralox system will also 

be imported separately. 

The applicable subheading for the ceramic membrane imported without the 

stainless steel housing will be 6914.90.8000, HTS, which provides for other 

ceramic articles: other: other. The rate of duty will be 7 percent.

The applicable subheading for the stainless steel housing, the stainless 

steel weld collar and the specially made silicone and Viton gaskets will be 

8421.99.0040, HTS which provides for parts of machinery and apparatus for 

filtering or purifying water. The rate of duty will be 2.3 percent.
The EPDM gaskets will be classified under subheading 4016.93.5050, HTS, 

which provides for other articles of vulcanized rubber other than hard rubber: 

other: other. The rate of duty will be 3.1 percent.

The applicable subheading for the backpulse device will be 8413.50.0050, 

HTS which provides for other reciprocating positive displacement pumps. The rate 

of duty will be 1.8 percent.

The backpulse cabinet will be classified under HTS subheading 9107.00.8000 

which provides for time switches ... valued over $5 each. The rate of duty will 

be 45 cents each + 6.4 percent + 2.5 cents per jewel, if any.

This ruling is being issued under the provisions of Part 177 of the 

Customs Regulations (19 C.F.R. 177).

A copy of the ruling or the control number indicated above should be 

provided with the entry documents filed at the time this merchandise is 

imported. If you have any questions regarding the ruling, contact National 

Import Specialist Robert Losche at 212-466-5670.

Sincerely,

Roger J. Silvestri

Director

National Commodity

Specialist Division
Exhibit B
NY R00040

December 31, 2003

CLA-2-84:RR:NC:1:104 R00040 

CATEGORY: Classification

TARIFF NO.: 8421.21.0000

Mr. Rick Wood

Environmental Technologies Solutions, Inc.

1404 NW Coconut Point Lane

Province, FL 34994

RE: The tariff classification of a wastewater treatment system from the U.S.

Dear Mr. Wood:

In your letter dated December 18, 2003 you requested a tariff classification ruling.

You describe the FS-420 as a 4 stage water filter system containing cartridge filters 

that remove hazardous waste from water. The system’s primary application is in the drycleaning industry. The cartridge filters are connected in line, and are fastened to a 

fiberglass stand. A submersible pump is used to pump water through the filters. A steel 

heat exchanger consisting of a 1” pipe with a total length of 36” is also included. This heat 

exchanger/evaporator connects to the plant’s steam lines to eliminate the water as steam. 

The parts for the system were all purchased in the U.S., and the system was assembled in 

the U.S. 

The applicable subheading for the FS-420 waste water treatment system will be 

8421.21.0000, Harmonized Tariff Schedule of the United States (HTS), which provides for 

filtering or purifying machinery and apparatus for liquids: for filtering or purifying water. 

This ruling is being issued under the provisions of Part 177 of the Customs 

Regulations (19 C.F.R. 177).

A copy of the ruling or the control number indicated above should be provided with 

the entry documents filed at the time this merchandise is imported. If you have any 

questions regarding the ruling, contact National Import Specialist Robert Losche at 646-

733-3011.

Sincerely,

Robert B. Swierupski

Director, National Commodity Specialist Division