[Federal Register Volume 66, Number 192 (Wednesday, October 3, 2001)]
[Proposed Rules]
[Pages 50355-50358]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-24682]


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 Proposed Rules
                                                 Federal Register
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
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 

  Federal Register / Vol. 66, No. 192 / Wednesday, October 3, 2001 / 
Proposed Rules  

[[Page 50355]]



DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

[Docket No. EE-RM-96-400]


Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Petition for Recognition of Underwriters Laboratories Inc. 
To Be Classified as a Nationally Recognized Certification Program for 
Electric Motor Efficiency

AGENCY: Office of Energy Efficiency and Renewable Energy; Department of 
Energy.

ACTION: Public notice and solicitation of comments.

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SUMMARY: Underwriters Laboratories Inc. has petitioned the Department 
of Energy (Department) to classify its Energy Verification Service 
program for electric motors as a nationally recognized certification 
program in the United States. The Department solicits comments, data 
and information as to whether to grant the Petition.

DATES: Written comments, data and information, in triplicate, must be 
received at the Department of Energy by October 18, 2001.

ADDRESSES: Written comments, data and information should be labeled 
``Underwriters Laboratories Inc. Petition to be Classified as a 
Nationally Recognized Certification Program for Electric Motor 
Efficiency,'' and submitted to: Ms. Brenda Edwards-Jones, Office of 
Energy Efficiency and Renewable Energy, EE-41, U.S. Department of 
Energy, 1000 Independence Avenue SW., Washington, DC 20585-0121. 
Telephone: (202) 586-2945; Telefax: (202) 586-4617. Also, a copy of 
such comments should be submitted to Ms. Jodine E. Smyth, Senior 
Coordinator, Global Accreditation Services, Underwriters Laboratories 
Inc., 333 Pfingsten Road, Northbrook, IL 60062. Telephone: (847) 272-
8800, ext. 42418; or Telefax (847) 509-6321.

FOR FURTHER INFORMATION CONTACT:   
James Raba, U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Mail Station EE-41, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, telephone (202) 586-8654, telefax (202) 586-
4617, or: [email protected].
Francine Pinto, Esq., U.S. Department of Energy, Office of General 
Counsel, Mail Station GC-72, 1000 Independence Avenue, SW., Washington, 
DC 20585-0103, (202) 586-7432, telefax (202) 586-4116, or: 
[email protected].

SUPPLEMENTARY INFORMATION: A copy of the Underwriters Laboratories Inc. 
petition for its certification program to be nationally recognized is 
appended to this notice. Supporting documents that accompanied the 
Petition may be viewed at the Freedom of Information Reading Room, U.S. 
Department of Energy, Forrestal Building, Room 1E-190, 1000 
Independence Avenue, SW., Washington, DC 20585-0101, telephone (202) 
586-3142, between the hours of 9:00 a.m. and 4:00 p.m., Monday through 
Friday, except Federal holidays. Also, it can be viewed on the World 
Wide Web at http://www.eren.doe.gov/buildings/codes_standards/rules/index.htm.
    Additional information about Underwriters Laboratories Inc.'s 
Energy Verification Services (EVS), and in particular, three-phase 
induction (1-200 horsepower) motors, can be obtained on the World Wide 
Web at http://www.ul.com/energy/index.html and http://www.ul.com/energy/elements.html and http://www.ul.com/energy/test.html 
respectively, or from Ms. Jodine E. Smyth, Senior Coordinator, Global 
Accreditation Services, Underwriters Laboratories Inc., 333 Pfingsten 
Road, Northbrook, IL 60062, or telephone: (847) 272-8800, ext. 42418; 
or telefax (847) 509-6321, or electronic mail at 
[email protected] Also, information about the Petition to be a 
nationally recognized certification program for electric motor 
efficiency can be obtained from Ms. Smyth.
    The Final Rule for Test Procedures, Labeling, and Certification 
Requirements for Electric Motors, 10 CFR Part 431, was published in the 
Federal Register (64 FR 54114) on October 5, 1999. It can also be 
obtained from the Office of Building Research and Standards, Office of 
Energy Efficiency and Renewable Energy, EE-41, U.S. Department of 
Energy, 1000 Independence Avenue SW., Washington, DC 20585-0121, or 
telephone 202-586-9127, or on the World Wide Web at http://www.eren.doe.gov/buildings/codes_standards/rules/motors/index.htm

Authority

    Part C of Title III of the Energy Policy and Conservation Act 
contains energy conservation requirements for electric motors, 
including test procedures, energy efficiency standards, and compliance 
certification requirements. 42 U.S.C. 6311-6316. Section 345(c) of EPCA 
directs the Secretary of Energy to require motor manufacturers ``to 
certify through an independent testing or certification program 
nationally recognized in the United States, that [each electric motor 
subject to EPCA efficiency standards] meets the applicable standard.'' 
42 U.S.C. 6316(c). Regulations to implement this EPCA directive are 
codified in Title 10 of the Code of Federal Regulations Part 431 (10 
CFR Part 431) at sections 431.123, Compliance Certification, 431.27, 
Department of Energy recognition of nationally recognized certification 
programs, and 431.28, Procedures for recognition and withdrawal of 
recognition of accreditation bodies and certification programs. 
Sections 431.27 and 431.28 set forth the criteria and procedures for 
national recognition of an energy efficiency certification program for 
electric motors by the Department of Energy.

Background

    For a certification program to be classified by the Department of 
Energy as being nationally recognized in the United States for the 
purposes of section 345 of EPCA, the organization operating the program 
must submit a petition to the Department requesting such 
classification, in accordance with sections 431.27 and 431.28 of 10 CFR 
Part 431. In sum, for the Department to grant such a petition, the 
certification program must: (1) Have satisfactory standards and 
procedures for conducting and administering a

[[Page 50356]]

certification system, and for granting a certificate of conformity; (2) 
be independent of electric motor manufacturers, importers, 
distributors, private labelers or vendors; (3) be qualified to operate 
a certification system in a highly competent manner; and (4) be expert 
in the test procedures and methodologies in IEEE Standard 112-1996 Test 
Method B and CSA Standard C390-93 Test Method (1), or similar 
procedures and methodologies for determining the energy efficiency of 
electric motors, and have satisfactory criteria and procedures for 
selecting and sampling electric motors for energy efficiency testing. 
10 CFR Part 431.27(b).
    Each petition requesting classification as a nationally recognized 
certification program must contain a narrative statement as to why the 
organization meets the above criteria, be accompanied by documentation 
that supports the narrative statement, and signed by an authorized 
representative. 10 CFR Part 431.27(c).

Discussion

    Pursuant to sections 431.27 and 431.28(a) of 10 CFR Part 431, on 
February 16, 2001, Underwriters Laboratories Inc. submitted to the 
Department a Petition for ``Classification in Accordance with 10 CFR 
Part 431.27'' (``Petition'' or ``UL Petition''). The Petition consisted 
of a letter from Underwriters Laboratories Inc. to the Department, 
narrative statements on each of four subjects, and supporting 
documentation on these subjects. The Department is required to publish 
in the Federal Register such petitions for public notice and 
solicitation of comments, data and information as to whether the 
Petition should be granted. 10 CFR Part 431.28(b). The Department is 
hereby publishing as an attachment to this notice the four narrative 
statements in their entirety. Also, attached is the Department's 
summary of the supporting documentation.
    The Department hereby solicits comments, data and information on 
whether the Underwriters Laboratories Inc. Petition should be granted. 
10 CFR Part 431.28(b). Any person submitting written comments to DOE 
with respect to the Underwriters Laboratories Inc. Petition must also, 
at the same time, send a copy of such comments to Underwriters 
Laboratories Inc. As provided under section 431.28(c) of 10 CFR Part 
431, Underwriters Laboratories Inc. may submit to the Department a 
written response to any such comments. After receiving any such 
comments and responses, the Department will issue an interim and then a 
final determination on the Underwriters Laboratories Inc. Petition, in 
accordance with sections 431.28(d) and (e) of 10 CFR Part 431.
    In particular, the Department is interested in obtaining comments, 
data, and information respecting the following:
    a. Attachment 1 of the Underwriters Laboratories Inc.'s Petition, 
segment entitled ``431.27(c)(1) Standards and Operating Procedures.'' 
The Department is interested in obtaining comments as to how rigorously 
Underwriters Laboratories Inc. operates its certification system under 
the guidelines contained in ISO/IEC Guide 65, General requirements for 
bodies operating product certification systems.
    b. Attachment 1 of the Underwriters Laboratories Inc.'s Petition, 
segment entitled ``Test Facility Evaluation.'' The Department is 
interested in obtaining comments concerning the step-by-step procedures 
and processes that, in fact, Underwriters Laboratories uses to examine 
and qualify a testing facility under the guidelines contained in ISO/
IEC Guide 25, General requirements for the competence of calibration 
and testing laboratories. Also, the procedures it uses to evaluate 
motor efficiency through review of motor design and construction 
information, conduct actual witness testing, analyze test data, and 
determine the reliability of an alternative efficiency determination 
method.
    c. Attachment 1 of the Underwriters Laboratories Inc.'s Petition, 
segment entitled ``Sample Selection.'' The Department is interested in 
obtaining comments concerning the criteria and procedures Underwriters 
Laboratories Inc. uses for the selection and sampling of electric 
motors to be tested for energy efficiency.
    d. Attachment 2 of the Underwriters Laboratories Inc.'s Petition, 
segment entitled ``431.27(c)(2) Independence.'' The Department is 
interested in obtaining comments as to whether there is a conflict of 
interest, or the appearance of a conflict of interest, in certain 
situations where Underwriters Laboratories Inc. has an ongoing 
relationship, direct or indirect, with a motor manufacturer, importer, 
private labeler, or other such entity through (a) the UL product 
listing process for safety, or (b) through a manufacturer's 
representative that would serve in a UL Industry Advisory Group.
    e. Attachment 4 of the Underwriters Laboratories Inc.'s Petition, 
segment entitled ``431.27(c)(4) Expertise in Motor Test procedures.'' 
The Department is interested in obtaining comments concerning the 
technical qualifications and experience of Underwriters Laboratories 
Inc. staff with evaluating and testing electric motors for energy 
efficiency under IEEE 112-1996 Test Method B and CSA C390-93 Test 
Method (1).
    Additionally, the Department has been conducting an independent 
investigation of the Underwriters Laboratories Inc., Energy 
Verification Service.

    Issued in Washington, DC, September 27, 2001.
David K. Garman,
Assistant Secretary for Energy Efficiency and Renewable Energy.

Underwriters Laboratories, Inc., Petition

16 February 2001
Mr. James Raba
U.S. Department of Energy, Office of Energy Efficiency and Renewable 
Energy, Mail Station EE-41, 1000 Independence Ave., SW., Washington, 
DC 20585-0121

Subject: Classification in Accordance with 10 CFR 431.27

    Dear Mr. Raba:
    Please accept this letter and supporting documentation as 
Underwriters Laboratories Inc., petition for classification in 
accordance with 10 CFR Part 431.27, par. c)--Department of Energy 
Recognition of Nationally Recognized Certification Programs.
    Provided for your review is information regarding:
     The program procedures for implementing UL's Energy 
Verification Services
     Statement of Independence
     History and evidence of UL's experience as a third 
party product certification organization.
     History in UL's experience in the field of energy 
verification services.
    If you require any further information regarding this request, 
please feel free to contact us.
Sincerely,
Jodine E. Smyth (Ext. 42418),
Senior Coordinator, Global Accreditation Services,
FAX: 847-509-6321,
Email: [email protected]

Reviewed by:
Rick A. Titus,
Associate Manager, Global Accreditation Services,
FAX: 847-509-6321,
Email: [email protected]

Attachment 1

431.27(c)(1) Standards and Operating Procedures

    Underwriters Laboratories Inc., energy verification service 
assists manufacturers demonstrate their products meet UL and 
Canadian regulations by verifying the energy efficiency ratings of 
their products. UL's Energy Verification service includes products 
such as motors, air conditioning units, furnaces, refrigerators, 
etc. UL's Energy Verification service is offered as an adjunct 
service to UL's traditional product safety certification programs.
    Underwriters Laboratories Inc. product safety certification 
program is an ISO Guide

[[Page 50357]]

65 compliant program as demonstrated by ANSI accreditation, letter/
scope is provided at part of Attachment 3. UL's Energy Verification 
utilizes the same operation manuals as UL's product safety 
certification services with minor variations that are detailed in 
the UL Energy Verification Manual.
    These variations include: Scope of products: Motors, Three-Phase 
Induction (1 to 200 horsepower).

Declaration of Test Standards Used

    (a) CSA-C390-M93, Three-Phase Induction Efficiency Quoting 
Method and Permissible Efficiency Tolerance, or
    (b) DOE Test Procedure 10 CFR, Part 431.23.
    The certification of motors under UL's Energy Verification 
Service is based upon the satisfactory evaluation and testing to the 
requirements of the applicable standard. Continued certification is 
judged through continued surveillance of products at the 
manufacturing location. The following is a description of the major 
elements of UL's Energy Verification Service used for qualifying 
manufacturers' motors.

Application Process

    The customer requests energy verification certification of their 
motors. UL will collect information and provide applications to the 
customer. Upon receipt of applications UL will assign a qualified UL 
staff member to be responsible for handling the investigation.

Initial Product Evaluation Criteria

    General--The following information is obtained prior to and 
during the initial visit to the manufacturer's facilities:
    (a) Identification of the products being submitted by type, 
brand name, model designations and, if available, rated yearly 
energy consumption (kWh/yr.), and any other pertinent information 
specific to these products.
    (b) A summary of test data and information on energy 
consumption, and product capacity for the products being submitted, 
obtained in accordance with the applicable Standard.
    (c) Information on the test facilities used in obtaining the 
test data and to be used in verifying the test data--a list of 
instruments used in making the necessary measurements such as 
temperature, electrical, time and power supply, information on 
calibration and other applicable information on the test room such 
as the location, source of supply and environmental controls.
    (d) Information on the products' design and construction, 
including the critical product features which would affect the 
product performance with respect to energy efficiency which must be 
controlled by the manufacturer in order to maintain a consistent 
product performance with respect to energy efficiency.
    (e) A description of the production testing conducted to monitor 
controls on energy efficiency ratings assigned for the products.

Test Facility Evaluation

    Due to the volume of testing, and the need to demonstrate that 
products manufactured after the initial evaluation remain in 
compliance with requirements, UL's Energy Verification Service is 
designed to make use of manufacturers' test facilities. A client may 
utilize the UL Client Test Data Program or the UL Witness Test Data 
program. UL's Client Test Data or UL's Witness Test Data programs as 
detailed in the UL Client Interactive Manual.
    The Witness Test data program includes a review of the test 
facilities, equipment and competence of personnel conducting the 
testing. All tests are witnessed by UL staff to confirm the results 
of the tests.
    The UL Client Test Data programs requires initial and annual 
assessments of the clients testing capabilities which includes: the 
laboratory quality system, physical resources, test equipment, 
personnel, procedures and documentation of data.

Sample Selection

    Representative samples from the manufacturer's production are 
selected for use in testing witnessed by UL's engineering staff. 
Representative samples are those that, when reviewed as a group, can 
adequately represent a line of similar models that use the same 
major energy consuming components.
    The objective in selecting representative samples is to obtain 
sufficient confidence that the series of motors verified meet the 
applicable energy efficiency standard and regulation while at the 
same time minimizing the number of tests the manufacturer is 
required to perform. For a series of motors, samples are selected to 
represent the entire range of motors. The data collected in the 
representative samples is reviewed to verify the samples can 
completely represent the model line. Additional sampling may be 
necessary to completely represent the model line.

Product Construction Evaluation

    The manufacturer's product construction is evaluated to identify 
the critical construction features that would affect the product 
capacity and performance with respect to energy efficiency. In 
addition, the manufacturer's existing quality assurance procedures 
for controlling critical construction features, as well as the 
manufacturer's procedures for ongoing production testing, are 
evaluated to determine that adequate controls are in place to 
provide consistent energy efficiency.

On-Going Production Testing

    Manufacturers test samples of their products as part of their 
ongoing production procedures to determine continued compliance with 
the energy efficiency requirements. The number of samples to be 
tested and the frequency of testing varies for each product type and 
is dependent on the applicable standard, government regulation, 
industry practices and number of units manufactured. The 
manufacturer is required to document the test results, which UL 
audits as part of each follow-up visit.

Follow-Up Visits and Testing

    UL representatives conduct unannounced inspections at each 
authorized manufacturing location. Typically, two visits to each 
manufacturing facility are carried out each year to examine samples 
of the product and monitor the manufacturers' production and control 
measures and use of the Energy Verification marking. Whenever 
possible, the follow-up visits are combined with ongoing safety 
certification Follow-Up visits. During each visit, samples are 
selected by the UL representative and tested by the manufacturer at 
its own or other qualified facility. The test results are compared 
to the documented test results for the selected products to verify 
continuing compliance. The number of samples to be tested varies for 
each product and is dependent on variables similar to those used to 
determine the number of tests to be performed.

Non-Conformance

    For non-conforming test results found during follow-up testing 
at the manufacturer's own or other qualified test facilities, the 
manufacturer is required to either remove the UL Energy Verification 
markings from non-conforming products or determine the cause of non-
conformance and implement one of the following:
    (a) Cull the lot to segregate non-conforming products;
    (b) Rework the lot to correct the non-conformance; or
    (c) Determine that no other sample will exhibit non-conformance.

Certification

    After determination that the motors meet the applicable standard 
and regulation, the applicant is formally notified that they are 
authorized to apply the UL Energy Verification Mark. A Follow-Up 
Procedure report is issued that contains identification of the 
motors found in compliance, electrical and efficiency ratings, 
critical construction features, test results and Follow-Up testing 
requirements. A directory listing all the products verified for 
energy efficiency is published and available to the general public.

Follow-Up Service (FUS) Agreement

    In compliance with ISO Guide 65 Clause 13.2 and as a means of 
control of UL's Energy Verification Mark, the applicant and 
manufacturer must enter into contract ``FUS Agreement'' with 
Underwriters Laboratories Inc. This FUS Agreement defines the 
conditions for maintaining certification such as access to 
manufacturing sites, records, follow-up inspections and product re-
testing. A client may only apply UL's mark to products that comply 
with the UL Follow-Up Procedure, described above.

Attachment 2

431.27(c)(2) Independence

    UL is independent and impartial of any individual supplier or 
purchaser and is free from any other conflict of interest. Attached 
is a notarized Statement of Independence signed by an officer of the 
corporation.

Attachment 3

431.27(c)(3) Qualifications

    Underwriters Laboratories Inc. (UL) is an independent, not-for-
profit product safety certification organization, whose corporate 
mission is to serve the public by testing products for safety. UL's 
principal activity is investigating the safety of many kinds of

[[Page 50358]]

products, including electrical and electronic equipment and 
products, mechanical products, building materials, construction 
systems, fire protection equipment, burglary protection systems and 
equipment, and marine products. UL also devotes its resources to the 
development of UL Standards for Safety. These documents contain the 
safety requirements for products tested by UL. Since the first 
Standard was developed in 1903, the number of UL Standards for 
Safety has increased to over 700.
    UL was founded in 1894. In the past 105 years, UL has grown to 
approximately 5250 employees, some 1500 of which are Engineers. UL's 
Corporate Headquarters is in Northbrook, Illinois. Additionally, 
there are four other major domestic testing locations, 24 
international subsidiaries and liaison offices and 190 inspection 
centers. Today, more than 16.1 billion UL Marks appear on new 
products annually.

Testing Experience and Expertise

    UL has been conducting product evaluations for 105 years--an 
activity that is the basis of UL's expertise. Since its first 
examination on March 24, 1894, on the flammability characteristics 
of a noncombustible insulator, the breadth of UL product evaluations 
has increased every year. In 1999 alone, UL conducted more than 
94,300 product evaluations.

Summary of UL's Accreditations

    UL is involved in over 80 accreditation programs covering a wide 
spectrum of products and services. These accreditation programs are 
all related to UL's activities concerned with the evaluation and 
testing services of materials, products, and systems for public 
safety. UL works with accreditors from the private sector whose work 
is accepted by a variety of stakeholders and with accreditors from 
municipal, State and Federal Government bodies. These organizations 
include the American National Standards Institute (ANSI), National 
Institute of Standards and Technology under the National Voluntary 
Laboratory Accreditation Program (NIST/NVLAP) and Occupational 
Safety and Health Administration (OSHA) as a Nationally Recognized 
Testing Laboratory (NRTL) and the Standards Council of Canada (SCC), 
just to name a few.
    The majority of these accreditations cover UL as a testing 
laboratory and product safety certification organization. Although 
each accreditor to a certain extent establishes their own criteria, 
for the most part, two sets of criteria are utilized for evaluating 
the competence of a testing laboratory and product certification 
organization. ISO/IEC Guide 25, General Requirements for the 
Competence of Calibration and Testing Laboratories and ISO/IEC Guide 
65 General Requirements for Bodies Operating Product Certification 
Systems. UL's written policies and associated operating procedures 
were designed using the criteria of these two guides.
    Copies of UL's accreditation certificates by ANSI, SCC, and OSHA 
are included for your review.

Attachment 4

431.27(c)(4) Expertise in Motor Test Procedures

General

    UL has been providing Energy Verification certification services 
since 1995. UL has evaluated motors in sizes ranging from 1 hp to 
200 hp using the standards IEEE 112 Test Method B or CSA C390. 
Review of the enclosed Directory of Products Verified to Energy 
Efficient Standards will reveal the number of manufacturers UL 
currently maintains Listings for in each category. UL Energy 
Verification Certifications can also be accessed on-line by using 
the following address: http://www.ul.com/database/index.htm.

Personnel

    UL engineering staff maintains a minimum four-year Bachelor of 
Science in engineering. The Resume of the involved Managing 
Engineers and the personnel bulletins of the staff involved at the 
UL facilities is provided for your review.

The Department's Summary of Supporting Documentation Provided by 
Underwriters Laboratories Inc.

Summary of Attachment 1 Supporting Documentation

    Attachment 1 of the Underwriters Laboratories Inc. petition 
contained no supporting documents.

Summary of Attachment 2 Supporting Documentation

    Attachment 2 of the Underwriters Laboratories Inc. petition 
contains a copy of a sworn statement of the independent status of 
Underwriters Laboratories Inc., dated November 12, 1999.

Summary of Attachment 3 Supporting Documentation

    Attachment 3 of the petition contains copies of the following 
documents Underwriters Laboratories Inc., has received in 
recognition of its certification system and technical capabilities:
    1. Letter of confirmation that the attached list of Underwriters 
Laboratories Inc.'s certification programs and their sites are 
accredited by the American National Standards Institute, in 
accordance with ISO/IEC Guide 65--General Requirements for Bodies 
Operating Product Certification Systems, dated September 5, 2000.
    2. Certificate of Accreditation as a certification organization 
from the Standards Council of Canada, October 5, 1993.
    3. Certificate of Recognition as a Nationally Recognized Testing 
Laboratory Program from the Occupational Safety and Health 
Administration, U.S. Department of Labor, June 29, 2000.

Summary of Attachment 4 Supporting Documentation

    Attachment 4 of the petition contains a copy of the Underwriters 
Laboratories Inc., Directory of Products Verified to Energy 
Efficiency Standards, September 7, 1999. Also, Attachment 4 contains 
copies of resumes of certain managing engineers, and the Personnel 
Bulletins of the involved staff at the Underwriters Laboratories 
Inc., facilities.

[FR Doc. 01-24682 Filed 10-2-01; 8:45 am]
BILLING CODE 6450-01-P