Mr. C harle s A. Rcgo. Esq. UL LLC 333 Ptingsten Road Nort hbrook. IL 

### 60062

Dear Mr. Rcgo: 

### Department of Energy Wash i ngton

. DC 20585 April 

### 17.2013

'fhis letter provides the Department of Ene rgy's (DOE) final notice of its determination to deny UI:s cla im ofconlidclltiality regarding information submitted to DOE in connection with a petition seeki ng national recognition of UL's cert if ication program for s ma ll elec tri c motors pursuant to DOE 's regulations at 10 CFR 431.20. As part of the evaluation process DOE conducts to assess these types of petitions , DOE pub li shes the petition and solici ts public comment. 10 CFR 431.21. Also as part of this process , material detemlincd to be confidential under the Freedom of Information I\ct (FOIA) will be redacted pursuant 10 DOE's regulations al 10 CFR 1004

. 11. For the reasons described below, DOE intends to release the entirety ofUI:s petition, including tho se portions for which contidentiality was claimed. In making the detennination to r elease the information. DOE has utilized the guidelines set forth in Exemption 4 of the FO lA. 5 U.S.c. §552(b)(4). a nd DOE ' s implementing regulat ions at 10 

### eFR.I004. 11. By letter dated February 20, 2013. UL assserted in a cover letter accompanying its petition that the organization considers several portions of its petition as confidential. To this end. UL also provided both a full version orthc pctition and a redacted version. In particular, lJL identified in its cover letter the following sections as confidential: (I) OVERVIEW (2) APPENDIX A

- Data Sheets: Electric Motor (Subpart I

. Subtype II , Fire Pump Motor. EMA I)esign llDl: (3) APPENDIX**~** Data Sheets: Small Electric Motor; (4) APPENDIX C

- Statement of Independence; and (5) QUALIFICATION OF UL LLC ANI) U L VERIFICA TlON SERVICES INC. TO OPERATE A CERT IFJ CATIO N SYSTEM. UL's redac ted copy. however. incl uded item number (S) in its ent irety. 

# @ Printed with lOy ink on recycled paperUI. did not explain or otherwise support its claim of confidentiality for any of these sections. 1\ representative from DOE ' s Oilice or the Genera! Counsel (OGC) made a number of attempts to obtain clarilication from UL. UL did not provide further inflmnatien in support or its claim . DOE has rev iewed both Ul;s cover letter and the contents of the petition and has analyzed the claim of confidentiality pursuant to Exemption 4 of the FOIA

_5 U. S.c. §552(b)(4). Exemption 4 protects
..trade secrets and commercial or financial information obtained from a pe rson Lthat is] priv il eged or con fi dential. · ' DOE has determined ihat the information con tained in the letter does not meet the criteria for withho lding under Exemption 4 because it is neither a (I) a trade secret: nor (2) information that is (a) commercia! or financial, and (b) obtained Irom a person, and (c) privileged or confidential. None of the infomlation described above appears to satisfy these criteria since they generally descrihe UL itself(OVERVI EW) , provide sample data sheets showing th e type of data recorded when conducting one of the prescribed test procedures required under DOE's test proc edure (APPENDICES A and R)_ state UL's view as to why it is independent from manufacturer inlluence (APPENDIX C), and explain why_ in its view_ UI. is qual i ficd to opcrate a certilication system (QUALIFICATION OF UL LLC AND UL VERIFICATION SERVICES INC. TO OPERATE A CE RT IFIC ATION SYS T EM). DOE also no tes that even ifUI, had established that the information claimed as confidential afTected Ul.'s f inancial or commercial interests, UL did not demonstrate that the disclosure orany of this in f ormation would be likely to result in substantial competitive harm to UI-. In light of DOE's 

### review and determination that the i!lf()rmation described above does not afTect the commerc ial or financial interests ofUL and is not subject to the protection of Exempt ion 4 , along w ith the absence of any explanation from UL regarding why the materials id entilied above are confidential. DOE is denying UL ' s claim for conlidentiality and will disclose these materials. Pursuant to DOE regulat ions at 10 CFR 1004

. J I(c). "Notice of a determination by the DOE that a claim of exemption made pursuant to this paragraph is being denied will be given to a person making such a claim no less than seven (7) calendar days prior to intended public disclosure or the information in question. " Therefore. DOE hereby provides notice of its determination to deny your claim of exempt ion. DOE intends to release this information on or after April 24 , 2013.



### 2If you have any questions of comments concerning this response. please co ntact Mr. Mic hael Kido at (202) 586 -81 45.

cc: Mr. Frank Ladonne 

### Mr. Mike Shows Sincerely,

# 3.:~~,.,:**~~** Project Manager Appliance Standards Building Techno!ogies Office Uni ted States Department of Energy



### 3