Mr. Charles A. Rcgo. Esq. 

UL LLC 

333 Ptingsten Road 

Northbrook. IL 60062 

Dear Mr. Rcgo: 

Department of Energy 

Washington. DC 20585 

April 17.2013 

'fhis letter provides the Department of Energy's (DOE) final notice of its determination to deny 

UI:s claim ofconlidclltiality regarding information submitted to DOE in connection with a 

petition seeking national recognition of UL's certification program for sma ll electric 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 publishes the petition and solicits 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 those portions for which contidentiality was claimed. 

In making the detennination to release the information. DOE has utilized the guidelines set forth 

in Exemption 4 of the FOlA. 5 U.S.c. §552(b)(4). and DOE's implementing regulations 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) UL VERIFICA TlON SERVICES INC. TO 

OPERATE A CERTIFJCA TION SYSTEM. 

UL's redacted copy. however. included item number (S) in its entirety. 

@ Printed with lOy ink on recycled paper 
UI. 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 reviewed 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 person Lthat is] 

privileged or confi dential.·' DOE has determined ihat the information contained in the letter does 

not meet the criteria for withholding 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(OVERVIEW), provide sample data sheets 

showing the type of data recorded when conducting one of the prescribed test procedures 

required under DOE's test procedure (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 

qualificd to opcrate a certilication system (QUALIFICATION OF UL LLC AND UL 

VERIFICATION SERVICES INC. TO OPERATE A CERTIFICATION SYSTEM). DOE also 

notes that even ifUI, had established that the information claimed as confidential afTected Ul.'s 

financial or commercial interests, UL did not demonstrate that the disclosure orany of this 

in formation 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 commercial or financial interests ofUL and is not subject to the protection of Exemption 4, 

along with the absence of any explanation from U L regarding why the materials identilied above 

are confidential. DOE is denying UL' s claim for conlidentiality and will disclose these materials. 

Pursuant to DOE regulations 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 exemption. 

DOE intends to release this information on or after April 24, 2013. 

2 
If you have any questions of comments concerning this response. please contact Mr. Michael 

Kido at (202) 586-81 45. 

cc: Mr. Frank Ladonne 

Mr. Mike Shows 

Sincerely, 

3.:~~,.,: Project Manager ~~ Appliance Standards 

Building Techno!ogies Office 

United States Department of Energy 

3