# Energy Conservation Program: Test Procedure for Uninterruptible Power Supplies, 89806-89830 [2016-28972]

Download as PDF 89806 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations DEPARTMENT OF ENERGY 10 CFR Parts 429 and 430 [Docket No. EERE–2016–BT–TP–0018] RIN 1904–AD68 Energy Conservation Program: Test Procedure for Uninterruptible Power Supplies Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Final rule. AGENCY: The U.S. Department of Energy (DOE) is revising its battery charger test procedure established under the Energy Policy and Conservation Act of 1975, as amended. These revisions will add a discrete test procedure for uninterruptible power supplies (UPSs) to the current battery charger test procedure. DATES: The effective date of this rule is January 11, 2017. The final rule changes will be mandatory for representations starting June 12, 2017. The incorporation by reference of certain publications listed in this rule is approved by the Director of the Federal Register on January 11, 2017. ADDRESSES: The docket, which includes Federal Register notices, public meeting attendee lists and transcripts, comments, and other supporting documents/materials, is available for review at www.regulations.gov. All documents in the docket are listed in the www.regulations.gov index. However, some documents listed in the index, such as those containing information that is exempt from public disclosure, may not be publicly available. A link to the docket Web page can be found at https://www.regulations.gov/ docket?D=EERE-2016-BT-TP-0018. The docket Web page will contain simple instructions on how to access all documents, including public comments, in the docket. For further information on how to review the docket, contact the Appliance and Equipment Standards Program staff at (202) 586–6636 or by email: ApplianceStandardsQuestions@ ee.doe.gov. FOR FURTHER INFORMATION CONTACT: Jeremy Dommu, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE–5B, 1000 Independence Avenue SW., Washington, DC 20585–0121. Telephone: (202) 586–9870. Email: ApplianceStandardsQuestions@ ee.doe.gov. mstockstill on DSK3G9T082PROD with RULES5 SUMMARY: VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 Pete Cochran, U.S. Department of Energy, Office of the General Counsel, GC–71, 1000 Independence Avenue SW., Washington, DC 20585–0121. Telephone: (202) 586–9496. Email: Peter.Cochran@hq.doe.gov. SUPPLEMENTARY INFORMATION: This final rule incorporates by reference the following industry standards into 10 CFR part 430: 1. ANSI/NEMA WD 6–2016, ‘‘Wiring Devices—Dimensional Specifications’’, ANSI approved February 11, 2016, Figure 1–15 and Figure 5–15. Copies of ANSI/NEMA WD 6–2016 can be obtained from American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, 212– 642–4900, or by going to http:// www.ansi.org 2. IEC 62040–3, ‘‘Uninterruptible power systems (UPS)—Part 3: Methods of specifying the performance and test requirements,’’ Edition 2.0, 2011–03, Section 5.2.1, Clause 5.2.2.k, Clause 5.3.2.d, Clause 5.3.2.e, Section 5.3.4, Section 6.2.2.7, Section 6.4.1 (except 6.4.1.3, 6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10), Annex G, and Annex J. Copies of the IEC 62040–3 Ed. 2.0 standard are available from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, or at http:// webstore.ansi.org/. For further discussion of these standards, see section IV.N. Table of Contents I. Authority and Background II. Synopsis of the Final Rule III. Discussion A. Covered Products and Scope B. Existing Test Procedures and Standards Incorporated by Reference C. Definitions 1. Reference Test Load 2. Uninterruptible Power Supply 3. Input Dependency 4. Normal Mode D. Test Conditions 1. Accuracy and Precision of Measuring Equipment 2. Environmental Conditions 3. Input Voltage and Frequency E. Battery Configuration F. Product Configuration G. Average Power and Efficiency Calculation 1. Average Power 2. Efficiency H. Output Metric I. Effective Date of and Compliance With Test Procedure J. Sampling Plan for Determination of Certified Rating K. Certification Reports L. Sample Represented Value Derivation IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 B. Review Under the Regulatory Flexibility Act C. Review Under the Paperwork Reduction Act of 1995 D. Review Under the National Environmental Policy Act of 1969 E. Review Under Executive Order 13132 F. Review Under Executive Order 12988 G. Review Under the Unfunded Mandates Reform Act of 1995 H. Review Under the Treasury and General Government Appropriations Act, 1999 I. Review Under Executive Order 12630 J. Review Under Treasury and General Government Appropriations Act, 2001 K. Review Under Executive Order 13211 L. Review Under Section 32 of the Federal Energy Administration Act of 1974 M. Congressional Notification N. Description of Materials Incorporated by Reference V. Approval of the Office of the Secretary I. Authority and Background Title III of the Energy Policy and Conservation Act of 1975 (42 U.S.C. 6291, et seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets forth a variety of provisions designed to improve energy efficiency.1 Part B 2 of title III, established the Energy Conservation Program for Consumer Products Other Than Automobiles. Battery chargers are among the consumer products affected by these provisions. (42 U.S.C. 6295(u)) Under EPCA, the energy conservation program consists essentially of four parts: (1) Testing, (2) labeling, (3) federal energy conservation standards, and (4) certification and enforcement procedures. The testing requirements consist of test procedures that manufacturers of covered products must use as the basis for (1) certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA, and (2) making representations about the efficiency of those products. Similarly, DOE must use these test procedures to determine whether the products comply with any relevant standards promulgated under EPCA. General Test Procedure Rulemaking Process Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures DOE must follow when prescribing or amending test procedures for covered products. EPCA provides in relevant part that any test procedures prescribed or amended under this section shall be reasonably designed to produce test results which 1 All references to EPCA refer to the statute as amended through the Energy Efficiency Improvement Act, Public Law 114–11 (April 30, 2015). 2 For editorial reasons, Part B was redesignated as Part A upon incorporation into the U.S. Code (42 U.S.C. 6291–6309, as codified). E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations measure energy efficiency, energy use or estimated annual operating cost of a covered product during a representative average use cycle or period of use and shall not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) In addition, if DOE determines that a test procedure amendment is warranted, it must publish proposed test procedures and offer the public an opportunity to present oral and written comments on them. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test procedure, DOE must determine to what extent, if any, the proposed test procedure would alter the measured energy efficiency of any covered product as determined under the existing test procedure. (42 U.S.C. 6293(e)(1)) Background DOE previously published a notice of proposed rulemaking (NOPR) on March 27, 2012, regarding energy conservation standards for battery chargers and external power supplies (March 2012 NOPR) in which it proposed standards for battery chargers, including uninterruptible power supplies (UPSs). 77 FR 18478. Following the publication of this March 2012 NOPR, DOE explored whether to regulate UPSs as ‘‘computer systems.’’ See, e.g., 79 FR 11345 (Feb. 28, 2014) (proposed coverage determination); 79 FR 41656 (July 17, 2014) (computer systems framework document). DOE received a number of comments in response to those documents (and the related public meetings) regarding testing of UPSs, which are discussed in the May 2016 NOPR. DOE also received questions and requests for clarification regarding the testing, rating, and classification of battery chargers. As part of the continuing effort to establish federal energy conservation standards for battery chargers and to develop a clear and widely applicable test procedure, DOE published a notice of data availability (May 2014 NODA) on May 15, 2014. 79 FR 27774. This NODA sought comments from stakeholders concerning the repeatability of the test procedure when testing battery chargers with several consumer configurations, and concerning the future market penetration of new battery charging technologies that may require revisions to the battery charger test procedure. DOE also sought comments on the reporting requirements for manufacturers attempting to comply with the California Energy Commission’s (CEC’s) efficiency standards for battery chargers in order to understand certain data discrepancies in the CEC database. These issues were discussed during DOE’s May 2014 NODA public meeting on June 3, 2014. Based upon discussions from the May 2014 NODA public meeting and written comments submitted by various stakeholders, DOE published a NOPR (August 2015 NOPR) to revise the current battery charger test procedure. 80 FR 46855 (Aug. 6, 2015). DOE received a number of stakeholder comments on the August 2015 NOPR 89807 and the computer systems framework document regarding regulation of battery chargers including UPSs. After considering these comments, DOE reconsidered its position and found that because a UPS meets the definition of a battery charger, it is more appropriate to regulate UPSs as part of the battery charger rulemaking. Therefore, DOE issued the May 2016 NOPR, which proposed to add a discrete test procedure for UPS to the existing battery charger test procedure. This final rule adopts the proposals discussed in the May 2016 NOPR, along with revisions suggested by stakeholder comments. II. Synopsis of the Final Rule This final rule adds provisions for testing UPSs to the battery charger test procedure. Specifically, DOE is incorporating by reference specific sections of the IEC 62040–3 Ed. 2.0 standard, with additional instructions, into the current battery charger test procedure published at appendix Y to subpart B of 10 CFR part 430. This final rule also adds formal definitions of uninterruptible power supply, voltage and frequency dependent UPS, voltage independent UPS, voltage and frequency independent UPS, energy storage system, normal mode and reference test load to appendix Y to subpart B of 10 CFR part 430 and revises the compliance certification requirements for battery chargers published at 10 CFR 429.39. Table II.1 shows the significant changes since the May 2016 NOPR. TABLE II.1—SUMMARY OF SIGNIFICANT CHANGES May 2016 NOPR Final rule 429.39 .................................. • Proposed a sampling plan for compliance certification based on the test results of at least 2 units per basic model. 1. Scope ............................... • Proposed scope covered all products that met the proposed definition of a UPS and have an AC output. 2. Definitions ........................ mstockstill on DSK3G9T082PROD with RULES5 Sections • • Adopted the proposed sampling plan for compliance certification based on the test results of at least 2 units per basic model. Also added option for manufacturers to certify compliance based on the test results of a single unit per basic model. • Adopted scope covers all products that meet the adopted definition of UPS, utilize a NEMA 1–15P or 5–15P input plug and have an AC output. • ‘‘Voltage and frequency independent UPS or VFI UPS means a UPS where the device remains in normal mode producing an AC output voltage and frequency that is independent of input voltage and frequency variations and protects the load against adverse effects from such variations without depleting the stored energy source.’’ VerDate Sep<11>2014 21:43 Dec 09, 2016 ‘‘Voltage and frequency independent UPS or VFI UPS means a UPS where the device remains in normal mode producing an AC output voltage and frequency that is independent of input voltage and frequency variations and protects the load against adverse effects from such variations without depleting the stored energy source. The input voltage and frequency variations through which the UPS must remain in normal mode is as follows: (1) ± 10% of the rated input voltage or the tolerance range specified by the manufacturer, whichever is greater; and (2) ± 2% of the rated input frequency or the tolerance range specified by the manufacturer, whichever is greater.’’ Jkt 241001 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\12DER5.SGM 12DER5 89808 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations TABLE II.1—SUMMARY OF SIGNIFICANT CHANGES—Continued Sections May 2016 NOPR 4. Testing Requirements for Uninterruptible Power Supplies. Final rule • ‘‘Voltage independent UPS or VI UPS means a UPS that produces an AC output within a specific tolerance band that is independent of under-voltage or over-voltage variations in the input voltage without depleting the stored energy source. The output frequency of a VI UPS is dependent on the input frequency, similar to a voltage and frequency dependent system.’’ • Proposed that the average power can be calculated either using accumulated energy or instantaneous power. • Proposed that efficiency can only be calculated from average power. • ‘‘Voltage independent UPS or VI UPS means a UPS that produces an AC output within a specific tolerance band that is independent of under-voltage or over-voltage variations in the input voltage. The output frequency of a VI UPS is dependent on the input frequency, similar to a voltage and frequency dependent system.’’ • Adopted that the average power can only be calculated using instantaneous power. • Adopted that efficiency can be calculated from average power or accumulated energy. energy efficiency advocacy groups, and a foreign government. Table III.1 lists the entities that commented on the May 2016 NOPR and their affiliation. These comments are discussed in further detail below, and III. Discussion In response to the May 2016 NOPR, DOE received written comments from six interested parties, including manufacturers, trade associations, the full set of comments can be found at: https://www.regulations.gov/docket Browser?rpp=25&so=DESC&sb= commentDueDate&po=0&dct=PS&D =EERE-2016-BT-TP-0018 TABLE III.1—INTERESTED PARTIES THAT PROVIDED WRITTEN COMMENTS ON THE MAY 2016 NOPR Comment No. (docket reference) Commenter Acronym Organization type/affiliation ARRIS Group, Inc ..................................................................... Information Technology Industry Council ................................. National Electrical Manufacturers Association ......................... Natural Resources Defense Council, Appliance Standards Awareness Project, Northwest Energy Efficiency Alliance, Alliance to Save Energy, and American Council for an Energy Efficient Economy. People’s Republic of China ...................................................... Schneider Electric ..................................................................... ARRIS ..................................... ITI ............................................ NEMA ...................................... NRDC, et al. ........................... Manufacturer ........................... Trade Association ................... Trade Association ................... Energy Efficiency Advocates .. 0004 0007 0008 0006 P. R. China ............................. Schneider Electric ................... Foreign Government ............... Manufacturer ........................... 0009 0005 A number of interested parties also provided oral comments at the June 9, 2016, public meeting. These comments can be found in the public meeting transcript (Pub. Mtg. Tr.), which is available on the docket. mstockstill on DSK3G9T082PROD with RULES5 A. Covered Products and Scope In the May 2016 NOPR, DOE proposed that all products that meet the proposed definition of UPS and have an AC output will be subject to the testing requirements of the proposed test procedure. 81 FR 31545. During the public meeting held on June 9, 2016, to discuss the May 2016 NOPR, Schneider Electric called the proposed scope broad and argued that the proposed scope covers UPSs that can operate at power levels beyond the standard household power plugs. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP– 0018, pp. 16–17) Schneider Electric claimed that voltage and frequency dependent (VFD) UPSs exist in a consumer environment, voltage independent (VI) UPSs may exist in a consumer environment and voltage and VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 frequency independent (VFI) UPSs do not exist in a consumer environment and requested that DOE update the proposed scope of the test procedure to represent what consumers are purchasing. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP– 0018, pp. 29–30) NEMA requested that DOE adopt the standard wall plug requirement (12A at 115V) in the scope to differentiate consumer UPSs from commercial UPSs. (NEMA, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 22) Further, as part of written stakeholder comments, Schneider Electric expressed concern that DOE’s definition of consumer products is inadequate to describe the scope of products that DOE intends to regulate. The range of products within the scope of the definition of consumer products will be much broader than consumer products in the marketplace and will include commercial and industrial applications that are not found in residences due to size and other criteria. (Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 1) Schneider PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 Electric requested that DOE identify and add indicators to differentiate consumer products from commercial products, such as pluggable Type A equipment as defined by the IEC 60950–1 standard, to the scope. It reasoned that assumptions regarding covered versus non-covered products can result in significant effort and expense wasted redesigning noncovered products or result in significant fines for failing to redesign products mistakenly and unintentionally thought to be out of scope. Schneider Electric requested that DOE add the North American residential mains power, single phase requirement of no more than 12A to the scope and remove all rack mounted or rack mountable UPSs and UPSs that require multiphase power from the scope. (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 5) Schneider Electric further pointed out that the proposed load weightings table refers to UPSs with output powers greater than 1500W, which could include UPSs that are not specifically targeted for consumers. According to Schneider Electric, UPSs greater than E:\FR\FM\12DER5.SGM 12DER5 mstockstill on DSK3G9T082PROD with RULES5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations 1500W are consistently targeted at commercial and industrial applications and DOE’s attempt to regulate them is not justified by the scope of EPCA or the Energy Independence and Security Act of 2007 (EISA). Schneider Electric explained that the proposed scope can cause UPSs that are not intended to be distributed to consumer or in residential applications to be included within the scope of the test procedure, inflating savings for the DOE that are clearly not consumer based. In addition, this causes undue burden on the industry to test devices which were not intended for consumer applications, but may fall within the scope. (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 8) NEMA requested that DOE narrow the scope of the proposed test procedure by adding the following parameters: non-rack mounted, FCC Class B compliant, 12A at 120 V or less, whose input characteristics are either VFD or VI. NEMA argued that products outside these parameters are commercial in nature or have power consumption and electrical characteristics which place them outside the use in typical consumer environments. (NEMA, No. 0008, EERE–2016–BT–TP–0018, p. 4) DOE had also solicited comments from stakeholders on the use of product characteristics, such as capacity, to narrow the scope of coverage and differentiate between consumer and commercial UPSs in the computer and battery backup systems framework document published on July 11, 2014 where DOE explored whether to regulate UPSs as part of that rulemaking. ITI noted that personal computers are powered using single residential/office outlet, 5–15 amperes (A) typically. (ITI, No. 0010, EERE– 2014–BT–STD–0025, p. 2) ITI also commented that UPSs at home do not utilize multiphase voltage and the maximum amperage of a single device on a single branch circuit should be less than or equal to 80 percent of the circuit amperage the limit for which is 15A according to the National Electrical Code (NEC). (ITI, No. 0010, EERE–2014– BT–STD–0025, p. 11). Schneider Electric noted that run-time and battery capacity of the UPS would be inappropriate as a differentiator since commercial and consumer customers may have similar needs but that consumer (residential) applications do not exist in excess of 120V and that the NEC defines residential circuitry amperage limit for a single branch to be 15 Amps. (Schneider Electric, No 0008, EERE–2014–BT–STD–0025, p. 8). The Natural Resources Defense Council (NRDC), The Appliance Standard VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 Awareness Project (ASAP), American Council for an Energy-Efficient Economy (ACEEE), Consumer Federation of America, Consumers Union, Northeast Energy Efficiency Partnerships (NEEP), and Northwest Energy Efficiency Alliance (NEEA) (hereafter referred to as Joint Responders) also agreed with the use of residential power circuits for differentiating consumer from commercial UPSs, but discouraged the use of a standard wall plug as it would eliminate UPSs capable of running on 240V 3-phase receptacles. (Joint Responders, No. 0013, EERE–2014–BT– STD–0025, p. 6) In response to Schneider Electric’s comment regarding the definition of consumer product, DOE notes that the definition of this term in 10 CFR 430.2 is the same as that set forth by Congress in EPCA. (42 U.S.C. 6291(1)) Further, in the May 2016 NOPR, DOE found that UPSs meet the definition of battery charger and proposed to define UPS as ‘‘a battery charger consisting of a combination of convertors, switches and energy storage devices, constituting a power system for maintaining continuity of load power in case of input power failure.’’ Battery chargers are a type of consumer product, defined in EPCA, for which the statute directs DOE to prescribe test procedures. (42 U.S.C. 6295(u)) Therefore, necessarily, the scope of the battery charger test procedure, which includes UPSs, only applies to consumer products. Nonetheless, after considering stakeholder comments regarding the proposed scope, DOE agrees with NEMA, ITI and Schneider Electric’s suggestion that the scope of the test procedure need not include products typically used in a commercial or industrial environment. Accordingly, DOE is limiting the scope of the test procedure to UPSs that utilize a standard NEMA 1–15P and 5–15P wall plugs. NEMA 1–15P and 5–15P input plugs are designed to mate with NEMA 1–15R and 5–15R receptacles as specified in ANSI/NEMA WD 6–2016. These receptacles are the most commonly found outlets in U.S. households with limited use in products designed to exclusively operate in commercial or industrial environments because of their restrictive power handling capability. Specifying NEMA 1–15P and 5–15P plugs in defining the scope of this test procedure also avoids the need for DOE to further add power constraints as these plugs are only capable of handling up to 15A of current at 125V, which limits their maximum power handling capability to 1875W. DOE is therefore adding the NEMA 1– PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 89809 15P and 5–15P input plug requirement by incorporating by reference ANSI/ NEMA WD 6–2016 standard into section 1, ‘‘Scope’’, of appendix Y to subpart B of 10 CFR part 430. Hence, any product that meets the definition of a UPS, utilizes a NEMA 1–15P or 5–15P input plug, and has an AC output is covered under the testing requirements being adopted in this final rule. Schneider Electric also inquired whether specific or all DC output UPSs are excluded from the proposed scope of the test procedure, and if the proposed scope includes hybrid AC/DC UPSs, UPSs with DC charging, and UPSs with USB ports. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP– 0018, pp. 16–17, 20) (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 6) Schneider Electric also requested clarification on whether UPSs that do not have an AC output socket or UPSs that do not provide the full power rating through the AC output socket are excluded from the proposed scope. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 32) Lastly, Schneider Electric inquired whether the USB ports of a UPS be loaded or unloaded during testing. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 20) DOE clarifies that all products that meet the definition of UPS, utilize a NEMA 1–15P or 5–15P input plug, and have AC output(s) are included in scope under the testing requirements of this final rule. This includes UPSs with AC output(s) as well as additional DC output(s) such as but not limited to USB port(s). Similarly, hybrid AC/DC output UPSs are also included in scope under the testing requirements of this final rule. All DC output port(s) of an AC output UPS must be unloaded during testing. DOE is adding specific language in section 4.2.1, which is being added to appendix Y to subpart B of 10 CFR part 430 to highlight this setup requirement. Further, it is DOE’s understanding and intention that the term ‘‘AC output socket’’ of a UPS refers to any port capable of providing the full or partial rated output power of the UPS as AC. The scope is not limited to UPSs with standardized NEMA receptacles. Therefore, all UPSs that utilize NEMA 1–15P or 5–15P input plugs and have an AC output are included in the scope of this final rule. Schneider Electric also inquired if UPSs with ultra-capacitors, flywheels and storage technologies other than batteries are covered under the proposed scope. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016– BT–TP–0018, p. 31) DOE notes that UPSs are a subset of battery chargers. A E:\FR\FM\12DER5.SGM 12DER5 mstockstill on DSK3G9T082PROD with RULES5 89810 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations product that does not meet the definition of a battery charger as stated in 10 CFR 430.2 is excluded from the scope of the UPS test procedure being adopted today. Because ultra-capacitor, flywheels, or storage technologies other than batteries do not meet the definition of a battery as stated in section 2.6 of appendix Y to subpart B of 10 CFR part 430, DOE concludes that UPSs that use ultra-capacitor, flywheels, or storage technologies other than batteries as their energy storage system also do not meet the definition of battery charger and therefore are excluded from the scope of the UPS test procedure. ARRIS submitted written comments arguing that products such as modems that use a battery exclusively for backup power have architectures that would fit within the standard IEC 62040–3 Ed. 2.0 definition of a UPS which states that ‘‘uninterruptible power supply or UPS means a combination of convertors, switches and energy storage devices (such as batteries), constituting a power system for maintaining continuity of load power in case of input power failure’’. ARRIS highlighted that a simple addition to this definition to reflect that the load power is provided to external devices would provide clarity and help differentiate covered UPSs from other products with a battery exclusively for back-up purposes, which only provide continuity of power internally to the product. (ARRIS, No. 0004, EERE–2016–BT–TP–0018, pp. 2– 3) Lastly, ARRIS highlighted that considering a product’s typical use also helps differentiate UPS products that provide AC output from other products with a back-up battery that have typical uses such as lighting, medical, security, networking equipment, etc. (ARRIS, No. 0004, EERE–2016–BT–TP–0018, p. 4) DOE agrees with ARRIS that the definition of a UPS may cover certain back-up battery chargers; however, the current battery charger test procedure specifically defines and excludes backup battery chargers from its scope. Therefore, certain back-up battery chargers such as those found in cable modems that may meet the definition of a UPS will continue to be excluded from the battery charger test procedure. Additionally, DOE’s proposed scope as stated in section 1 of appendix Y to subpart B of 10 CFR part 430 is limited to UPSs with an AC output. (81 FR 31554) Even if a back-up battery charger meets the definition of a UPS, DOE is not aware of any such back-up battery charger that has an AC output. Therefore limiting the scope to only UPSs with an AC output further prevents the applicability of this test procedure to the type of backup battery VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 charger that is of concern to ARRIS. DOE also does not consider a product’s typical use an effective way of prescribing the scope of a rulemaking as this leaves significant room for interpretation. With the added requirement of NEMA 1–15P and 5–15P input plugs, the adopted scope of UPS test procedure is definitive and unambiguous. P. R. China highlighted that Appendix J.2 of IEC 62040–3 Ed. 2.0 standard does not apply to products with output power of less than or equal to 0.3 kilo Volt-Amperes (kVa) and requested DOE to make the proposed test method consistent with the IEC 62040–3 Ed. 2.0 standard by excluding UPSs with output power of less than or equal to 0.3 kVa. (P. R. China, No. 0009, EERE–2016–BT– TP–0018, p. 3) While Annex I of the IEC 62040–3 Ed. 2.0 standard prescribes efficiencies for UPSs rated above 0.3 kVA, the actual conditions and methods for determining the efficiency of a UPS stated in Annex J of the IEC 62040–3 Ed. 2.0 standard does not have any scope restrictions as claimed by P. R. China and are applicable to UPSs rated below 0.3 kVA. Additionally, DOE does not have any data to indicate that UPSs with output power of less than or equal to 0.3 kVA are any different in design than those above 0.3kVA such that this test method would not accurately capture their energy performance. Therefore, DOE is not excluding UPSs with output power of less than or equal to 0.3 kVA from the scope of the UPS test procedure. B. Existing Test Procedures and Standards Incorporated by Reference In the May 2016 NOPR, DOE proposed to add specific testing provisions for UPSs in the battery charger test procedure, because the specifications in the current battery charger test procedure are not appropriate for UPSs. The current battery charger test procedure measures energy consumption of a battery charger as it charges a fully discharged battery, which is inappropriate for a UPS because a UPS rarely has a fully discharged battery. The majority of the time a UPS provides a small amount of charge necessary to maintain fully charged batteries and also delivers power to a connected load. Therefore, in order to accurately capture the energy consumption and energy efficiency of the normal operation of a UPS, the test procedure should measure the energy consumption of maintaining a fully charged battery and conversion losses associated with delivering load power. 81 FR 31545. PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 Schneider Electric appreciated that DOE has agreed with and supports the industry’s position that UPSs operate differently than most battery chargers. (Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 2) NEMA agreed with the establishment of a test procedure for UPSs, consistent with NEMA’s comments cited by DOE in the May 2016 NOPR. (NEMA, No. 0008, EERE–2016–BT–TP–0018, p. 3) NEMA also agreed with DOE’s conclusion that measuring the energy use of a UPS in normal mode effectively captures the energy used during the entirety of the time that a UPS is connected to mains power. (NEMA, No. 0008, EERE–2016– BT–TP–0018, p. 6) Further, ARRIS also supported DOE’s conclusion that the current battery charger test procedure does not represent typical use of a UPS and reiterated that the current battery charger test procedure does not work well for continuous use products that include a battery exclusively for backup purposes. (ARRIS, No. 0004, EERE– 2016–BT–TP–0018, p. 3) To measure the energy consumption of a UPS during normal mode, DOE proposed to incorporate by reference Section 6 and Annex J of IEC 62040–3 Ed. 2.0 in the battery charger test procedure. 81 FR 31546. Schneider Electric supported incorporation by reference of the IEC 62040–3 Ed. 2.0 standard without DOE’s proposed changes in the battery charger test procedure and provided an advanced notice that the IEC 62040–3 Ed. 2.0 standard is under maintenance and anticipated to be revised over the next 2 years. (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 1) However, NEMA highlighted that there are presently no planned changes to the IEC 62040–3 Ed. 2.0 standard that would affect the manner in which a UPS is tested for efficiency. (NEMA, No. 0008, EERE–2016–BT–TP–0018, p. 3) In light of these stakeholder comments, DOE is finalizing the incorporation by reference of Section 6 and Annex J of IEC 62040–3 Ed. 2.0 in the battery charger test procedure. Additionally, DOE will monitor the revision of the IEC 62040–3 standard and consider, once these revisions are complete, whether to initiate a new test procedure rulemaking to consider incorporating the latest version. C. Definitions In the May 2016 NOPR, DOE proposed to include the following definitions, in section 2 of appendix Y to subpart B of 10 CFR part 430. DOE requested stakeholder comments on all proposed definitions, which are discussed in the following subsections: E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations 1. Reference Test Load DOE proposed the following definition for reference test load: ‘‘Reference test load is a load or condition with a power factor of greater than 0.99 in which the AC output socket of the UPS delivers the active power (W) for which the UPS is rated.’’ 81 FR 31554. NRDC, et al. argued that a resistive reference test load (power factor greater than or equal to 0.99) may not be representative of common UPS applications such as desktop computers. NRDC, et al. provided data to show that the power factor of a non-ENERGY STAR desktop computer without power factor correcting functionality can be quite low and urged DOE to evaluate the potential differences in UPS efficiency when serving loads with different power factors including non-linear loads that are more representative of computers and other typical UPS applications. If the difference in measured efficiency between different load types is significant, NRDC, et al. requested that DOE specify a reference test load that is more representative of common applications, particularly for VFD UPS which commonly serve loads with low power factors. (NRDC, et al., No. 0006, EERE–2016–BT–TP–0018, p. 2–3) The proposed power factor requirement of reference test load aligns with ENERGY STAR UPS V. 1.0 and the IEC 62040–3 Ed. 2.0 standard, which are extensively supported by the UPS industry. DOE is refraining from adopting a reference test load with a power factor that differs from that of ENERGY STAR UPS V. 1.0 or the IEC 62040–3 Ed. 2.0 because DOE does not have enough market information to assess the impact of such a divergence from ENERGY STAR UPS V. 1.0 and IEC 62040–3 Ed. 2.0. Therefore, DOE is adopting the proposed reference test load in this final rule. DOE will continue to monitor the UPS market and may consider adopting other reference test loads in future rulemakings. mstockstill on DSK3G9T082PROD with RULES5 2. Uninterruptible Power Supply DOE proposed the following definition for UPS: ‘‘Uninterruptible power supply or UPS means a battery charger consisting of a combination of convertors, switches and energy storage devices, constituting a power system for maintaining continuity of load power in case of input power failure.’’ 81 FR 31554. Schneider Electric disagreed with the proposed definition of UPS. Schneider Electric argued that the proposed definition of UPS implies that the primary function of a UPS is to charge batteries, and asserted that the primary functions of a UPS are wave VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 shaping, power conditioning, assuring the quality of power, measuring the quality of power on a continual basis, detecting mains power drop out, communicating the status, and reporting abnormal conditions through networked ports. Schneider Electric stated that UPSs only charge batteries intermittently and in some cases charge batteries after a few days or weeks. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, pp. 15– 16; Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 3) Lastly, Schneider Electric argued that DOE’s proposed definition of UPS may have major implications on the market and the product in the marketplace and requested that DOE adopt the definition of UPS from the IEC 62040–3 Ed. 2.0 standard. (Schneider Electric, No. 0005. EERE–2016–BT–TP–0018, p. 3; Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 19) Similarly, NEMA requested that DOE adopt the definition of UPS from the established IEC 62040–3 Ed. 2.0 standard and highlighted that the Office of Management and Budget Circular A–119 encourages the use of international standards in establishing regulations when effective and appropriate in the fulfillment of legitimate objectives of the agency and the underlying statute. NEMA argued that these criteria are satisfied by using the definition of UPS in the IEC 62040– 3 Ed. 2.0 standard and highlighted that the CSA C813.1 specification in Canada, and the European Norms reference the IEC 62040–3 Ed. 2.0 standard. NEMA contended that, as DOE attempts to harmonize its regulations with Canada and the European Union, deviation from the IEC 62040–3 Ed. 2.0 standard would make DOE’s UPS regulations impossible to harmonize with international norms. (NEMA, No. 0008, EERE–2016–BT–TP– 0018, pp. 2–4) Schneider Electric acknowledged that a UPS system contains or has embedded within the UPS a battery charger. Further, Schneider does not question DOE’s authority to regulate a UPS as a battery charger (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 2). DOE notes that 10 CFR 430.2 defines a battery charger as a device that charges batteries for consumer products, including battery chargers embedded in other consumer products. It does not state or imply that the primary function of a product that meets the definition of battery charger is to charge batteries. UPSs charge and maintain their batteries at full charge and therefore meet the statutory definition of a battery charger. DOE disagrees with Schneider PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 89811 Electric’s comment that the proposed definition of UPS implies that that the primary function of a UPS is to charge batteries and that the proposed UPS definition may have major implications on the market and the product in the marketplace. There is only one difference between the proposed DOE definition and IEC definition of a UPS and that is that DOE refers to UPSs as battery charger within the proposed definition. As DOE is regulating UPSs as part of its battery charger regulations, it is necessary to indicate in the UPS definition that UPSs are a subset of battery chargers, and, as a result, must also meet EPCA’s definition of a battery charger. Accordingly, DOE is adopting the proposed definition of a UPS in this final rule. 3. Input Dependency In the May 2016 NOPR, DOE proposed definitions for VFD UPS, VI UPS and VFI UPS in section 2 of appendix Y to subpart B of 10 CFR part 430. In this final rule, DOE is revising the proposed definition of VI UPS to highlight that a VI UPS, in normal mode, must not deplete its stored energy source when outputting an AC voltage within a specific tolerance band that is independent of under-voltage or overvoltage variations in the input voltage. This change brings consistency between the definitions of VI and VFI UPSs. To help manufacturers determine whether a UPS is properly considered to be VFD, VI, or VFI, DOE also proposed tests to verify the input dependency of the UPS as follows: VI input dependency may be verified by performing the steady state input voltage tolerance test in section 6.4.1.1 of IEC 62040–3 Ed. 2.0 and observing that the output voltage remains within the specified limit during the test. VFD input dependency may be verified by performing the AC input failure test in section 6.2.2.7 of IEC 62040–3 Ed. 2.0 and observing that, at a minimum, the UPS switches from normal mode of operation to battery power while the input is interrupted. VFI input dependency may be verified by performing the steady state input voltage tolerance test and the input frequency tolerance test specified in sections 6.4.1.1 and 6.4.1.2 of IEC 62040–3 Ed. 2.0 and observing that, at a minimum, the output voltage and frequency remain within the specified output tolerance band during the test. These tests may be performed to determine the input dependency supported by the test unit. NEMA and Schneider Electric argued that UPS manufacturers already know the architecture of their models and E:\FR\FM\12DER5.SGM 12DER5 mstockstill on DSK3G9T082PROD with RULES5 89812 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations DOE’s proposed tests to identify the architecture of a UPS will unjustifiably increase testing burden for manufacturers. (NEMA, No. 0008, EERE–2016–BT–TP–0018, p. 4; Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 2) Schneider Electric requested DOE to exclude the proposed performance criteria from input dependency tests and, similar to the IEC 62040–3 Ed. 2.0 standard, rely on manufacturer declarations to classify UPSs as VFD, VI or VFI. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE– 2016–BT–TP–0018, pp. 32–33) While most UPS manufacturers are aware of the input dependencies of their models, there are UPS models available in the marketplace whose input dependencies may not be obvious to a third party. In response to the comment from Schneider Electric and NEMA, DOE notes that the input dependency tests being adopted in sections 2.27.1, 2.27.2 and 2.27.3 of this final rule, are not mandatory. If a manufacturer is already aware that the basic model in question conforms to the performance criteria outlined in section 2.27.1, 2.27.2 and 2.27.3, the input dependency tests need not be performed. However, because these performance criteria are included within the definition of each UPS architecture, the onus is on the manufacturer to properly classify their UPS according to this criteria in order to represent its energy efficiency and adhere to any potential energy conservation standard. With regards to performance criteria, Section 5.2.1 of the IEC 62040–3 Ed. 2.0 standard asks that the UPS must remain in normal mode when the input voltage and frequency is varied by ±10% and ±2%, respectively, for the IEC 62040–3 Ed. 2.0 standard to be applicable. Although the specific steady state input voltage and frequency tolerance tests of sections 6.4.1.1 and 6.4.1.2 of the IEC 62040–3 Ed. 2.0 standard require that the UPS need only meet the tolerance range specified by the manufacturer of the device, the requirements of section 5.2.1 must first be met at a minimum. In aligning its requirements with that of IEC 62040–3 Ed. 2.0, DOE has also used the criteria of section 5.2.1 of the IEC 62040–3 Ed. 2.0 standard in the definition of VI and VFI UPSs in this final rule. DOE notes that these adopted performance criteria will remove any ambiguity in the classification of UPS input dependency during certification and enforcement. If manufacturers are uncertain about the input dependency of their UPS models, then manufacturers can perform the input dependency tests and use the associated performance criteria to verify VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 the input dependency of their models. In enforcement testing, DOE will use these input dependency tests and performance criteria to verify the classification claimed by a manufacturer in the compliance certification report of a UPS basic model and to ensure that the correct load weightings, listed in table 4.3.1 of appendix Y to subpart B of 10 CFR part 430, were applied. This also ensures that manufacturers are not left to create their own performance criteria for VFD, VI and VFI classification, which would lead to inconsistencies in the certified results. Because section 4.3.4 of appendix Y to subpart B of 10 CFR part 430 is being made optional in this final rule, this rule also amends 10 CFR 429.134 to state that, in enforcement testing, DOE will determine the UPS architecture by performing the tests specified in the definitions of VI, VFD, and VFI in sections 2.28.1 through 2.28.3 of appendix Y to subpart B of 10 CFR part 430. 4. Normal Mode In the May 2016 NOPR, DOE proposed a definition of normal mode in section 2 of appendix Y to subpart B of 10 CFR part 430. The proposed definition of normal mode required a UPS to provide output power to the connected load without switching to battery power. However, for VFI UPSs, the output power to the connected load may also be provided by the battery in normal mode of operation. Hence, the proposed definition of normal mode would have conflicted with the input dependency test for VFI UPSs. After careful consideration, DOE is revising the proposed definition of normal mode to specify that the AC input supply is within required tolerances and supplies the UPSs rather than that the UPS provides the required output power to the connected load without switching to battery power, and that the energy storage system is being maintained at full charge or is under charge rather than just being maintained at full charge. Further, the revision of the definition of normal mode increases harmonization between the definitions of normal mode in DOE’s test procedure and the IEC 62040–3 Ed. 2.0 standard. Additionally, DOE also proposed a definition for ‘Energy Storage Systems’, on which DOE has not received any stakeholder comment; therefore DOE is adopting the proposed definition in this final rule. D. Test Conditions Although a majority of the test conditions proposed in the May 2016 NOPR were adopted from the IEC PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 62040–3 Ed 2.0 standard, DOE proposed certain supplementary instructions for the test conditions in appendix Y to subpart B of 10 CFR part 430 in order to eliminate the possibility of ambiguity. DOE requested comment on the proposed test conditions. 1. Accuracy and Precision of Measuring Equipment DOE proposed that the power meter and other equipment used during the test procedure must provide true root mean square (r. m. s.) measurements of the active input and output power, with an uncertainty at full rated load of less than or equal to 0.5 percent at the 95 percent confidence level notwithstanding that voltage and current waveforms can include a harmonic component. Further, DOE proposed that the power meter and other equipment must measure input and output values simultaneously. Schneider Electric argued that DOE’s proposed accuracy and resolution requirements for UPSs are more stringent than those required to provide compliance test results. The proposed accuracy and measurement requirements would require manufacturers to test their units with more expensive test equipment, which would create an unjustified testing burden for UPS manufacturers. (Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 3) Schneider Electric further argued that the type and cost of the test equipment required to test UPS systems according to the proposed requirements will especially be burdensome on small and medium businesses. Schneider Electric contends that, although small and medium businesses can utilize third party test labs to mitigate the cost of purchasing test equipment, these businesses still need to purchase some test equipment to understand measurements of their products prior to submitting them for compliance testing, and that, the expense of using third party test labs or the test equipment required to meet the proposed accuracy and measurement requirements for compliance testing will reduce competition in the marketplace. (Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, pp. 4–5) DOE reiterates that the proposed accuracy and precision requirements for measuring equipment are adopted from section J.2.3 of the IEC 62040–3 Ed. 2.0 standard. It is DOE’s understanding that the IEC 62040–3 Ed. 2.0 standard is widely accepted by the UPS industry. Therefore, DOE does not find that the proposed accuracy and precision requirements for measuring equipment are unjustified or burdensome for E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES5 manufacturers. Hence, DOE is adopting the proposed accuracy and precision requirements in this final rule. Schneider Electric argued that in case the manufacturer specified calibration interval of test equipment is longer than DOE’s proposed calibration interval of 1 year, DOE’s proposed calibration interval would be unjustifiably burdensome on manufacturers. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, pp. 36– 37) After careful consideration, DOE agrees with Schneider Electric and is requiring all measurement equipment used to conduct tests must be calibrated within the equipment manufacturer’s specified calibration period. 2. Environmental Conditions IEC 62040–3 Ed 2.0 requires that the ambient temperature must be in the range of 20 °C to 30 °C. To ensure repeatability, DOE proposed to increase the precision required for ambient temperature measurements, while keeping the same range. As a result, the ambient temperature would be 20.0 °C to 30.0 °C (i.e., increasing the required precision by one decimal place) and the measurement would include all uncertainties and inaccuracies introduced by the temperature measuring equipment. Extending the precision of IEC’s ambient temperature range requirement by one decimal place would minimize rounding errors and avoid scenarios in which a temperature of 19.6 °C would be rounded to 20 °C during testing and potentially provide higher efficiency usage values than those obtained at or above 20.0 °C. The proposal also required that the tests be carried out in a room with an air speed immediately surrounding the unit under test (UUT) of less than or equal to 0.5 meters per second (m/s). As proposed, there would be no intentional cooling of the UUT such as by use of separately powered fans, air conditioners, or heat sinks. The UUT would be tested on a thermally non-conductive surface. Schneider Electric inquired whether manufacturers would be permitted to test UPSs within the temperature range specified by the IEC 62040–3 Ed. 2.0 standard. Schneider Electric also noted that the IEC 62040–3 Ed. 2.0 standard does not have air speed requirements, and inquired if DOE’s proposed requirements for air speed surrounding the unit under test limit of less than or equal to 0.5 m/s would be unidirectional or multidirectional. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, pp. 36– 38) Similarly, NEMA opposed DOE’s proposed test conditions, such as airflow, and requested that DOE VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 incorporate by reference the testing conditions stated in the IEC 62040–3 Ed. 2.0 standard. (NEMA, No. 0008, EERE– 2016–BT–TP–0018, p. 5) DOE reiterates that the May 2016 NOPR proposed the ambient temperature must remain in the range of 20.0 °C to 30.0 °C, including all inaccuracies and uncertainties introduced by the temperature measurement equipment, throughout the test. 81 FR 31559. The IEC 62040– 3 Ed. 2.0 standard requires the ambient temperature to be between 20 °C and 30 °C, does not require all inaccuracies and uncertainties introduced by the temperature measurement equipment to be included in this range, and it has a precision requirement that is lower by one decimal place. By testing within DOE’s ambient temperature range, which includes all inaccuracies and uncertainties, manufacturers will also meet the temperature requirements of the IEC 62040–3 Ed. 2.0 standard. Therefore, DOE is adopting the proposed ambient temperature range in this final rule. Further, DOE is adopting an air speed requirement surrounding the unit under test to avoid the possibility of intentional cooling during testing, which affects the efficiency of UPSs. DOE clarifies that the air speed limit of less than or equal to 0.5 m/s surrounding the unit under test is multidirectional. 3. Input Voltage and Frequency DOE proposed that the AC input voltage to the UUT be within 3 percent of the highest rated voltage and the frequency be within 1 percent of the highest rated frequency of the device. DOE has not received any stakeholder comments on the input voltage and frequency requirements; therefore, DOE is adopting the proposed input voltage and frequency requirements in this final rule. E. Battery Configuration To capture the complete picture of the energy performance of UPSs, DOE proposed to test UPSs with the energy storage system connected throughout the test. Additionally, DOE proposed to standardize battery charging requirements for UPSs by including specific instructions in section 4.2.1, which is being added to appendix Y to subpart B of 10 CFR part 430. These requirements, which ensure that the battery is fully charged prior to testing, specify charging the battery for an additional 5 hours after the UPS has indicated that it is fully charged, or if the product does not have a battery indicator but the user manual specifies a time, charging the battery for 5 hours PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 89813 longer than the manufacturer’s estimate. Finally, the proposal required charging the battery for 24 hours if the UPS does not have an indicator or an estimated charging time. 81 FR 31559. Schneider Electric argued that it is more appropriate to test UPSs either without batteries or when the attached batteries are not allowed to discharge. Further, Schneider Electric argued that the battery charger in a UPS is turned off when it is not actively charging a depleted battery and the battery doesn’t consume significant energy during normal mode of operation; therefore, testing with batteries does not add much to the test results. (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 6; Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 77) Schneider Electric also pointed out that the ENERGY STAR test procedure does not include batteries, the IEC 62040–3 Ed. 2.0 standard allows UPSs to be tested with or without a battery, and the CEC test procedure tests UPSs with an attached battery, but manufacturers are allowed to disable all known battery charger functions. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016– BT–TP–0018, pp. 42–44) Similarly, ITI and NEMA opposed DOE’s proposal of testing UPSs with a connected energy storage system and argued that testing a UPS with a battery will increase time and cost of the test and could possibly disqualify UPSs that are currently ENERGY STAR compliant. (ITI, No. 0007, EERE–2016–BT–TP–0018, p. 2; NEMA, No. 0008, EERE–2016–BT–TP– 0018, p. 3) NEMA and Schneider Electric pointed out that testing a UPS with a fully charged battery, which is different from the ENERGY STAR and CEC test procedures, will render all data from the ENERGY STAR and CEC databases useless. (NEMA, No. 0008, EERE–2016–BT–TP–0018, pp. 3–4; Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, pp. 2, 6–7) Further, NEMA and Schneider Electric argued that DOE’s proposed test procedure significantly deviates from the ENERGY STAR test procedure and the IEC 62040–3 Ed. 2.0 standard and that DOE has not justified this deviation, which appears to be arbitrary and poses unjustified financial burden on manufacturers. (NEMA, No. 0008, EERE–2016–BT–TP–0018, p. 3; Schneider Electric, No. 0005, EERE– 2016–BT–TP–0018, p. 9) In addition to providing various types of power conditioning and monitoring functionality, depending on their architecture and input dependency, UPSs also maintain the fully-charged state of lead acid batteries with relatively high self-discharge rates so E:\FR\FM\12DER5.SGM 12DER5 mstockstill on DSK3G9T082PROD with RULES5 89814 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations that in the event of a power outage, they are able to provide backup power instantly to the connected load. Maintaining the lead acid battery consumes energy which therefore directly affects a UPS’s overall energy efficiency. To capture the typical use of a UPS as required by 42 U.S.C. 6293(b)(3), a UPS must be tested with the energy storage system connected throughout the test, so as to capture the energy spent by the UPS maintaining the lead acid battery. Hence, deviation from the ENERGY STAR and CEC test procedures is necessary and justified. Concerning the ENERGY STAR and CEC databases, DOE points out that the two mentioned databases are already noncompatible because of the differences in their respective test procedures. Additionally, Schneider Electric noted that some UPSs turn off their battery chargers for days or weeks after detecting fully charged batteries and inquired if manufacturers are allowed to keep this behavior in place during testing. Schneider Electric further explained, when turned on, some UPSs perform a battery test that reduces the state of charge and lengthens the duration of time required to fully charge connected batteries. Therefore, Schneider Electric asked if manufacturers would be allowed to disable this feature to reduce the time and burden of testing. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE– 2016–BT–TP–0018, p. 41) If a UPS, as supplied to an end user, automatically detects that the connected battery is fully charged and then disables its battery charging functionality, then this UPS will be tested as such, as it would be a proper representation of the product’s typical energy use, which is a goal of all DOE test procedures. In response to Schneider Electric’s second comment, manufacturers are not allowed to disable the feature that detects the state of charge and lengthens the duration of time required to fully charge connected batteries. Section 4.2.1(b), which was proposed and is being added to appendix Y to subpart B of 10 CFR part 430 in this final rule, instructs that the UPS must not be modified or adjusted to disable energy storage charging features, and the transfer of energy to and from the energy storage system must be minimized by ensuring the energy storage system is fully charged. Lastly, Schneider Electric inquired whether the use of software battery charge indicators or some other industry standard practice is permitted; how test batteries should be selected if a UPS basic model can support multiple batteries; and how a basic model is to VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 be selected if a UPS model has batteries supplied by multiple battery vendors. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, pp. 40– 41) (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, pp. 69–70) Section 4.2.1(b)(1), which was proposed, and is being added to appendix Y to subpart B of 10 CFR part 430 in this final rule, provides instructions on how to determine when a UPS battery is fully charged. These instructions emphasize the use of a battery charge indicator which DOE interprets as either being physically on the device or a software that accompanies the UPS. Therefore, manufacturers may use software that acts as an indicator and communicates the battery’s state of charge to the user if the software is packaged with the UPS. DOE is unable to provide instructions regarding the use of ‘other industry standard practices’ as an indicator of a battery’s state of charge without more details on these standard practices. Manufacturers must follow the instructions provided in section 4.2.1(b), which is being added to appendix Y to subpart B of 10 CFR part 430 to ensure that the batteries are fully charged prior to testing. DOE also recognizes that UPS may be capable of accommodating multiple battery models, battery vendors or battery capacities. Accordingly, it is possible that the efficiency of a UPS that otherwise has identical electrical characteristics would vary slightly based on the battery used. In the case in which a manufacturer uses different battery models, vendors or capacities in a single UPS, then the manufacturer may group some or all combinations of battery and UPS as part of a single UPS basic model and certifying compliance by ensuring that the represented efficiency of that UPS basic model applies to all combinations in the group. In that case, the represented efficiency should correspond to the least efficient combination in the group. If the Department selects a unit for assessment or enforcement testing, DOE may select any combination within the basic model to assess the entire basic model’s compliance. Thus, if a manufacturer groups multiple battery and UPS combinations as part of a single basic model, DOE would test one combination to determine compliance pursuant to its regulations. Alternatively, the manufacturer may classify each unique UPSs configuration as separate basic models and certify each basic models individually. In the case where each unique UPS configuration is a separate PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 basic model, DOE will test the unique UPS configuration to assess compliance. F. Product Configuration For configuring UPSs for testing, DOE proposed to reference Appendix J.2 of IEC 62040–3 Ed 2.0 in section 4.2.1, which would be added to appendix Y to subpart B of 10 CFR part 430. In addition to the IEC test method, DOE proposed to include additional requirements for UPS operating mode conditions and energy storage system derived from ENERGY STAR UPS V. 1.0. DOE did not consider including requirements for back-feeding, a condition in which voltage or energy available within a UPS is fed back to any of the input terminals of the UPS as specified in ENERGY STAR UPS V. 1.0 because back-feeding is generally only required for UPSs with an output power rating higher than loads commonly available in a consumer environment. Because the power range of UPSs in the scope of this rulemaking is limited by the requirement that these UPSs utilize a NEMA 1–15P or 5–15P plug, and loads in this range are readily available, DOE believes provisions for back-feeding will not be necessary. DOE has not received any stakeholder comment on these proposed provisions; therefore, DOE is adopting these provisions in this final rule. On August 5, 2016, DOE published an energy conservation standards notice of proposed rulemaking for uninterruptible power supplies in the Federal Register (August 2016 NOPR). 81 FR 52196. In response to the August 2016 NOPR, NEMA and ITI, and Schneider Electric submitted written comments requesting that DOE thoroughly examine the impact of the energy consumption of secondary features such as USB charging ports, wired and wireless connectivity, displays, and communications etc. that are not related to battery charging on the proposed efficiency metric for UPSs. (NEMA and ITI, No. 0019, EERE–2016–BT–STD– 0022 at p. 3; Schneider Electric, No. 0017, EERE–2016–BT–STD–0022 at pp. 1–2, 13) In response to the above summarized comments, DOE is adding language to the UPS test procedure, in section 4.2.2, stating that UPS manufacturers must disable features of the UPSs that do not contribute to the maintenance of fully charged battery or delivery of load power, so that the energy consumption of these features is not captured. This will permit manufacturers to disable these secondary features in order to reduce or eliminate the impact that the energy consumption of these features has on the measured efficiency metric. E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES5 1. Average Power DOE’s proposal in the June 2016 NOPR required that all efficiency values be calculated from average power. DOE proposed two different methods for calculating average power so that manufacturers have the option of using a method better suited to the testing equipment already available at their disposal without having to purchase new equipment. DOE proposed to specify these calculation methods in section 4.3.1 of appendix Y to subpart B of 10 CFR part 430. The first proposed method of calculating average power is recording the accumulated energy (Ei) in kWh and then dividing accumulated energy (Ei) by the specified period for each test (Ti). For this method, the average power would be calculated using the following equation: VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 Where Pi represents measured power during a single measurement (i), and n represents total number of measurements. NEMA and Schneider Electric opposed DOE’s proposal of two different methods of calculating average power and requested that DOE adopt the method of calculating average power stated in the IEC 62040–3 Ed. 2.0 standard. (NEMA, No. 0008. EERE– 2016–BT–TP–0018, p. 5; Schneider Electric, No. 0005, EERE–2016–BT–TP– 0018, p. 3) Schneider Electric inquired whether DOE has conducted an analysis to compare the accuracy of the two proposed methods (Schneider Electric, No. 0005, EERE–2016–BT–TP–0018, p. 4) Further, during the public meeting held on June 9, 2016, Schneider Electric requested that manufacturers be allowed to calculate efficiency directly from accumulated energy measurements without having to first calculate average power. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP–0018, p. 46) DOE agrees, and is not adopting a requirement that average power be calculated as an intermediate step in order to calculate efficiency from accumulated energy measurements. Based on stakeholder comments, DOE is convinced that the intermediate step of converting energy measurements to average power is redundant. The adopted method of calculating average power from instantaneous power measurements is still different from the method stated in the IEC 62040–3 Ed. 2.0 standard, which is requested by NEMA and Schneider Electric. DOE’s adopted method requires measuring power for 15 minutes at a sampling rate of at least 1 sample per second, whereas the IEC 62040–3 Ed. 2.0 standard only requires three readings no more than 15 minutes apart, which lacks precision. DOE believes that measuring power for 15 minutes at a sampling rate of at least one sample per second is justified because it PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 2. Efficiency DOE proposed to calculate the efficiency of UPSs at each loading point as specified in section J.3 of IEC 62040– 3 Ed 2.0. DOE also proposed additional requirements from ENERGY STAR UPS V. 1.0 for the purpose of ensuring repeatable and reproducible tests. ENERGY STAR UPS V. 1.0 specifies requirements for ensuring the unit is at steady state and calculating the efficiency measurements. The proposed requirements are included in section 4.3 of the proposed appendix Y to subpart B of 10 CFR part 430. Schneider Electric argued that deviations in stability requirements and calculation of efficiency from the IEC 62040–3 Ed. 2.0 standard will increase testing burden on manufacturers by forcing them to test their products twice: Once under the IEC 62040–3 Ed. 2.0 standard and once under the DOE test method. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP– 0018, p. 48) DOE notes that the IEC 62040–3 Ed. 2.0 standard uses temperature to determine stability but does not specify where the temperature measurements must be taken. This, in DOE’s opinion, leaves room for interpretation and would cause reproducibility problems with the test procedure. The ENERGY STAR UPS Test Method Rev. May 2012, which partially relies on the IEC 62040–3 Ed. 2.0 standard, also recognizes this shortcoming in the IEC 62040–3 Ed. 2.0 standard and states its own stability requirements. Consequently, DOE is finalizing the stability requirements proposed in the May 2016 NOPR which have been adopted from the ENERGY STAR UPS Test Method Rev. May 2012, as these requirements are necessary for ensuring repeatability and reproducibility of measured values. E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.011</GPH> G. Average Power and Efficiency Calculation Additionally, DOE proposed a second method to calculate average power by sampling the power at a rate of at least one sample per second and computing the arithmetic mean of all samples over the time period specified for each test (Ti). For this method, the average power (Pavg) would be calculated using the following equation: improves precision over the IEC 62040– 3 Ed. 2.0 and does not pose a testing burden on manufacturers because measurement readings are taken and logged electronically. Further, the sampling rate of at least one sample per second ensures accuracy and repeatability of calculated values. Lastly, as DOE is no longer requiring the calculation of average power from accumulated energy measurements as part of the calculation of efficiency, Schneider Electric’s comment regarding the comparison of the accuracy of the two proposed methods of calculating average power is no longer relevant to the methods adopted in this final rule. DOE is revising the proposed regulatory text in appendix Y to subpart B of 10 CFR part 430 to finalize these changes. ER12DE16.010</GPH> In the case where a feature that does not contribute to the maintenance of fully charged battery(s) or delivery of load power cannot be turned off during testing and the UPS manufacturer believes that the test procedure evaluates the basic model in a manner that is not representative of its true energy characteristics as to provide materially inaccurate comparative data, DOE notes that there are provisions in place, as outlined in 10 CFR 430.27, for stakeholders to request a waiver or interim waiver from the test procedure. If such a waiver or interim waiver is granted, manufacturers are required to use an alternative test method to evaluate the performance of their product type in a manner that is representative of the energy consumption characteristics of the basic model. Schneider Electric provided a list of secondary features along with the corresponding energy allowances that Schneider Electric believes should be made for these secondary features and proposed an alternate adjusted efficiency metric that accommodates the suggested allowances in place of the average load adjusted efficiency metric proposed by DOE in the May 2016 UPS test procedure NOPR. (Schneider Electric, No. 0017, EERE–2016–BT– STD–0022, pp. 1–2, 13). While DOE is not adopting Schneider Electric’s proposed alternative calculation at this time, DOE notes that manufacturers may propose this as an alternative test procedure for consideration as part of a waiver petition. 89815 89816 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations H. Output Metric To capture the energy efficiency of a UPS, DOE proposed that the device be tested in normal mode. DOE further proposed to use an average load adjusted efficiency metric, rounded to one tenth of a percentage point, as the final output of the UPS test procedure.3 DOE’s proposed output metric for UPSs matches the output metric utilized by ENERGY STAR UPS V. 1.0. DOE also proposed to adopt the load weightings specified in ENERGY STAR UPS V. 1.0 for calculating average load adjusted efficiency of UPSs. These load weightings vary based on the ratio of the reference test load to the full rated load of the device, the UPS architecture and the output power rating of a UPS. The requirements for calculating the final metric, shown in Table III.2, were proposed to be incorporated in section 4.3.5 of appendix Y to subpart B of 10 CFR part 430. The proposed equation to calculate the average load adjusted efficiency of UPSs is as follows: Effavg = (t25% × Eff⎢25%) + (t50% × Eff⎢50%) + (t75% × Eff⎢75%) + (t100% × Eff⎢100%) Where: Effavg = average load adjusted efficiency tn% = proportion of time spent at the particular n% of the reference test load Effn% = efficiency at the particular n% of the reference test load TABLE III.2—UPS LOAD WEIGHTINGS FOR CALCULATING AVERAGE LOAD ADJUSTED EFFICIENCY Portion of time spent at reference load Rated output power (W) Input dependency characteristic P ≤ 1500 W ....................................... VFD .................................................. VI or VFI ........................................... VFD, VI, or VFI ................................ 25% mstockstill on DSK3G9T082PROD with RULES5 P > 1500 W ....................................... 50% 0.2 0 0 Schneider Electric inquired whether manufacturers are required to test UPSs at loading points that have zero weighting. Further, Schneider Electric requested that DOE mandate testing UPSs in order from 100 percent, 75 percent, 50 percent and 25 percent of the reference test load. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE– 2016–BT–TP–0018, pp. 50–51) In this final rule, DOE adds a footnote to Table 4.3.1 of section 4.3.5 of appendix Y to subpart B of 10 CFR part 430 stating that manufacturers do not have to test a UPS at the applicable loading point with zero weighting because the measured efficiency at this loading point does not contribute to the average load adjusted efficiency of the UPS. Further, in section 4.3.3(a) of appendix Y to subpart B of 10 CFR part 430, DOE already proposes to test UPSs in the order of 100 percent, 75 percent, 50 percent and 25 percent of the rated output power. Consistent with of Schneider Electric’s comment about the order of testing, DOE is adopting the proposed order of testing in this final rule. Additionally, NRDC, et al. argued that the proposed loading points are not representative of desktop computers attached to UPSs and that DOE should instead adopt 0 percent, 5 percent, 10 percent, 25 percent and 50 percent as loading points for VFD UPSs with 0.1, 0.3, 0.3, 0.15, 0.15 time weightings for their loading points respectively. Further, NRDC, et al. requested DOE to analyze and revise loading points and associated time weightings for VI and VFI UPSs as well. (NRDC, et al., No. 0006, EERE–2016–BT–TP–0018, pp. 3– 6) DOE’s output metric, loading points and weightings are adopted from ENERGY STAR UPS V. 1.0, which is extensively supported and adhered to by the UPS industry. Further, the IEC 62040–3 Ed. 2.0 standard also uses the same loading points. DOE is refraining from adopting any loading points or weightings that differ from those in ENERGY STAR UPS V. 1.0 and IEC 62040–3 Ed. 2.0 as DOE has no data from which to conclude that it would be necessary to do so. Therefore, DOE is adopting the proposed output metric, loading points and weightings in this final rule. DOE will continue to monitor the UPS market and may consider other loading points and weightings in future rulemakings. 3 In the May 2016 NOPR, DOE used the terms ‘average normal mode loading efficiency’ and ‘average load adjusted efficiency’ interchangeably. VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 I. Effective Date of and Compliance With Test Procedure EPCA prescribes that all representations of energy efficiency and energy use, including those made on marketing materials and product labels, must be made in accordance with DOE test procedures, beginning 180 days after publication of such a test procedure final rule in the Federal Register. (42 U.S.C. 6293(c)(2)) NEMA argued that DOE has not adequately investigated the number of stock keeping units (SKUs) involved in this rulemaking, and as such does not appear to understand the scope of impact and associated cost burden on manufacturers if they become required to retest all products, and revise markings and published performance information within 180 days. NEMA PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 75% 0.2 0.3 0.3 100% 0.3 0.4 0.4 0.3 0.3 0.3 further argued that in addition to disqualifying currently ENERGY STAR compliant products, DOE’s proposed test procedure will force ENERGY STAR to update its UPS specifications, with assistance from the industry, causing additional burden on industry resources and personnel. According to NEMA, these additional testing and requalification costs will not be trivial, because the U.S. Environmental Protection Agency (EPA) requires third party certification and testing at manufacturer’s expense for its ENERGY STAR program. NEMA contends that, even if the EPA takes some time to update its specification, DOE’s insistence on a 180-day implementation will negate this in practical terms, possibly forcing manufacturers to perform two tests and report two different efficiency levels in the near term, one to DOE and one to EPA. (NEMA, No. 0008, EERE–2016–BT–TP– 0018, pp. 2–3) Similarly, Schneider Electric argued that manufacturers would have to re-test all ENERGY STAR-certified UPSs after DOE’s UPS test procedure is finalized, and testing hundreds of basic UPS models in 180 days would not be practical. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE– 2016–BT–TP–0018, p. 69) DOE acknowledges that for ENERGY STAR-certified basic models, further testing may be needed to make representations in accordance with the UPS test procedure. However, DOE has adopted NEMA and Schneider Electric’s sampling plan to help minimize the burden by allowing a single unit sample as required by the current ENERGY For consistency, DOE is updating this final rule to only use the term average load adjusted efficiency.’ E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations STAR program. DOE will work closely with EPA if any transition is needed for the current ENERGY STAR UPS specification as a result of this final rule and will consult with manufacturers in accordance with the ENERGY STAR process. As for the comments requesting additional time to translate current representations, DOE reiterates that EPCA mandates the date by which representations must be made in accordance with the DOE test procedure. Specifically with regard to NEMA’s comment regarding reporting two different efficiency levels, DOE notes that EPCA does not permit this, instead requiring that all such representations be made in accordance with the DOE test procedure. (42 U.S.C. 6293(c)(2)) EPCA does provide an allowance for individual manufacturers to petition DOE for an extension of the 180-day period if the manufacturer may experience undue hardship in meeting the 180-day deadline. (42 U.S.C. 6293(c)(3)) To receive such an extension, petitions must be filed with DOE no later than 60 days before the end of the 180-day period and must detail how the manufacturer will experience undue hardship. (42 U.S.C. 6293(c)(3)) Beyond any such extension pursuant to the petition process specified by EPCA, as noted above, the statute does not permit DOE to extend the date by which representations must be made in accordance with the DOE test procedure. mstockstill on DSK3G9T082PROD with RULES5 J. Sampling Plan for Determination of Certified Rating For any covered product, manufacturers are required to determine represented values, which includes certified ratings, for each basic model of a product, in accordance with the DOE test procedure. Because the proposed test procedure for UPSs and resulting metric differs from other battery chargers, DOE proposed that UPS manufacturers would certify the average load adjusted efficiency metric (Effavg) described in section III.H, as the representative value of energy efficiency for UPSs. To determine a rating for certifying compliance or making energy use representations, DOE typically requires manufacturers to test each basic model in accordance with the applicable DOE test procedure and apply the appropriate sampling plan. DOE proposed that the sampling VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 provisions and certified rating requirements for battery chargers be applicable to UPSs, which requires a sample of at least 2 items to be tested. Schneider Electric argued that testing at least two units of a basic model of UPS under the proposed test procedure will require more time and have a higher cost than testing a single unit according to the ENERGY STAR test procedure. They also argued that testing at least two units is unnecessarily burdensome on manufacturers and requested DOE to allow manufacturers to certify compliance of their basic models based on the test results of a single unit. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE–2016–BT–TP– 0018, pp. 53–55) Similarly, ITI and NEMA opposed DOE’s proposal of testing at least two unit of a basic model of UPS to certify compliance. (ITI, No. 0007, EERE–2016–BT–TP–0018, p. 1, NEMA, No. 0008, EERE–2016–BT–TP– 0018, p. 2) After carefully considering the request by Schneider Electric, ITI and NEMA about certifying compliance based on the test results of a single unit per basic model of UPS, DOE is allowing all UPS manufacturers to certify compliance of their basic models based on either the general sampling plan stated in section (a)(4)(i) of 10 CFR 429.39 or on the test results of a single unit based on the sampling plan in section (a)(4)(ii) of 10 CFR 429.39. If manufacturers decide to certify compliance of a UPS basic model based on the test results of a single unit, the certified rating for this UPS basic model must be equal to the test results of the single unit tested. If a UPS manufacturer uses the general sampling plan stated in section (a)(4)(i) of 10 CFR 429.39 to certify compliance of a basic model, DOE will use the sampling plan for enforcement testing stated in appendix A to subpart C of 10 CFR part 429 for this basic model. If, however, a UPS manufacturer chooses to certify compliance of a basic model based on the test results of a single unit, then DOE will use a minimum sample size of one unit for enforcement testing and if a single unit in the sample of this UPS basic model does not meet the applicable Federal energy conservation standard, the UPS basic model will be considered non-compliant. DOE is revising 10 CFR 429.110 and adding appendix D to subpart C of 10 CFR part 429 to outline the sampling plans for enforcement testing of UPSs. PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 89817 K. Certification Reports In addition to the requirements specified in 10 CFR 429.12, which are applicable to each basic model of a covered product, DOE proposed the active power (W), apparent power (VA), rated input voltage (V), rated output voltage (V), efficiencies at 25 percent, 50 percent, 75 percent, and 100 percent, and average load adjusted efficiency of the UPS basic model be included in the battery charger certification report for UPSs in 10 CFR 429.39. DOE has not received any stakeholder comments on the proposed certification report requirements; therefore, DOE is adopting the proposed certification report requirements in this final rule. Additionally, the section 4.2.1(a) of appendix Y to subpart B of 10 CFR part 430 will require that if a UPS can operate in two or more distinct normal modes as more than one UPS architecture, then the test shall be conducted in the lowest input dependency as well as the highest input dependency mode where VFD represents the lowest input dependency mode, followed by VI and then VFI. DOE is requiring that manufacturers report the input dependency modes and efficiencies at 25 percent, 50 percent, 75 percent, 100 percent and the average load adjusted efficiencies of the lowest and the highest input dependency modes as part of the battery charger certification reports for UPSs. DOE is revising the proposed language in 10 CFR 429.39 accordingly. L. Sample Represented Value Derivation Schneider Electric requested DOE to provide application notes or publications that show how to take actual measurement data and calculate represented values for UPSs. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE– 2016–BT–TP–0018, pp. 55–56) DOE is providing the following walkthrough to show how the represented value of the average load adjusted efficiency of a UPS basic model can be derived from the test results. Given a 500W VFD UPS basic model, and following the requirements in 10 CFR 429.39, two units of this UPS basic model are tested to certify compliance. Testing two units of this hypothetical UPS basic model according to the provisions in appendix Y to subpart B of 10 CFR part 430 yields the following results: E:\FR\FM\12DER5.SGM 12DER5 89818 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations TABLE III.3—HYPOTHETICAL TEST RESULTS OF A 500W VFD UPS Unit # 1 Unit # 2 Reference test load percentage Reference test load percentage 25% Pavg_in (W) ........................ Pavg_out (W) ...................... Eff (%) .............................. 50% 80.2784 69.9238 87.1016 75% 150.8857 140.4241 93.0665 Using the average load adjusted equation in section 4.3.5 and the load 220.7255 209.9844 95.1337 100% 25% 290.7188 279.5877 96.1712 80.2586 69.9615 87.1701 weightings in Table 4.3.1 of appendix Y to subpart B of 10 CFR part 430, the 50% 150.9758 140.4254 93.0119 75% 220.7546 209.9652 95.1125 100% 290.5996 279.5695 96.2044 average load adjusted efficiencies for the two test units are calculated. TABLE III–4—HYPOTHETICAL AVERAGE LOAD ADJUSTED EFFICIENCIES OF THE 500W VFD UPS Unit # 1 Average Load Adjusted Efficiency (%) .................................................................................................................... Unit # 2 93.4251 93.4314 Therefore, the represented value of the average load adjusted efficiency for the hypothetical 500W VFD UPS basic model must be less than 93.4 percent, the mean of the sample rounded to onetenth of a percentage point, according to the rounding requirements specified in section 4.3.5(b) of appendix Y to subpart B of 10 CFR part 430. (OIRA) in the Office of Management and Budget. Counsel’s Web site: http://energy.gov/ gc/office-general-counsel. DOE reviewed this final rule under the provisions of the Regulatory Flexibility Act and DOE’s policies and procedures published on February 19, 2003. DOE has concluded that the adopted test procedure would not have a significant impact on a substantial number of small entities. The factual basis for this certification is as follows. The Small Business Administration (SBA) considers a business entity to be a small business, if, together with its affiliates, it employs fewer than a threshold number of workers specified in 13 CFR part 121. These size standards and codes are established by the North American Industry Classification System (NAICS). The threshold number for NAICS classification code 335999, which applies to ‘‘all other miscellaneous electrical equipment and component manufacturing’’ and includes UPSs, is 500 employees. IV. Procedural Issues and Regulatory Review mstockstill on DSK3G9T082PROD with RULES5 A. Review Under Executive Order 12866 The Office of Management and Budget has determined that test procedure rulemakings do not constitute ‘‘significant regulatory actions’’ under section 3(f) of Executive Order 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was not subject to review under the Executive Order by the Office of Information and Regulatory Affairs VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 B. Review Under the Regulatory Flexibility Act The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that when an agency promulgates a final rule under 5 U.S.C. 553, after being required by that section or any other law to publish a general notice of proposed rulemaking, the agency shall prepare a final regulatory flexibility analysis (FRFA). As required by Executive Order 13272, ‘‘Proper Consideration of Small Entities in Agency Rulemaking,’’ 67 FR 53461 (August 16, 2002), DOE published procedures and policies on February 19, 2003 to ensure that the potential impacts of its rules on small entities are properly considered during the DOE rulemaking process. 68 FR 7990. DOE has made its procedures and policies available on the Office of the General PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.014</GPH> ¯ and x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the tstatistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of subpart B of 10 CFR part 429). Following the stated equations, the mean of the sample and the 97.5-percent LCL divided by 0.95 are calculated. ER12DE16.013</GPH> ¯ and, x is the sample mean; n is the number of samples; and xi is the Effavg of the ith sample; or, the lower 97.5percent confidence limit (LCL) of the true mean divided by 0.95, where: ER12DE16.012</GPH> According to 10 CFR 429.39, the represented value of Effavg must be less than or equal to the lower of the mean of the sample, where: Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES5 To estimate the number of companies that could be small businesses that manufacture UPSs covered by this rulemaking, DOE conducted a market survey using publicly available information. DOE first attempted to identify all potential UPS manufacturers by researching EPA’s ENERGY STAR certification database,4 retailer Web sites, individual company Web sites, and the SBA’s database. DOE then attempted to gather information on the location and number of employees to determine if these companies met SBA’s definition of a small business for each potential UPS manufacturer by reaching out directly to those potential small businesses and using market research tools (i.e., Hoover’s reports), and company profiles on public Web sites (i.e., Manta, Glassdoor, and LinkedIn). DOE also asked stakeholders and industry representatives if they were aware of any small businesses during manufacturer interviews. DOE used information from these sources to create a list of companies that potentially manufacture UPSs and would be impacted by this rulemaking. DOE eliminated companies that do not meet the definition of a ‘‘small business,’’ are completely foreign owned and operated, or do not manufacture UPSs in the United States. DOE initially identified a total of 48 potential companies that sell UPSs in the United States. As part of the May 2016 TP NOPR, DOE estimated that 12 companies were small businesses. However, after reviewing publicly available information on these businesses, DOE determined that none of these companies manufacture UPSs in the United States and therefore are not considered to be small business UPS manufacturers for the purposes of this analysis. As a result, DOE certifies that this rulemaking will not have a significant economic impact on a substantial number of small entities. C. Review Under the Paperwork Reduction Act of 1995 Manufacturers of UPSs must certify to DOE that their products comply with any applicable energy conservation standards. To certify compliance, manufacturers must first obtain test data for their products according to the DOE test procedures, including any amendments adopted for those test procedures. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and 4 ENERGY STAR, Energy Star Certified Products. Available at http://www.energystar.gov/. Last accessed November 14, 2016. VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 commercial equipment, including UPSs. (See generally 10 CFR part 429.) The collection-of-information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement has been approved by OMB under OMB control number 1910–1400. Public reporting burden for the certification is estimated to average 30 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Manufacturers would not be required to submit a certification report until such time as compliance with an energy conservation standard is required. Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number. D. Review Under the National Environmental Policy Act of 1969 In this final rule, DOE adopts test procedure amendments that it expects will be used to develop and implement future energy conservation standards for UPSs. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE’s implementing regulations at 10 CFR part 1021. Specifically, this adopted rule would amend the existing test procedure without affecting the amount, quality or distribution of energy usage, and, therefore, would not result in any environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 1021, subpart D, which applies to any rulemaking that interprets or amends an existing rule without changing the environmental effect of that rule. Accordingly, neither an environmental assessment nor an environmental impact statement is required. E. Review Under Executive Order 13132 Executive Order 13132, ‘‘Federalism,’’ 64 FR 43255 (August 4, 1999), imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have Federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 89819 of the States and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by State and local officials in the development of regulatory policies that have Federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of such regulations. 65 FR 13735. DOE examined this final rule and determined that it will not have a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. EPCA governs and prescribes Federal preemption of State regulations as to energy conservation for the products that are the subject of this final rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive Order 13132. F. Review Under Executive Order 12988 Regarding the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, ‘‘Civil Justice Reform,’’ 61 FR 4729 (Feb. 7, 1996), imposes on Federal agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide a clear legal standard for affected conduct rather than a general standard; and (4) promote simplification and burden reduction. Section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation (1) clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in sections 3(a) and 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this final rule E:\FR\FM\12DER5.SGM 12DER5 89820 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations meets the relevant standards of Executive Order 12988. mstockstill on DSK3G9T082PROD with RULES5 G. Review Under the Unfunded Mandates Reform Act of 1995 Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each Federal agency to assess the effects of Federal regulatory actions on State, local, and Tribal governments and the private sector. Public Law 104–4, sec. 201 (codified at 2 U.S.C. 1531). For a regulatory action resulting in a rule that may cause the expenditure by State, local, and Tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to develop an effective process to permit timely input by elected officers of State, local, and Tribal governments on a proposed ‘‘significant intergovernmental mandate,’’ and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect small governments. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820. (This policy is also available at http://energy.gov/gc/office-generalcounsel.) DOE examined this final rule according to UMRA and its statement of policy and determined that the rule contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure of$100 million or more in any year, so these requirements do not apply. H. Review Under the Treasury and General Government Appropriations Act, 1999 Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105–277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This final rule will not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment. I. Review Under Executive Order 12630 DOE has determined, under Executive Order 12630, ‘‘Governmental Actions and Interference with Constitutionally VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 Protected Property Rights’’ 53 FR 8859 (March 18, 1988), that this regulation will not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution. J. Review Under Treasury and General Government Appropriations Act, 2001 Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB’s guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE’s guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed this final rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines. K. Review Under Executive Order 13211 Executive Order 13211, ‘‘Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,’’ 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OMB, a Statement of Energy Effects for any significant energy action. A ‘‘significant energy action’’ is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that (1) is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use if the regulation is implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. The adopted regulatory action to amend the test procedure for measuring the energy efficiency of UPSs is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as a significant energy action by the Administrator of OIRA. Therefore, it is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy Effects. PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 L. Review Under Section 32 of the Federal Energy Administration Act of 1974 Under section 301 of the Department of Energy Organization Act (Pub. L. 95– 91; 42 U.S.C. 7101), DOE must comply with section 32 of the Federal Energy Administration Act of 1974, as amended by the Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) Section 32 essentially provides in relevant part that, where a proposed rule authorizes or requires use of commercial standards, the notice of proposed rulemaking must inform the public of the use and background of such standards. In addition, section 32(c) requires DOE to consult with the Attorney General and the Chairman of the Federal Trade Commission (FTC) concerning the impact of the commercial or industry standards on competition. This final rule incorporates testing methods contained in Section 6 and Annex J of the IEC 62040–3 Ed. 2.0, ‘‘Uninterruptible power systems (UPS)—Method of specifying the performance and test requirements’’ standard. DOE has evaluated this standard and is unable to conclude whether it fully complies with the requirements of section 32(b) of the FEAA, (i.e., that they were developed in a manner that fully provides for public participation, comment, and review). DOE has consulted with the Attorney General and the Chairman of the FTC concerning the impact of these test procedures on competition and neither recommended against incorporation of these standards. M. Congressional Notification As required by 5 U.S.C. 801, DOE will report to Congress on the promulgation of this rule before its effective date. The report will state that it has been determined that the rule is not a ‘‘major rule’’ as defined by 5 U.S.C. 804(2). N. Description of Materials Incorporated by Reference DOE incorporates by reference Section 5.2.1, Clause 5.2.2.k, Clause 5.3.2.d, Clause 5.3.2.e, Section 5.3.4, Section 6.2.2.7, Section 6.4.1 (except 6.4.1.3, 6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10), Annex G, and Annex J of the IEC 62040–3 Ed. 2.0, ‘‘Uninterruptible power systems (UPS)—Part 3: Method of specifying the performance and test requirements’’ standard. This standard is used to specify the testing requirements for UPSs and is available from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations ¯ and, x is the sample mean; n is the number of samples; and xi is the UEC of the ith sample; or, (B) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05, where: Issued in Washington, DC, on November 21, 2016. Kathleen B. Hogan, Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and Renewable Energy. For the reasons stated in the preamble, DOE amends parts 429 and 430 of Chapter II of Title 10, Code of Federal Regulations as set forth below: PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 1. The authority citation for part 429 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 2461 note. ■ 2. Revise § 429.39 to read as follows: § 429.39 mstockstill on DSK3G9T082PROD with RULES5 ¯ and x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the tstatistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (iii) For each basic model of battery chargers other than UPSs, using the sample from paragraph (a)(2)(ii) of this section, calculate the represented values of each metric (i.e., maintenance mode power (Pm), standby power (Psb), off mode power (Poff), battery discharge energy (EBatt), 24-hour energy consumption (E24), and duration of the charge and maintenance mode test (tcd)), where the represented value of the metric is: Battery chargers. (a) Determination of represented value. Manufacturers must determine represented values, which include certified ratings, for each basic model of battery charger in accordance with the following sampling provisions. (1) Represented values include: The unit energy consumption (UEC) in kilowatt-hours per year (kWh/yr), battery discharge energy (Ebatt) in watt VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 ¯ and, x is the sample mean, n is the number of samples, and xi is the measured value of the ith sample for the metric. (iv) For each basic model of UPSs, the represented value of Effavg must be calculated using one of the following two methods: PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.019</GPH> 10 CFR Part 430 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses. ¯ and x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the tstatistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (B) The represented value of Effavg is equal to the Effavg of the single unit tested. (b) Certification reports. (1) The requirements of § 429.12 are applicable to all battery chargers. (2) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The nameplate battery voltage of the test battery in volts (V), the nameplate battery charge capacity of the test battery in ampere-hours (Ah), and the nameplate battery energy capacity of the test battery in watt-hours (Wh). A certification report must also include the represented values, as determined in paragraph (a) of this section for the maintenance mode power (Pm), standby mode power (Psb), off mode power (Poff), battery discharge energy (Ebatt), 24-hour energy consumption (E24), duration of the charge and maintenance mode test (tcd), and unit energy consumption (UEC). (3) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The manufacturer and model of the test battery, and the manufacturer and model, when applicable, of the external power supply. (4) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all UPSs: Supported input dependency mode(s); active power in watts (W); apparent power in voltamperes (VA); rated input and output ER12DE16.018</GPH> 10 CFR Part 429 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Reporting and recordkeeping requirements. ¯ and, x is the sample mean; n is the number of samples; and xi is the Effavg of the ith sample; or, (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95, where: ER12DE16.017</GPH> List of Subjects (A) A sample of sufficient size must be randomly selected and tested to ensure that the represented value of Effavg is less than or equal to the lower of: (1) The mean of the sample, where: ER12DE16.016</GPH> V. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this final rule. hours (Wh), 24-hour energy consumption (E24) in watt hours (Wh), maintenance mode power (Pm) in watts (W), standby mode power (Psb) in watts (W), off mode power (Poff) in watts (W), and duration of the charge and maintenance mode test (tcd) in hours (hrs) for all battery chargers other than uninterruptible power supplies (UPSs); and average load adjusted efficiency (Effavg) for UPSs. (2) Units to be tested. (i) The general requirements of § 429.11 are applicable to all battery chargers; and (ii) For each basic model of battery chargers other than UPSs, a sample of sufficient size must be randomly selected and tested to ensure that the represented value of UEC is greater than or equal to the higher of: (A) The mean of the sample, where: ER12DE16.015</GPH> NY 10036 or at http://webstore.ansi .org/. DOE also incorporates by reference Figure 1–15 and Figure 5–15 of the NEMA standard, ANSI/NEMA Standard WD 6–2016, ‘‘Wiring Devices—Dimensional Specifications.’’ This standard is used to describe the scope of this final rule and is available from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036 or at http:// webstore.ansi.org/. 89821 89822 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations voltages in volts (V); efficiencies at 25 percent, 50 percent, 75 percent and 100 percent of the reference test load; and average load adjusted efficiency of the lowest and highest input dependency modes. 3. Section 429.110 is amended by revising paragraphs (e)(6), (7), and (8), and adding paragraph (e)(9) to read as follows: ■ § 429.110 Enforcement testing. mstockstill on DSK3G9T082PROD with RULES5 * * * * * (e) * * * (6) For uninterruptible power supplies, if a basic model is certified for compliance to the applicable energy conservation standard(s) in § 430.32 of this chapter according to the sampling plan in § 429.39(a)(2)(iv)(A) of this chapter, DOE will use a sample size of not more than 21 units and follow the sampling plan in appendix A of this subpart (Sampling for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment). If a basic model is certified for compliance to the applicable energy conservation standard(s) in § 430.32 of this chapter according to the sampling plan in § 429.39(a)(2)(iv)(B) of this chapter, DOE will use a sample size of at least one unit and follow the sampling plan in appendix D of this subpart (Sampling for Enforcement Testing of Uninterruptible Power Supplies). (7) Notwithstanding paragraphs (e)(1) through (6) of this section, if testing of the available or subsequently available units of a basic model would be impractical, as for example when a basic model has unusual testing requirements or has limited production, DOE may in its discretion decide to base the determination of compliance on the testing of fewer than the otherwise required number of units. (8) When DOE makes a determination in accordance with paragraph (e)(7) of this section to test less than the number of units specified in paragraphs (e)(1) through (6) of this section, DOE will base the compliance determination on the results of such testing in accordance with appendix B of this subpart (Sampling Plan for Enforcement Testing of Covered Equipment and Certain LowVolume Covered Products) using a sample size (n1) equal to the number of units tested. (9) For the purposes of this section, available units are those that are available for distribution in commerce within the United States. ■ 4. Section 429.134 is amended by adding paragraph (o) to read as follows: VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 § 429.134 Product-specific enforcement provisions. * * * * * (o) Uninterruptible power supplies. (1) Determine the UPS architecture by performing the tests specified in the definitions of VI, VFD, and VFI in sections 2.28.1 through 2.28.3 of appendix Y to subpart B of 10 CFR part 430. (2) [Reserved] ■ 5. Add appendix D to subpart C of part 429 to read as follows: Appendix D to Subpart C of Part 429— Sampling Plan for Enforcement Testing of Uninterruptible Power Supplies (a) The minimum sample size for enforcement testing will be one unit. (b) Compute the average load adjusted efficiency (Effavg) of the unit in the sample. (c) Determine the applicable DOE energy efficiency standard (EES). (d) If all Effavg are equal to or greater than EES, then the basic model is in compliance and testing is at an end. (e) If any Effavg is less than EES, then the basic model is in noncompliance and testing is at an end. PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 6. The authority citation for part 430 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. 7. Section 430.3 is amended by: a. Redesignating paragraphs (e)(17) through (20) as (e)(18) through (21) respectively; ■ b. Adding new paragraph (e)(17); ■ c. Redesignating paragraphs (p)(3) through (8) as (p)(4) through (9) respectively; and ■ d. Adding new paragraph (p)(3). The additions read as follows: ■ ■ § 430.3 Materials incorporated by reference. * * * * * (e) * * * (17) ANSI/NEMA WD 6–2016, Wiring Devices—Dimensional Specifications, ANSI approved February 11, 2016, IBR approved for Appendix Y to subpart B; as follows: (i) Figure 1–15—Plug and Receptacle; and (ii) Figure 5–15—Plug and Receptacle. * * * * * (p) * * * (3) IEC Standard 62040–3 Ed. 2.0, (‘‘IEC 62040–3 Ed. 2.0’’), Uninterruptible power systems (UPS)— Part 3: Method of specifying the performance and test requirements, Edition 2.0, 2011–03, IBR approved for appendix Y to subpart B, as follows: PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 (i) Section 5, Electrical conditions, performance and declared values, Section 5.2, UPS input specification, Section 5.2.1—Conditions for normal mode of operation; (ii) Clause 5.2.2.k; (iii) Section 5.3, UPS output specification, Section 5.3.2, Characteristics to be declared by the manufacturer, Clause 5.3.2.d; (iv) Clause 5.3.2.e; (v) Section 5.3.4—Performance classification; (vi) Section 6.2, Routine test procedure, Section 6.2.2.7—AC input failure; (vii) Section 6.4, Type test procedure (electrical), Section 6.4.1—Input—a.c. supply compatibility (excluding 6.4.1.3, 6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10); (viii) Annex G—Input mains failure— Test method (ix) Annex J—UPS Efficiency— Methods of measurement. * * * * * ■ 8. Section 430.23 is amended by revising paragraph (aa) to read as follows: § 430.23 Test procedures for the measurement of energy and water consumption. * * * * * (aa) Battery Chargers. (1) Measure the maintenance mode power, standby power, off mode power, battery discharge energy, 24-hour energy consumption and measured duration of the charge and maintenance mode test for a battery charger other than uninterruptible power supplies in accordance with appendix Y to this subpart. (2) Calculate the unit energy consumption of a battery charger other than uninterruptible power supplies in accordance with appendix Y to this subpart. (3) Calculate the average load adjusted efficiency of an uninterruptible power supply in accordance with appendix Y to this subpart. * * * * * ■ 9. Appendix Y to subpart B of part 430 is amended by: ■ a. Revising the introductory text to appendix Y; ■ b. Revising section 1; ■ c. Redesignating section 2.24 as 2.28; ■ d. Adding a new section 2.24; ■ e. Redesignating sections 2.22 and 2.23 as sections 2.25 and 2.26, respectively; ■ f. Adding sections 2.27, 2.27.1, 2.27.2, and 2.27.3; ■ g. Redesignating sections 2.18 through 2.21 as sections 2.20 through 2.23, respectively; E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations h. Adding a new section 2.19; i. Redesignating sections 2.12 through 2.17 as sections 2.13 through 2.18, respectively; ■ j. Adding a new section 2.12; ■ k. Revising sections 3 and 4; and ■ l. Removing section 5. The additions and revisions read as follows: ■ ■ Appendix Y to Subpart B of Part 430— Uniform Test Method for Measuring the Energy Consumption of Battery Chargers Prior to November 16, 2016, manufacturers must make any representations regarding the energy consumption of battery chargers other than uninterruptible power supplies based upon results generated under this appendix or the previous version of this appendix as it appeared in the Code of Federal Regulations on January 1, 2016. On or after November 16, 2016, manufacturers must make any representations regarding the energy consumption of battery chargers other than uninterruptible power supplies based upon results generated under this appendix. On or after June 12, 2017, manufacturers must make any representations regarding the energy efficiency of uninterruptible power supplies based upon results generated under this appendix. 1. Scope This appendix provides the test requirements used to measure the energy consumption of battery chargers operating at either DC or United States AC line voltage (115V at 60Hz). This appendix also provides the test requirements used to measure the energy efficiency of uninterruptible power supplies as defined in section 2 of this appendix that utilize the standardized National Electrical Manufacturer Association (NEMA) plug, 1–15P or 5–15P, as specified in ANSI/NEMA WD 6–2016 (incorporated by reference, see § 430.3) and have an AC output. This appendix does not provide a method for testing back-up battery chargers. * * * * * * * 2. Definitions * * * 2.12. Energy storage system is a system consisting of single or multiple devices designed to provide power to the UPS inverter circuitry. mstockstill on DSK3G9T082PROD with RULES5 * * * * * 2.19. Normal mode is a mode of operation for a UPS in which: (1) The AC input supply is within required tolerances and supplies the UPS, (2) The energy storage system is being maintained at full charge or is under recharge, and (3) The load connected to the UPS is within the UPS’s specified power rating. * * * * * 2.24. Reference test load is a load or a condition with a power factor of greater than 0.99 in which the AC output socket of the UPS delivers the active power (W) for which the UPS is rated. * * * VerDate Sep<11>2014 * * 21:43 Dec 09, 2016 Jkt 241001 2.27. Uninterruptible power supply or UPS means a battery charger consisting of a combination of convertors, switches and energy storage devices (such as batteries), constituting a power system for maintaining continuity of load power in case of input power failure. 2.27.1. Voltage and frequency dependent UPS or VFD UPS means a UPS that produces an AC output where the output voltage and frequency are dependent on the input voltage and frequency. This UPS architecture does not provide corrective functions like those in voltage independent and voltage and frequency independent systems. Note to 2.27.1: VFD input dependency may be verified by performing the AC input failure test in section 6.2.2.7 of IEC 62040– 3 Ed. 2.0 (incorporated by reference, see § 430.3) and observing that, at a minimum, the UPS switches from normal mode of operation to battery power while the input is interrupted. 2.27.2. Voltage and frequency independent UPS or VFI UPS means a UPS where the device remains in normal mode producing an AC output voltage and frequency that is independent of input voltage and frequency variations and protects the load against adverse effects from such variations without depleting the stored energy source. Note to 2.27.2: VFI input dependency may be verified by performing the steady state input voltage tolerance test and the input frequency tolerance test in sections 6.4.1.1 and 6.4.1.2 of IEC 62040–3 Ed. 2.0 (incorporated by reference, see § 430.3) respectively and observing that, at a minimum, the UPS produces an output voltage and frequency within the specified output range when the input voltage is varied by ±10% of the rated input voltage and the input frequency is varied by ±2% of the rated input frequency. 2.27.3. Voltage independent UPS or VI UPS means a UPS that produces an AC output within a specific tolerance band that is independent of under-voltage or over-voltage variations in the input voltage without depleting the stored energy source. The output frequency of a VI UPS is dependent on the input frequency, similar to a voltage and frequency dependent system. Note to 2.27.3: VI input dependency may be verified by performing the steady state input voltage tolerance test in section 6.4.1.1 of IEC 62040–3 Ed. 2.0 (incorporated by reference, see § 430.3) and ensuring that the UPS remains in normal mode with the output voltage within the specified output range when the input voltage is varied by ±10% of the rated input voltage. * * * * * 3. Testing Requirements for all Battery Chargers Other Than Uninterruptible Power Supplies 3.1. Standard Test Conditions 3.1.1 General The values that may be measured or calculated during the conduct of this test procedure have been summarized for easy reference in Table 3.1.1. of this appendix. PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 89823 TABLE 3.1.1—LIST OF MEASURED OR CALCULATED VALUES Name of measured or calculated value 1. Duration of the charge and maintenance mode test. 2. Battery Discharge Energy. 3. Initial time and power (W) of the input current of connected battery. 4. Active and Maintenance Mode Energy Consumption. 5. Maintenance Mode Power. 6. 24 Hour Energy Consumption. 7. Standby Mode Power .... 8. Off Mode Power ............ 9. Unit Energy Consumption, UEC (kWh/yr). Reference Section 3.3.2. Section 3.3.8. Section 3.3.6. Section 3.3.6. Section 3.3.9. Section 3.3.10. Section 3.3.11. Section 3.3.12. Section 3.3.13. 3.1.2. Verifying Accuracy and Precision of Measuring Equipment Any power measurement equipment utilized for testing must conform to the uncertainty and resolution requirements outlined in section 4, ‘‘General conditions for measurement’’, as well as annexes B, ‘‘Notes on the measurement of low power modes’’, and D, ‘‘Determination of uncertainty of measurement’’, of IEC 62301 (incorporated by reference, see § 430.3). 3.1.3. Setting Up the Test Room All tests, battery conditioning, and battery rest periods shall be carried out in a room with an air speed immediately surrounding the UUT of ≤0.5 m/s. The ambient temperature shall be maintained at 20 °C ± 5 °C throughout the test. There shall be no intentional cooling of the UUT such as by use of separately powered fans, air conditioners, or heat sinks. The UUT shall be conditioned, rested, and tested on a thermally nonconductive surface. When not undergoing active testing, batteries shall be stored at 20 °C ± 5 °C. 3.1.4. Verifying the UUT’s Input Voltage and Input Frequency (a) If the UUT is intended for operation on AC line-voltage input in the United States, it shall be tested at 115 V at 60 Hz. If the UUT is intended for operation on AC line-voltage input but cannot be operated at 115 V at 60 Hz, it shall not be tested. (b) If a charger is powered by a low-voltage DC or AC input, and the manufacturer packages the charger with a wall adapter, sells, or recommends an optional wall adapter capable of providing that low voltage input, then the charger shall be tested using that wall adapter and the input reference source shall be 115 V at 60 Hz. If the wall adapter cannot be operated with AC input voltage at 115 V at 60 Hz, the charger shall not be tested. (c) If the UUT is designed for operation only on DC input voltage and the provisions of section 3.1.4(b) of this appendix do not apply, it shall be tested with one of the E:\FR\FM\12DER5.SGM 12DER5 89824 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations following input voltages: 5.0 V DC for products drawing power from a computer USB port or the midpoint of the rated input voltage range for all other products. The input voltage shall be within ±1 percent of the above specified voltage. (d) If the input voltage is AC, the input frequency shall be within ±1 percent of the specified frequency. The THD of the input voltage shall be ≤2 percent, up to and including the 13th harmonic. The crest factor of the input voltage shall be between 1.34 and 1.49. (e) If the input voltage is DC, the AC ripple voltage (RMS) shall be: (1) ≤0.2 V for DC voltages up to 10 V; or (2) ≤2 percent of the DC voltage for DC voltages over 10 V. 3.2. Unit Under Test Setup Requirements 3.2.1. General Setup (a) The battery charger system shall be prepared and set up in accordance with the manufacturer’s instructions, except where those instructions conflict with the requirements of this test procedure. If no instructions are given, then factory or ‘‘default’’ settings shall be used, or where there are no indications of such settings, the UUT shall be tested in the condition as it would be supplied to an end user. (b) If the battery charger has user controls to select from two or more charge rates (such as regular or fast charge) or different charge currents, the test shall be conducted at the fastest charge rate that is recommended by the manufacturer for everyday use, or, failing any explicit recommendation, the factorydefault charge rate. If the charger has user controls for selecting special charge cycles that are recommended only for occasional use to preserve battery health, such as equalization charge, removing memory, or battery conditioning, these modes are not required to be tested. The settings of the controls shall be listed in the report for each test. 3.2.2. Selection and Treatment of the Battery Charger The UUT, including the battery charger and its associated battery, shall be new products of the type and condition that would be sold to a customer. If the battery is lead-acid chemistry and the battery is to be stored for more than 24 hours between its initial acquisition and testing, the battery shall be charged before such storage. 3.2.3. Selection of Batteries To Use for Testing (a) For chargers with integral batteries, the battery packaged with the charger shall be used for testing. For chargers with detachable batteries, the battery or batteries to be used for testing will vary depending on whether there are any batteries packaged with the battery charger. (1) If batteries are packaged with the charger, batteries for testing shall be selected from the batteries packaged with the battery charger, according to the procedure in section 3.2.3(b) of this appendix. (2) If no batteries are packaged with the charger, but the instructions specify or recommend batteries for use with the charger, batteries for testing shall be selected from those recommended or specified in the instructions, according to the procedure in section 3.2.3(b) of this appendix. (3) If no batteries are packaged with the charger and the instructions do not specify or recommend batteries for use with the charger, batteries for testing shall be selected from any that are suitable for use with the charger, according to the procedure in section 3.2.3(b) of this appendix. (b)(1) From the detachable batteries specified above, use Table 3.2.1 of this appendix to select the batteries to be used for testing, depending on the type of battery charger being tested. The battery charger types represented by the rows in the table are mutually exclusive. Find the single applicable row for the UUT, and test according to those requirements. Select only the single battery configuration specified for the battery charger type in Table 3.2.1 of this appendix. (2) If the battery selection criteria specified in Table 3.2.1 of this appendix results in two or more batteries or configurations of batteries of different chemistries, but with equal voltage and capacity ratings, determine the maintenance mode power, as specified in section 3.3.9 of this appendix, for each of the batteries or configurations of batteries, and select for testing the battery or configuration of batteries with the highest maintenance mode power. (c) A charger is considered as: (1) Single-capacity if all associated batteries have the same nameplate battery charge capacity (see definition) and, if it is a batch charger, all configurations of the batteries have the same nameplate battery charge capacity. (2) Multi-capacity if there are associated batteries or configurations of batteries that have different nameplate battery charge capacities. (d) The selected battery or batteries will be referred to as the ‘‘test battery’’ and will be used through the remainder of this test procedure. TABLE 3.2.1—BATTERY SELECTION FOR TESTING Type of charger Tests to perform Multi-voltage Multi-port Multi-capacity Battery selection (from all configurations of all associated batteries) No .................. No .................. No .................. No ................. No ................. Yes ............... No ................. Yes ............... Yes or No ..... Yes ................ No ................. No ................. Any associated battery. Highest charge capacity battery. Use all ports. Use the maximum number of identical batteries with the highest nameplate battery charge capacity that the charger can accommodate. Highest voltage battery. Yes ................ Yes to either or both Use all ports. Use the battery or configuration of batteries with the highest individual voltage. If multiple batteries meet this criteria, then use the battery or configuration of batteries with the highest total nameplate battery charge capacity at the highest individual voltage. mstockstill on DSK3G9T082PROD with RULES5 3.2.4. Limiting Other Non-Battery-Charger Functions (a) If the battery charger or product containing the battery charger does not have any additional functions unrelated to battery charging, this subsection may be skipped. (b) Any optional functions controlled by the user and not associated with the battery charging process (e.g., the answering machine in a cordless telephone charging base) shall be switched off. If it is not possible to switch such functions off, they shall be set to their lowest power-consuming mode during the test. VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 (c) If the battery charger takes any physically separate connectors or cables not required for battery charging but associated with its other functionality (such as phone lines, serial or USB connections, Ethernet, cable TV lines, etc.), these connectors or cables shall be left disconnected during the testing. (d) Any manual on-off switches specifically associated with the battery charging process shall be switched on for the duration of the charge, maintenance, and nobattery mode tests, and switched off for the off mode test. PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 3.2.5. Accessing the Battery for the Test (a) The technician may need to disassemble the end-use product or battery charger to gain access to the battery terminals for the Battery Discharge Energy Test in section 3.3.8 of this appendix. If the battery terminals are not clearly labeled, the technician shall use a voltmeter to identify the positive and negative terminals. These terminals will be the ones that give the largest voltage difference and are able to deliver significant current (0.2 C or 1/hr) into a load. E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations (b) All conductors used for contacting the battery must be cleaned and burnished prior to connecting in order to decrease voltage drops and achieve consistent results. (c) Manufacturer’s instructions for disassembly shall be followed, except those instructions that: (1) Lead to any permanent alteration of the battery charger circuitry or function; (2) Could alter the energy consumption of the battery charger compared to that experienced by a user during typical use, e.g., due to changes in the airflow through the enclosure of the UUT; or (3) Conflict requirements of this test procedure. (d) Care shall be taken by the technician during disassembly to follow appropriate safety precautions. If the functionality of the device or its safety features is compromised, the product shall be discarded after testing. (e) Some products may include protective circuitry between the battery cells and the remainder of the device. If the manufacturer provides a description for accessing the connections at the output of the protective circuitry, these connections shall be used to discharge the battery and measure the discharge energy. The energy consumed by the protective circuitry during discharge shall not be measured or credited as battery energy. (f) If the technician, despite diligent effort and use of the manufacturer’s instructions, encounters any of the following conditions noted immediately below, the Battery Discharge Energy and the Charging and Maintenance Mode Energy shall be reported as ‘‘Not Applicable’’: (1) Inability to access the battery terminals; (2) Access to the battery terminals destroys charger functionality; or (3) Inability to draw current from the test battery. 3.2.6. Determining Charge Capacity for Batteries With No Rating (a) If there is no rating for the battery charge capacity on the battery or in the instructions, then the technician shall determine a discharge current that meets the following requirements. The battery shall be fully charged and then discharged at this constant-current rate until it reaches the endof-discharge voltage specified in Table 3.3.2 of this appendix. The discharge time must be not less than 4.5 hours nor more than 5 hours. In addition, the discharge test (section 3.3.8 of this appendix) (which may not be starting with a fully-charged battery) shall reach the end-of-discharge voltage within 5 hours. The same discharge current shall be used for both the preparations step (section 3.3.4 of this appendix) and the discharge test 89825 (section 3.3.8 of this appendix). The test report shall include the discharge current used and the resulting discharge times for both a fully-charged battery and for the discharge test. (b) For this section, the battery is considered as ‘‘fully charged’’ when either: it has been charged by the UUT until an indicator on the UUT shows that the charge is complete; or it has been charged by a battery analyzer at a current not greater than the discharge current until the battery analyzer indicates that the battery is fully charged. (c) When there is no capacity rating, a suitable discharge current must generally be determined by trial and error. Since the conditioning step does not require constantcurrent discharges, the trials themselves may also be counted as part of battery conditioning. 3.3. Test Measurement The test sequence to measure the battery charger energy consumption is summarized in Table 3.3.1 of this appendix, and explained in detail in this appendix. Measurements shall be made under test conditions and with the equipment specified in sections 3.1 and 3.2 of this appendix. TABLE 3.3.1—TEST SEQUENCE Equipment needed Step/Description 1. 2. 3. 4. 5. 6. Record general data on UUT; Section 3.3.1 ......................... Determine test duration; Section 3.3.2 .................................. Battery conditioning; Section 3.3.3 ........................................ Prepare battery for charge test; Section 3.3.4 ...................... Battery rest period; Section 3.3.5 .......................................... Conduct Charge Mode and Battery Maintenance Mode Test; Section 3.3.6. 7. Battery Rest Period; Section 3.3.7 ........................................ 8. Battery Discharge Energy Test; Section 3.3.8 ...................... 9. Determining the Maintenance Mode Power; Section 3.3.9 ... 10. Calculating the 24-Hour Energy Consumption; Section 3.3.10. 11. Standby Mode Test; Section 3.3.11 .................................... 12. Off Mode Test; Section 3.3.12 ............................................. mstockstill on DSK3G9T082PROD with RULES5 3.3.1. Recording General Data on the UUT The technician shall record: (a) The manufacturer and model of the battery charger; (b) The presence and status of any additional functions unrelated to battery charging; (c) The manufacturer, model, and number of batteries in the test battery; (d) The nameplate battery voltage of the test battery; (e) The nameplate battery charge capacity of the test battery; and (f) The nameplate battery charge energy of the test battery. VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 Test battery Charger Battery analyzer or constantcurrent load Yes ................ No .................. No .................. No .................. No .................. Yes ................ X ................ X X X X X ................ X X ................ X ................ ................ X ................ ................ ................ ................ ................ ................ ................ ................ X ...................... ...................... ...................... ...................... X ...................... No .................. Yes ................ Yes ................ No .................. X X X ................ ................ ................ X ................ ................ X ................ ................ ................ ................ X ................ X ...................... ...................... ...................... Yes ................ Yes ................ ................ ................ X X ................ ................ X X ...................... ...................... Data taken? (g) The settings of the controls, if battery charger has user controls to select from two or more charge rates. 3.3.2. Determining the Duration of the Charge and Maintenance Mode Test (a) The charging and maintenance mode test, described in detail in section 3.3.6 of this appendix, shall be 24 hours in length or longer, as determined by the items below. Proceed in order until a test duration is determined. (1) If the battery charger has an indicator to show that the battery is fully charged, that indicator shall be used as follows: If the indicator shows that the battery is charged after 19 hours of charging, the test shall be PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 AC power meter Thermometer (for flooded lead-acid battery chargers only) terminated at 24 hours. Conversely, if the full-charge indication is not yet present after 19 hours of charging, the test shall continue until 5 hours after the indication is present. (2) If there is no indicator, but the manufacturer’s instructions indicate that charging this battery or this capacity of battery should be complete within 19 hours, the test shall be for 24 hours. If the instructions indicate that charging may take longer than 19 hours, the test shall be run for the longest estimated charge time plus 5 hours. (3) If there is no indicator and no time estimate in the instructions, but the charging current is stated on the charger or in the E:\FR\FM\12DER5.SGM 12DER5 89826 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations instructions, calculate the test duration as the longer of 24 hours or: 3.3.3. Battery Conditioning (a) No conditioning is to be done on lithium-ion batteries. The test technician shall proceed directly to battery preparation, section 3.3.4 of this appendix, when testing chargers for these batteries. (b) Products with integral batteries will have to be disassembled per the instructions in section 3.2.5 of this appendix, and the battery disconnected from the charger for discharging. (c) Batteries of other chemistries that have not been previously cycled are to be conditioned by performing two charges and two discharges, followed by a charge, as below. No data need be recorded during battery conditioning. (1) The test battery shall be fully charged for the duration specified in section 3.3.2 of this appendix or longer using the UUT. (2) The test battery shall then be fully discharged using either: (i) A battery analyzer at a rate not to exceed 1 C, until its average cell voltage under load reaches the end-of-discharge voltage specified in Table 3.3.2 of this appendix for the relevant battery chemistry; or (ii) The UUT, until the UUT ceases operation due to low battery voltage. (3) The test battery shall again be fully charged as in step (c)(1) of this section. (4) The test battery shall again be fully discharged as per step (c)(2) of this section. (5) The test battery shall be again fully charged as in step (c)(1) of this section. (d) Batteries of chemistries, other than lithium-ion, that are known to have been through at least two previous full charge/ discharge cycles shall only be charged once per step (c)(5), of this section. mstockstill on DSK3G9T082PROD with RULES5 3.3.4. Preparing the Battery for Charge Testing Following any conditioning prior to beginning the battery charge test (section 3.3.6 of this appendix), the test battery shall be fully discharged for the duration specified in section 3.3.2 of this appendix, or longer using a battery analyzer. 3.3.5. Resting the Battery The test battery shall be rested between preparation and the battery charge test. The rest period shall be at least one hour and not exceed 24 hours. For batteries with flooded cells, the electrolyte temperature shall be less than 30 °C before charging, even if the rest period must be extended longer than 24 hours. 3.3.6. Testing Charge Mode and Battery Maintenance Mode (a) The Charge and Battery Maintenance Mode test measures the energy consumed during charge mode and some time spent in VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 the maintenance mode of the UUT. Functions required for battery conditioning that happen only with some user-selected switch or other control shall not be included in this measurement. (The technician shall manually turn off any battery conditioning cycle or setting.) Regularly occurring battery conditioning or maintenance functions that are not controlled by the user will, by default, be incorporated into this measurement. (b) During the measurement period, input power values to the UUT shall be recorded at least once every minute. (1) If possible, the technician shall set the data logging system to record the average power during the sample interval. The total energy is computed as the sum of power samples (in watts) multiplied by the sample interval (in hours). (2) If this setting is not possible, then the power analyzer shall be set to integrate or accumulate the input power over the measurement period and this result shall be used as the total energy. (c) The technician shall follow these steps: (1) Ensure that the user-controllable device functionality not associated with battery charging and any battery conditioning cycle or setting are turned off, as instructed in section 3.2.4 of this appendix; (2) Ensure that the test battery used in this test has been conditioned, prepared, discharged, and rested as described in sections 3.3.3 through 3.3.5 of this appendix; (3) Connect the data logging equipment to the battery charger; (4) Record the start time of the measurement period, and begin logging the input power; (5) Connect the test battery to the battery charger within 3 minutes of beginning logging. For integral battery products, connect the product to a cradle or wall adapter within 3 minutes of beginning logging; (6) After the test battery is connected, record the initial time and power (W) of the input current to the UUT. These measurements shall be taken within the first 10 minutes of active charging; (7) Record the input power for the duration of the ‘‘Charging and Maintenance Mode Test’’ period, as determined by section 3.3.2 of this appendix. The actual time that power is connected to the UUT shall be within ±5 minutes of the specified period; and (8) Disconnect power to the UUT, terminate data logging, and record the final time. 3.3.7. Resting the Battery The test battery shall be rested between charging and discharging. The rest period shall be at least 1 hour and not more than 4 hours, with an exception for flooded cells. For batteries with flooded cells, the electrolyte temperature shall be less than 30 PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 °C before charging, even if the rest period must be extended beyond 4 hours. 3.3.8. Battery Discharge Energy Test (a) If multiple batteries were charged simultaneously, the discharge energy is the sum of the discharge energies of all the batteries. (1) For a multi-port charger, batteries that were charged in separate ports shall be discharged independently. (2) For a batch charger, batteries that were charged as a group may be discharged individually, as a group, or in sub-groups connected in series and/or parallel. The position of each battery with respect to the other batteries need not be maintained. (b) During discharge, the battery voltage and discharge current shall be sampled and recorded at least once per minute. The values recorded may be average or instantaneous values. (c) For this test, the technician shall follow these steps: (1) Ensure that the test battery has been charged by the UUT and rested according to the procedures above. (2) Set the battery analyzer for a constant discharge rate and the end-of-discharge voltage in Table 3.3.2 of this appendix for the relevant battery chemistry. (3) Connect the test battery to the analyzer and begin recording the voltage, current, and wattage, if available from the battery analyzer. When the end-of-discharge voltage is reached or the UUT circuitry terminates the discharge, the test battery shall be returned to an open-circuit condition. If current continues to be drawn from the test battery after the end-of-discharge condition is first reached, this additional energy is not to be counted in the battery discharge energy. (d) If not available from the battery analyzer, the battery discharge energy (in watt-hours) is calculated by multiplying the voltage (in volts), current (in amperes), and sample period (in hours) for each sample, and then summing over all sample periods until the end-of-discharge voltage is reached. 3.3.9. Determining the Maintenance Mode Power After the measurement period is complete, the technician shall determine the average maintenance mode power consumption by examining the power-versus-time data from the charge and maintenance test and: (a) If the maintenance mode power is cyclic or shows periodic pulses, compute the average power over a time period that spans a whole number of cycles and includes at least the last 4 hours. (b) Otherwise, calculate the average power value over the last 4 hours. 3.3.10. Determining the 24-Hour Energy Consumption The accumulated energy or the average input power, integrated over the test period E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.027</GPH> (b) If none of the above applies, the duration of the test shall be 24 hours. Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations from the charge and maintenance mode test, 89827 shall be used to calculate 24-hour energy consumption. TABLE 3.3.2—REQUIRED BATTERY DISCHARGE RATES AND END-OF-DISCHARGE BATTERY VOLTAGES Discharge rate (C) Battery chemistry Valve-Regulated Lead Acid (VRLA) ........................................................................................................ Flooded Lead Acid ................................................................................................................................... Nickel Cadmium (NiCd) ........................................................................................................................... Nickel Metal Hydride (NiMH) ................................................................................................................... Lithium Ion (Li-Ion) ................................................................................................................................... Lithium Polymer ....................................................................................................................................... Rechargeable Alkaline ............................................................................................................................. Nanophosphate Lithium Ion ..................................................................................................................... Silver Zinc ................................................................................................................................................ 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 End-of-discharge voltage * (volts per cell) 1.75 1.70 1.0 1.0 2.5 2.5 0.9 2.0 1.2 * If the presence of protective circuitry prevents the battery cells from being discharged to the end-of-discharge voltage specified, then discharge battery cells to the lowest possible voltage permitted by the protective circuitry. mstockstill on DSK3G9T082PROD with RULES5 The standby mode measurement depends on the configuration of the battery charger, as follows. (a) Conduct a measurement of standby power consumption while the battery charger is connected to the power source. Disconnect the battery from the charger, allow the charger to operate for at least 30 minutes, and record the power (i.e., watts) consumed as the time series integral of the power consumed over a 10-minute test period, divided by the period of measurement. If the battery charger has manual on-off switches, all must be turned on for the duration of the standby mode test. (b) Standby mode may also apply to products with integral batteries. If the product uses a cradle and/or adapter for power conversion and charging, then ‘‘disconnecting the battery from the charger’’ will require disconnection of the end-use product, which contains the batteries. The other enclosures of the battery charging system will remain connected to the main electricity supply, and standby mode power consumption will equal that of the cradle and/or adapter alone. (c) If the product is powered through a detachable AC power cord and contains integrated power conversion and charging circuitry, then only the cord will remain connected to mains, and standby mode Where: E24 = 24-hour energy as determined in section 3.3.10 of this appendix, VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 power consumption will equal that of the AC power cord (i.e., zero watts). (d) Finally, if the product contains integrated power conversion and charging circuitry but is powered through a nondetachable AC power cord or plug blades, then no part of the system will remain connected to mains, and standby mode measurement is not applicable. 3.3.12. Off Mode Energy Consumption Measurement The off mode measurement depends on the configuration of the battery charger, as follows. (a) If the battery charger has manual on-off switches, record a measurement of off mode energy consumption while the battery charger is connected to the power source. Remove the battery from the charger, allow the charger to operate for at least 30 minutes, and record the power (i.e., watts) consumed as the time series integral of the power consumed over a 10-minute test period, divided by the period of measurement, with all manual on-off switches turned off. If the battery charger does not have manual on-off switches, record that the off mode measurement is not applicable to this product. (b) Off mode may also apply to products with integral batteries. If the product uses a cradle and/or adapter for power conversion and charging, then ‘‘disconnecting the battery from the charger’’ will require disconnection Ebatt = Measured battery energy as determined in section 3.3.8 of this appendix, PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 of the end-use product, which contains the batteries. The other enclosures of the battery charging system will remain connected to the main electricity supply, and off mode power consumption will equal that of the cradle and/or adapter alone. (c) If the product is powered through a detachable AC power cord and contains integrated power conversion and charging circuitry, then only the cord will remain connected to mains, and off mode power consumption will equal that of the AC power cord (i.e., zero watts). (d) Finally, if the product contains integrated power conversion and charging circuitry but is powered through a nondetachable AC power cord or plug blades, then no part of the system will remain connected to mains, and off mode measurement is not applicable. 3.3.13. Unit Energy Consumption Calculation Unit energy consumption (UEC) shall be calculated for a battery charger using one of the two equations (equation (i) or equation (ii)) listed in this section. If a battery charger is tested and its charge duration as determined in section 3.3.2 of this appendix minus 5 hours is greater than the threshold charge time listed in table 3.3.3 of this appendix (i.e. (tcd ¥ 5) * n > ta&m), equation (ii) shall be used to calculate UEC; otherwise a battery charger’s UEC shall be calculated using equation (i). Pm = Maintenance mode power as determined in section 3.3.9 of this appendix, Psb = Standby mode power as determined in section 3.3.11 of this appendix, E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.020</GPH> 3.3.11. Standby Mode Energy Consumption Measurement 89828 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations Poff = Off mode power as determined in section 3.3.12 of this appendix, tcd = Charge test duration as determined in section 3.3.2 of this appendix, and ta&m, n, tsb, and toff, are constants used depending upon a device’s product class and found in the following table: TABLE 3.3.3—BATTERY CHARGER USAGE PROFILES Product class Hours per day *** Charges (n) Threshold charge time * Number per day Hours Number Description Rated battery energy (ebatt) ** Special characteristic or battery voltage 1 ........ Low-Energy ...................... ≤5 Wh ................ 20.66 0.10 0.00 0.15 137.73 2 ........ 3 ........ Low-Energy, Low-Voltage Low-Energy, MediumVoltage. Low-Energy, High-Voltage Medium-Energy, LowVoltage. Medium-Energy, HighVoltage. High-Energy ..................... <100 Wh ............ Inductive Connection ****. <4 V ................... 4–10 V ............... 7.82 6.42 5.29 0.30 0.00 0.00 0.54 0.10 14.48 64.20 >10 V ................. <20 V ................. 16.84 6.52 0.91 1.16 0.00 0.00 0.50 0.11 33.68 59.27 ≥20 V ................. 17.15 6.85 0.00 0.34 50.44 ....................... 8.14 7.30 0.00 0.32 25.44 4 ........ 5 ........ 6 ........ 7 ........ 100–3000 Wh .... >3000 Wh .......... Active + maintenance (ta&m) Standby (tsb) Off (toff) * If the duration of the charge test (minus 5 hours) as determined in section 3.3.2 of appendix Y to subpart B of this part exceeds the threshold charge time, use equation (ii) to calculate UEC otherwise use equation (i). ** Ebatt = Rated battery energy as determined in 10 CFR part 429.39(a). *** If the total time does not sum to 24 hours per day, the remaining time is allocated to unplugged time, which means there is 0 power consumption and no changes to the UEC calculation needed. **** Inductive connection and designed for use in a wet environment (e.g. electric toothbrushes). 4. Testing Requirements for Uninterruptible Power Supplies Test the UUT on a thermally nonconductive surface. 4.1. Standard Test Conditions 4.1.3. Input Voltage and Input Frequency The AC input voltage and frequency to the UPS during testing must be within 3 percent of the highest rated voltage and within 1 percent of the highest rated frequency of the device. 4.1.1. Measuring Equipment (a) The power or energy meter must provide true root mean square (r. m. s) measurements of the active input and output measurements, with an uncertainty at full rated load of less than or equal to 0.5% at the 95% confidence level notwithstanding that voltage and current waveforms can include harmonic components. The meter must measure input and output values simultaneously. (b) All measurement equipment used to conduct the tests must be calibrated within the measurement equipment manufacturer specified calibration period by a standard traceable to International System of Units such that measurements meet the uncertainty requirements specified in section 4.1.1(a) of this appendix. mstockstill on DSK3G9T082PROD with RULES5 4.1.2. Test Room Requirements All portions of the test must be carried out in a room with an air speed immediately surrounding the UUT of ≤0.5 m/s in all directions. Maintain the ambient temperature in the range of 20.0 °C to 30.0 °C, including all inaccuracies and uncertainties introduced by the temperature measurement equipment, throughout the test. No intentional cooling of the UUT, such as by use of separately powered fans, air conditioners, or heat sinks, is permitted. VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 4.2. Unit Under Test Setup Requirements 4.2.1. General Setup Configure the UPS according to Annex J.2 of IEC 62040–3 Ed. 2.0 (incorporated by reference, see § 430.3) with the following additional requirements: (a) UPS Operating Mode Conditions. If the UPS can operate in two or more distinct normal modes as more than one UPS architecture, conduct the test in its lowest input dependency as well as in its highest input dependency mode where VFD represents the lowest possible input dependency, followed by VI and then VFI. (b) Energy Storage System. The UPS must not be modified or adjusted to disable energy storage charging features. Minimize the transfer of energy to and from the energy storage system by ensuring the energy storage system is fully charged (at the start of testing) as follows: (1) If the UUT has a battery charge indicator, charge the battery for 5 hours after the UUT has indicated that it is fully charged. PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 (2) If the UUT does not have a battery charge indicator but the user manual shipped with the UUT specifies a time to reach full charge, charge the battery for 5 hours longer than the time specified. (3) If the UUT does not have a battery charge indicator or user manual instructions, charge the battery for 24 hours. (c) DC output port(s). All DC output port(s) of the UUT must remain unloaded during testing. 4.2.2. Additional Features (a) Any feature unrelated to maintaining the energy storage system at full charge or delivery of load power (e.g., LCD display) shall be switched off. If it is not possible to switch such features off, they shall be set to their lowest power-consuming mode during the test. (b) If the UPS takes any physically separate connectors or cables not required for maintaining the energy storage system at full charge or delivery of load power but associated with other features (such as serial or USB connections, Ethernet, etc.), these connectors or cables shall be left disconnected during the test. (c) Any manual on-off switches specifically associated with maintaining the energy storage system at full charge or delivery of load power shall be switched on for the duration of the test. E:\FR\FM\12DER5.SGM 12DER5 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations 4.3. Test Measurement and Calculation Efficiency can be calculated from either average power or accumulated energy. 4.3.1. Average Power Calculations If efficiency calculation are to be made using average power, calculate the average power consumption (Pavg) by sampling the power at a rate of at least 1 sample per second and computing the arithmetic mean of all samples over the time period specified for each test as follows: Where: Pavg = average power Pi = power measured during individual measurement (i) n = total number of measurements 4.3.2. Steady State Operate the UUT and the load for a sufficient length of time to reach steady state conditions. To determine if steady state conditions have been attained, perform the following steady state check, in which the difference between Pavg_out is the average output power in watts Pavg_in is the average input power in watts (c) Wait a minimum of 10 minutes. (d) Repeat the steps listed in paragraphs (a) and (b) of section 4.3.2 of 4.3.3. Power Measurements and Efficiency Calculations ER12DE16.022</GPH> Measure input and output power of the UUT according to Section J.3 of Annex J of IEC 62040–3 Ed. 2.0 (incorporated by reference, see § 430.3), or measure the input and output energy of the UUT for efficiency calculations with the following exceptions: (a) Test the UUT at the following reference test load conditions, in the following order: 100 percent, 75 percent, 50 percent, and 25 percent of the rated output power. (b) Perform the test at each of the reference test loads by simultaneously measuring the UUT’s input and output power in Watts (W), or input and output energy in Watt-Hours (Wh) over a 15 minute test period at a rate of at least 1 Hz. Calculate the efficiency for that reference load using one of the following two equations: VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 PO 00000 Frm 00025 Fmt 4701 Sfmt 4725 E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.021</GPH> mstockstill on DSK3G9T082PROD with RULES5 If the percentage difference of Eff1 and Eff2 as described in the equation, is less than 1 percent, the product is at steady state. (f) If the percentage difference is greater than or equal to 1 percent, the product is not at steady state. Repeat the steps listed in paragraphs (c) to (e) of section 4.3.2 of this appendix until the product is at steady state. this appendix to calculate another efficiency value, Eff2. (e) Determine if the product is at steady state using the following equation: ER12DE16.025</GPH> Ein in the accumulated input energy in watthours ER12DE16.024</GPH> Where: Eff is the UUT efficiency Eout is the accumulated output energy in watt-hours the two efficiency calculations must be less than 1 percent: (a)(1) Simultaneously measure the UUT’s input and output power for at least 5 minutes, as specified in section 4.3.1 of this appendix, and record the average of each over the duration as Pavg_in and Pavg_out, respectively. Or, (2) Simultaneously measure the UUT’s input and output energy for at least 5 minutes and record the accumulation of each over the duration as Ein and Eout, respectively. (b) Calculate the UUT’s efficiency, Eff1, using one of the following two equations: ER12DE16.023</GPH> Where: Eff is the UUT efficiency 89829 89830 Federal Register / Vol. 81, No. 238 / Monday, December 12, 2016 / Rules and Regulations Where: Effn% = the efficiency at reference test load n% Pavg_out n% = the average output power at reference load n% Pavg_in n% = the average input power at reference load n% Where: Effn% = the efficiency at reference test load n% Eout n% = the accumulated output energy at reference load n% Ein n% = the accumulated input energy at reference load n% 4.3.4. UUT Classification and VFI (sections 2.28.1 through 2.28.3 of this appendix). Where: Effavg = the average load adjusted efficiency tn% = the portion of time spent at reference test load n% as specified in Table 4.3.1 Optional Test for determination of UPS architecture. Determine the UPS architecture by performing the tests specified in the definitions of VI, VFD, 4.3.5. Output Efficiency Calculation (a) Use the load weightings from Table 4.3.1 to determine the average load adjusted efficiency as follows: Eff|n% = the measured efficiency at reference test load n% TABLE 4.3.1—LOAD WEIGHTINGS Portion of time spent at reference load Rated output power (W) UPS architecture P ≤ 1500 W ....................................... VFD .................................................. VI or VFI ........................................... VFD, VI, or VFI ................................ 25% P > 1500 W ....................................... 50% 0.2 0* 0* 75% 0.2 0.3 0.3 100% 0.3 0.4 0.4 0.3 0.3 0.3 * Measuring efficiency at loading points with 0 time weighting is not required. (b) Round the calculated efficiency value to one tenth of a percentage point. [FR Doc. 2016–28972 Filed 12–9–16; 8:45 am] ER12DE16.029</GPH> VerDate Sep<11>2014 21:43 Dec 09, 2016 Jkt 241001 PO 00000 Frm 00026 Fmt 4701 Sfmt 9990 E:\FR\FM\12DER5.SGM 12DER5 ER12DE16.026</GPH> mstockstill on DSK3G9T082PROD with RULES5 BILLING CODE 6450–01–P

## Agencies

[Federal Register Volume 81, Number 238 (Monday, December 12, 2016)]
[Rules and Regulations]
[Pages 89806-89830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-28972]

[[Page 89805]]

Vol. 81

Monday,

No. 238

December 12, 2016

Part V

Department of Energy

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10 CFR Parts 429 and 430

Energy Conservation Program: Test Procedure for Uninterruptible Power
Supplies; Final Rule

Federal Register / Vol. 81 , No. 238 / Monday, December 12, 2016 /
Rules and Regulations

[[Page 89806]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2016-BT-TP-0018]

Energy Conservation Program: Test Procedure for Uninterruptible
Power Supplies

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

ACTION: Final rule.

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SUMMARY: The U.S. Department of Energy (DOE) is revising its battery
charger test procedure established under the Energy Policy and
Conservation Act of 1975, as amended. These revisions will add a
discrete test procedure for uninterruptible power supplies (UPSs) to
the current battery charger test procedure.

DATES: The effective date of this rule is January 11, 2017. The final
rule changes will be mandatory for representations starting June 12,
2017. The incorporation by reference of certain publications listed in
this rule is approved by the Director of the Federal Register on
January 11, 2017.

ADDRESSES: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts, comments, and other supporting
documents/materials, is available for review at www.regulations.gov.
All documents in the docket are listed in the www.regulations.gov
index. However, some documents listed in the index, such as those
containing information that is exempt from public disclosure, may not
be publicly available.
A link to the docket Web page can be found at https://www.regulations.gov/docket?D=EERE-2016-BT-TP-0018. The docket Web page
will contain simple instructions on how to access all documents,
including public comments, in the docket.
For further information on how to review the docket, contact the
Appliance and Equipment Standards Program staff at (202) 586-6636 or by
email: ApplianceStandardsQuestions@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: Jeremy Dommu, U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington,
DC 20585-0121. Telephone: (202) 586-9870. Email:
ApplianceStandardsQuestions@ee.doe.gov.
Pete Cochran, U.S. Department of Energy, Office of the General
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9496. Email: Peter.Cochran@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference
the following industry standards into 10 CFR part 430:
1. ANSI/NEMA WD 6-2016, Wiring Devices--Dimensional
Specifications'', ANSI approved February 11, 2016, Figure 1-15 and
Figure 5-15.
Copies of ANSI/NEMA WD 6-2016 can be obtained from American
National Standards Institute, 25 W. 43rd Street, 4th Floor, New York,
NY 10036, 212-642-4900, or by going to http://www.ansi.org
2. IEC 62040-3, Uninterruptible power systems (UPS)--Part 3:
Methods of specifying the performance and test requirements,'' Edition
2.0, 2011-03, Section 5.2.1, Clause 5.2.2.k, Clause 5.3.2.d, Clause
5.3.2.e, Section 5.3.4, Section 6.2.2.7, Section 6.4.1 (except 6.4.1.3,
6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10),
Annex G, and Annex J.
Copies of the IEC 62040-3 Ed. 2.0 standard are available from the
American National Standards Institute, 25 W. 43rd Street, 4th Floor,
New York, NY 10036, or at http://webstore.ansi.org/.
For further discussion of these standards, see section IV.N.

I. Authority and Background
II. Synopsis of the Final Rule
III. Discussion
A. Covered Products and Scope
B. Existing Test Procedures and Standards Incorporated by
Reference
C. Definitions
1. Reference Test Load
2. Uninterruptible Power Supply
3. Input Dependency
4. Normal Mode
D. Test Conditions
1. Accuracy and Precision of Measuring Equipment
2. Environmental Conditions
3. Input Voltage and Frequency
E. Battery Configuration
F. Product Configuration
G. Average Power and Efficiency Calculation
1. Average Power
2. Efficiency
H. Output Metric
I. Effective Date of and Compliance With Test Procedure
J. Sampling Plan for Determination of Certified Rating
K. Certification Reports
L. Sample Represented Value Derivation
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

I. Authority and Background

Title III of the Energy Policy and Conservation Act of 1975 (42
U.S.C. 6291, et seq.; EPCA'' or, the Act'') sets forth a variety of
provisions designed to improve energy efficiency.\1\ Part B \2\ of
title III, established the Energy Conservation Program for Consumer
Products Other Than Automobiles. Battery chargers are among the
consumer products affected by these provisions. (42 U.S.C. 6295(u))
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\1\ All references to EPCA refer to the statute as amended
through the Energy Efficiency Improvement Act, Public Law 114-11
(April 30, 2015).
\2\ For editorial reasons, Part B was redesignated as Part A
upon incorporation into the U.S. Code (42 U.S.C. 6291-6309, as
codified).
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Under EPCA, the energy conservation program consists essentially of
four parts: (1) Testing, (2) labeling, (3) federal energy conservation
standards, and (4) certification and enforcement procedures. The
testing requirements consist of test procedures that manufacturers of
covered products must use as the basis for (1) certifying to DOE that
their products comply with the applicable energy conservation standards
adopted under EPCA, and (2) making representations about the efficiency
of those products. Similarly, DOE must use these test procedures to
determine whether the products comply with any relevant standards
promulgated under EPCA.

General Test Procedure Rulemaking Process

Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA provides in relevant part that any test
procedures prescribed or amended under this section shall be reasonably
designed to produce test results which

[[Page 89807]]

measure energy efficiency, energy use or estimated annual operating
cost of a covered product during a representative average use cycle or
period of use and shall not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))
In addition, if DOE determines that a test procedure amendment is
warranted, it must publish proposed test procedures and offer the
public an opportunity to present oral and written comments on them. (42
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test
procedure, DOE must determine to what extent, if any, the proposed test
procedure would alter the measured energy efficiency of any covered
product as determined under the existing test procedure. (42 U.S.C.
6293(e)(1))

Background

DOE previously published a notice of proposed rulemaking (NOPR) on
March 27, 2012, regarding energy conservation standards for battery
chargers and external power supplies (March 2012 NOPR) in which it
proposed standards for battery chargers, including uninterruptible
power supplies (UPSs). 77 FR 18478.
Following the publication of this March 2012 NOPR, DOE explored
whether to regulate UPSs as computer systems.'' See, e.g., 79 FR
11345 (Feb. 28, 2014) (proposed coverage determination); 79 FR 41656
(July 17, 2014) (computer systems framework document). DOE received a
number of comments in response to those documents (and the related
public meetings) regarding testing of UPSs, which are discussed in the
May 2016 NOPR. DOE also received questions and requests for
clarification regarding the testing, rating, and classification of
battery chargers.
As part of the continuing effort to establish federal energy
conservation standards for battery chargers and to develop a clear and
widely applicable test procedure, DOE published a notice of data
availability (May 2014 NODA) on May 15, 2014. 79 FR 27774. This NODA
sought comments from stakeholders concerning the repeatability of the
test procedure when testing battery chargers with several consumer
configurations, and concerning the future market penetration of new
battery charging technologies that may require revisions to the battery
charger test procedure. DOE also sought comments on the reporting
requirements for manufacturers attempting to comply with the California
Energy Commission's (CEC's) efficiency standards for battery chargers
in order to understand certain data discrepancies in the CEC database.
These issues were discussed during DOE's May 2014 NODA public meeting
on June 3, 2014.
Based upon discussions from the May 2014 NODA public meeting and
written comments submitted by various stakeholders, DOE published a
NOPR (August 2015 NOPR) to revise the current battery charger test
procedure. 80 FR 46855 (Aug. 6, 2015). DOE received a number of
stakeholder comments on the August 2015 NOPR and the computer systems
framework document regarding regulation of battery chargers including
UPSs. After considering these comments, DOE reconsidered its position
and found that because a UPS meets the definition of a battery charger,
it is more appropriate to regulate UPSs as part of the battery charger
rulemaking. Therefore, DOE issued the May 2016 NOPR, which proposed to
add a discrete test procedure for UPS to the existing battery charger
test procedure. This final rule adopts the proposals discussed in the
May 2016 NOPR, along with revisions suggested by stakeholder comments.

II. Synopsis of the Final Rule

This final rule adds provisions for testing UPSs to the battery
charger test procedure. Specifically, DOE is incorporating by reference
specific sections of the IEC 62040-3 Ed. 2.0 standard, with additional
instructions, into the current battery charger test procedure published
at appendix Y to subpart B of 10 CFR part 430. This final rule also
adds formal definitions of uninterruptible power supply, voltage and
frequency dependent UPS, voltage independent UPS, voltage and frequency
independent UPS, energy storage system, normal mode and reference test
load to appendix Y to subpart B of 10 CFR part 430 and revises the
compliance certification requirements for battery chargers published at
10 CFR 429.39. Table II.1 shows the significant changes since the May
2016 NOPR.

Table II.1--Summary of Significant Changes
------------------------------------------------------------------------
Sections                May 2016 NOPR          Final rule
------------------------------------------------------------------------
429.39......................   Proposed a    Adopted the
sampling plan for     proposed sampling
compliance            plan for compliance
certification based   certification based
on the test results   on the test results
of at least 2 units   of at least 2 units
per basic model.      per basic model.
for manufacturers
to certify
compliance based on
the test results of
a single unit per
basic model.
1. Scope....................   Proposed      Adopted
scope covered all     scope covers all
products that met     products that meet
the proposed          the adopted
definition of a UPS   definition of UPS,
and have an AC        utilize a NEMA 1-
output.               15P or 5-15P input
plug and have an AC
output.
2. Definitions..............   Voltage     Voltage
and frequency         and frequency
independent UPS or    independent UPS or
VFI UPS means a UPS   VFI UPS means a UPS
where the device      where the device
remains in normal     remains in normal
mode producing an     mode producing an
AC output voltage     AC output voltage
and frequency that    and frequency that
is independent of     is independent of
input voltage and     input voltage and
frequency             frequency
variations and        variations and
effects from such     effects from such
variations without    variations without
depleting the         depleting the
stored energy         stored energy
source. The input     source.''
voltage and
frequency
variations through
which the UPS must
remain in normal
mode is as follows:
(1)  10%  ....................
of the rated input
voltage or the
tolerance range
specified by the
manufacturer,
whichever is
greater; and
(2)  2%   ....................
of the rated input
frequency or the
tolerance range
specified by the
manufacturer,
whichever is
greater.''

[[Page 89808]]

Voltage     Voltage
independent UPS or    independent UPS or
VI UPS means a UPS    VI UPS means a UPS
that produces an AC   that produces an AC
output within a       output within a
specific tolerance    specific tolerance
band that is          band that is
independent of        independent of
under-voltage or      under-voltage or
over-voltage          over-voltage
variations in the     variations in the
input voltage         input voltage. The
without depleting     output frequency of
the stored energy     a VI UPS is
source. The output    dependent on the
frequency of a VI     input frequency,
UPS is dependent on   similar to a
the input             voltage and
frequency, similar    frequency dependent
to a voltage and      system.''
frequency dependent
system.''
4. Testing Requirements for    Proposed      Adopted
Uninterruptible Power         that the average      that the average
Supplies.                     power can be          power can only be
calculated either     calculated using
using accumulated     instantaneous
energy or             power.
instantaneous power.
that efficiency can   that efficiency can
only be calculated    be calculated from
from average power.   average power or
accumulated energy.
------------------------------------------------------------------------

III. Discussion

In response to the May 2016 NOPR, DOE received written comments
from six interested parties, including manufacturers, trade
associations, energy efficiency advocacy groups, and a foreign
government.
Table III.1 lists the entities that commented on the May 2016 NOPR
and their affiliation. These comments are discussed in further detail
below, and the full set of comments can be found at: https://www.regulations.gov/docketBrowser?rpp=25&so=DESC&sb=commentDueDate&po=0&dct=PS&D=EERE-2016-BT-TP-0018

Table III.1--Interested Parties That Provided Written Comments on the May 2016 NOPR
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Comment No.
Commenter                           Acronym               Organization type/          (docket
affiliation           reference)
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ARRIS Group, Inc........................  ARRIS.....................  Manufacturer..............            0004
Information Technology Industry Council.  ITI.......................  Trade Association.........            0007
National Electrical Manufacturers         NEMA......................  Trade Association.........            0008
Association.
Natural Resources Defense Council,        NRDC, et al...............  Energy Efficiency                     0006
Appliance Standards Awareness Project,                                Advocates.
Northwest Energy Efficiency Alliance,
Alliance to Save Energy, and American
Council for an Energy Efficient Economy.
People's Republic of China..............  P. R. China...............  Foreign Government........            0009
Schneider Electric......................  Schneider Electric........  Manufacturer..............            0005
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A number of interested parties also provided oral comments at the
June 9, 2016, public meeting. These comments can be found in the public
meeting transcript (Pub. Mtg. Tr.), which is available on the docket.

A. Covered Products and Scope

In the May 2016 NOPR, DOE proposed that all products that meet the
proposed definition of UPS and have an AC output will be subject to the
testing requirements of the proposed test procedure. 81 FR 31545.
During the public meeting held on June 9, 2016, to discuss the May 2016
NOPR, Schneider Electric called the proposed scope broad and argued
that the proposed scope covers UPSs that can operate at power levels
beyond the standard household power plugs. (Schneider Electric, Pub.
Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, pp. 16-17) Schneider Electric
claimed that voltage and frequency dependent (VFD) UPSs exist in a
consumer environment, voltage independent (VI) UPSs may exist in a
consumer environment and voltage and frequency independent (VFI) UPSs
do not exist in a consumer environment and requested that DOE update
the proposed scope of the test procedure to represent what consumers
are purchasing. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE-
2016-BT-TP-0018, pp. 29-30) NEMA requested that DOE adopt the standard
wall plug requirement (12A at 115V) in the scope to differentiate
consumer UPSs from commercial UPSs. (NEMA, Pub. Mtg. Tr., No. 0003,
EERE-2016-BT-TP-0018, p. 22) Further, as part of written stakeholder
comments, Schneider Electric expressed concern that DOE's definition of
consumer products is inadequate to describe the scope of products that
DOE intends to regulate. The range of products within the scope of the
definition of consumer products will be much broader than consumer
products in the marketplace and will include commercial and industrial
applications that are not found in residences due to size and other
criteria. (Schneider Electric, No. 0005, EERE-2016-BT-TP-0018, p. 1)
Schneider Electric requested that DOE identify and add indicators to
differentiate consumer products from commercial products, such as
pluggable Type A equipment as defined by the IEC 60950-1 standard, to
the scope. It reasoned that assumptions regarding covered versus non-
covered products can result in significant effort and expense wasted
redesigning non-covered products or result in significant fines for
failing to redesign products mistakenly and unintentionally thought to
be out of scope. Schneider Electric requested that DOE add the North
American residential mains power, single phase requirement of no more
than 12A to the scope and remove all rack mounted or rack mountable
UPSs and UPSs that require multiphase power from the scope. (Schneider
Electric, No. 0005, EERE-2016-BT-TP-0018, p. 5) Schneider Electric
further pointed out that the proposed load weightings table refers to
UPSs with output powers greater than 1500W, which could include UPSs
that are not specifically targeted for consumers. According to
Schneider Electric, UPSs greater than

[[Page 89809]]

1500W are consistently targeted at commercial and industrial
applications and DOE's attempt to regulate them is not justified by the
scope of EPCA or the Energy Independence and Security Act of 2007
(EISA). Schneider Electric explained that the proposed scope can cause
UPSs that are not intended to be distributed to consumer or in
residential applications to be included within the scope of the test
procedure, inflating savings for the DOE that are clearly not consumer
based. In addition, this causes undue burden on the industry to test
devices which were not intended for consumer applications, but may fall
within the scope. (Schneider Electric, No. 0005, EERE-2016-BT-TP-0018,
p. 8) NEMA requested that DOE narrow the scope of the proposed test
procedure by adding the following parameters: non-rack mounted, FCC
Class B compliant, 12A at 120 V or less, whose input characteristics
are either VFD or VI. NEMA argued that products outside these
parameters are commercial in nature or have power consumption and
electrical characteristics which place them outside the use in typical
consumer environments. (NEMA, No. 0008, EERE-2016-BT-TP-0018, p. 4)
DOE had also solicited comments from stakeholders on the use of
product characteristics, such as capacity, to narrow the scope of
coverage and differentiate between consumer and commercial UPSs in the
computer and battery backup systems framework document published on
July 11, 2014 where DOE explored whether to regulate UPSs as part of
that rulemaking. ITI noted that personal computers are powered using
single residential/office outlet, 5-15 amperes (A) typically. (ITI, No.
0010, EERE-2014-BT-STD-0025, p. 2) ITI also commented that UPSs at home
do not utilize multiphase voltage and the maximum amperage of a single
device on a single branch circuit should be less than or equal to 80
percent of the circuit amperage the limit for which is 15A according to
the National Electrical Code (NEC). (ITI, No. 0010, EERE-2014-BT-STD-
0025, p. 11). Schneider Electric noted that run-time and battery
capacity of the UPS would be inappropriate as a differentiator since
commercial and consumer customers may have similar needs but that
consumer (residential) applications do not exist in excess of 120V and
that the NEC defines residential circuitry amperage limit for a single
branch to be 15 Amps. (Schneider Electric, No 0008, EERE-2014-BT-STD-
0025, p. 8). The Natural Resources Defense Council (NRDC), The
Appliance Standard Awareness Project (ASAP), American Council for an
Energy-Efficient Economy (ACEEE), Consumer Federation of America,
Consumers Union, Northeast Energy Efficiency Partnerships (NEEP), and
Northwest Energy Efficiency Alliance (NEEA) (hereafter referred to as
Joint Responders) also agreed with the use of residential power
circuits for differentiating consumer from commercial UPSs, but
discouraged the use of a standard wall plug as it would eliminate UPSs
capable of running on 240V 3-phase receptacles. (Joint Responders, No.
0013, EERE-2014-BT-STD-0025, p. 6)
In response to Schneider Electric's comment regarding the
definition of consumer product, DOE notes that the definition of this
term in 10 CFR 430.2 is the same as that set forth by Congress in EPCA.
(42 U.S.C. 6291(1)) Further, in the May 2016 NOPR, DOE found that UPSs
meet the definition of battery charger and proposed to define UPS as
a battery charger consisting of a combination of convertors, switches
and energy storage devices, constituting a power system for maintaining
continuity of load power in case of input power failure.'' Battery
chargers are a type of consumer product, defined in EPCA, for which the
statute directs DOE to prescribe test procedures. (42 U.S.C. 6295(u))
Therefore, necessarily, the scope of the battery charger test
procedure, which includes UPSs, only applies to consumer products.
Nonetheless, after considering stakeholder comments regarding the
proposed scope, DOE agrees with NEMA, ITI and Schneider Electric's
suggestion that the scope of the test procedure need not include
products typically used in a commercial or industrial environment.
Accordingly, DOE is limiting the scope of the test procedure to UPSs
that utilize a standard NEMA 1-15P and 5-15P wall plugs. NEMA 1-15P and
5-15P input plugs are designed to mate with NEMA 1-15R and 5-15R
receptacles as specified in ANSI/NEMA WD 6-2016. These receptacles are
the most commonly found outlets in U.S. households with limited use in
products designed to exclusively operate in commercial or industrial
environments because of their restrictive power handling capability.
Specifying NEMA 1-15P and 5-15P plugs in defining the scope of this
test procedure also avoids the need for DOE to further add power
constraints as these plugs are only capable of handling up to 15A of
current at 125V, which limits their maximum power handling capability
to 1875W. DOE is therefore adding the NEMA 1-15P and 5-15P input plug
requirement by incorporating by reference ANSI/NEMA WD 6-2016 standard
into section 1, Scope'', of appendix Y to subpart B of 10 CFR part
430. Hence, any product that meets the definition of a UPS, utilizes a
NEMA 1-15P or 5-15P input plug, and has an AC output is covered under
the testing requirements being adopted in this final rule.
Schneider Electric also inquired whether specific or all DC output
UPSs are excluded from the proposed scope of the test procedure, and if
the proposed scope includes hybrid AC/DC UPSs, UPSs with DC charging,
and UPSs with USB ports. (Schneider Electric, Pub. Mtg. Tr., No. 0003,
EERE-2016-BT-TP-0018, pp. 16-17, 20) (Schneider Electric, No. 0005,
EERE-2016-BT-TP-0018, p. 6) Schneider Electric also requested
clarification on whether UPSs that do not have an AC output socket or
UPSs that do not provide the full power rating through the AC output
socket are excluded from the proposed scope. (Schneider Electric, Pub.
Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, p. 32) Lastly, Schneider
Electric inquired whether the USB ports of a UPS be loaded or unloaded
during testing. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE-
2016-BT-TP-0018, p. 20)
DOE clarifies that all products that meet the definition of UPS,
utilize a NEMA 1-15P or 5-15P input plug, and have AC output(s) are
included in scope under the testing requirements of this final rule.
This includes UPSs with AC output(s) as well as additional DC output(s)
such as but not limited to USB port(s). Similarly, hybrid AC/DC output
UPSs are also included in scope under the testing requirements of this
final rule. All DC output port(s) of an AC output UPS must be unloaded
during testing. DOE is adding specific language in section 4.2.1, which
is being added to appendix Y to subpart B of 10 CFR part 430 to
highlight this setup requirement. Further, it is DOE's understanding
and intention that the term AC output socket'' of a UPS refers to any
port capable of providing the full or partial rated output power of the
UPS as AC. The scope is not limited to UPSs with standardized NEMA
receptacles. Therefore, all UPSs that utilize NEMA 1-15P or 5-15P input
plugs and have an AC output are included in the scope of this final
rule.
Schneider Electric also inquired if UPSs with ultra-capacitors,
flywheels and storage technologies other than batteries are covered
under the proposed scope. (Schneider Electric, Pub. Mtg. Tr., No. 0003,
EERE-2016-BT-TP-0018, p. 31) DOE notes that UPSs are a subset of
battery chargers. A

[[Page 89810]]

product that does not meet the definition of a battery charger as
stated in 10 CFR 430.2 is excluded from the scope of the UPS test
procedure being adopted today. Because ultra-capacitor, flywheels, or
storage technologies other than batteries do not meet the definition of
a battery as stated in section 2.6 of appendix Y to subpart B of 10 CFR
part 430, DOE concludes that UPSs that use ultra-capacitor, flywheels,
or storage technologies other than batteries as their energy storage
system also do not meet the definition of battery charger and therefore
are excluded from the scope of the UPS test procedure.
ARRIS submitted written comments arguing that products such as
modems that use a battery exclusively for back-up power have
architectures that would fit within the standard IEC 62040-3 Ed. 2.0
definition of a UPS which states that uninterruptible power supply or
UPS means a combination of convertors, switches and energy storage
devices (such as batteries), constituting a power system for
maintaining continuity of load power in case of input power failure''.
ARRIS highlighted that a simple addition to this definition to reflect
that the load power is provided to external devices would provide
clarity and help differentiate covered UPSs from other products with a
battery exclusively for back-up purposes, which only provide continuity
of power internally to the product. (ARRIS, No. 0004, EERE-2016-BT-TP-
0018, pp. 2-3) Lastly, ARRIS highlighted that considering a product's
typical use also helps differentiate UPS products that provide AC
output from other products with a back-up battery that have typical
uses such as lighting, medical, security, networking equipment, etc.
(ARRIS, No. 0004, EERE-2016-BT-TP-0018, p. 4)
DOE agrees with ARRIS that the definition of a UPS may cover
certain back-up battery chargers; however, the current battery charger
test procedure specifically defines and excludes back-up battery
chargers from its scope. Therefore, certain back-up battery chargers
such as those found in cable modems that may meet the definition of a
UPS will continue to be excluded from the battery charger test
procedure. Additionally, DOE's proposed scope as stated in section 1 of
appendix Y to subpart B of 10 CFR part 430 is limited to UPSs with an
AC output. (81 FR 31554) Even if a back-up battery charger meets the
definition of a UPS, DOE is not aware of any such back-up battery
charger that has an AC output. Therefore limiting the scope to only
UPSs with an AC output further prevents the applicability of this test
procedure to the type of backup battery charger that is of concern to
ARRIS. DOE also does not consider a product's typical use an effective
way of prescribing the scope of a rulemaking as this leaves significant
room for interpretation. With the added requirement of NEMA 1-15P and
5-15P input plugs, the adopted scope of UPS test procedure is
definitive and unambiguous.
P. R. China highlighted that Appendix J.2 of IEC 62040-3 Ed. 2.0
standard does not apply to products with output power of less than or
equal to 0.3 kilo Volt-Amperes (kVa) and requested DOE to make the
proposed test method consistent with the IEC 62040-3 Ed. 2.0 standard
by excluding UPSs with output power of less than or equal to 0.3 kVa.
(P. R. China, No. 0009, EERE-2016-BT-TP-0018, p. 3) While Annex I of
the IEC 62040-3 Ed. 2.0 standard prescribes efficiencies for UPSs rated
above 0.3 kVA, the actual conditions and methods for determining the
efficiency of a UPS stated in Annex J of the IEC 62040-3 Ed. 2.0
standard does not have any scope restrictions as claimed by P. R. China
and are applicable to UPSs rated below 0.3 kVA. Additionally, DOE does
not have any data to indicate that UPSs with output power of less than
or equal to 0.3 kVA are any different in design than those above 0.3kVA
such that this test method would not accurately capture their energy
performance. Therefore, DOE is not excluding UPSs with output power of
less than or equal to 0.3 kVA from the scope of the UPS test procedure.

B. Existing Test Procedures and Standards Incorporated by Reference

In the May 2016 NOPR, DOE proposed to add specific testing
provisions for UPSs in the battery charger test procedure, because the
specifications in the current battery charger test procedure are not
appropriate for UPSs. The current battery charger test procedure
measures energy consumption of a battery charger as it charges a fully
discharged battery, which is inappropriate for a UPS because a UPS
rarely has a fully discharged battery. The majority of the time a UPS
provides a small amount of charge necessary to maintain fully charged
batteries and also delivers power to a connected load. Therefore, in
order to accurately capture the energy consumption and energy
efficiency of the normal operation of a UPS, the test procedure should
measure the energy consumption of maintaining a fully charged battery
and conversion losses associated with delivering load power. 81 FR
31545.
Schneider Electric appreciated that DOE has agreed with and
supports the industry's position that UPSs operate differently than
most battery chargers. (Schneider Electric, No. 0005, EERE-2016-BT-TP-
0018, p. 2) NEMA agreed with the establishment of a test procedure for
UPSs, consistent with NEMA's comments cited by DOE in the May 2016
NOPR. (NEMA, No. 0008, EERE-2016-BT-TP-0018, p. 3) NEMA also agreed
with DOE's conclusion that measuring the energy use of a UPS in normal
mode effectively captures the energy used during the entirety of the
time that a UPS is connected to mains power. (NEMA, No. 0008, EERE-
2016-BT-TP-0018, p. 6) Further, ARRIS also supported DOE's conclusion
that the current battery charger test procedure does not represent
typical use of a UPS and reiterated that the current battery charger
test procedure does not work well for continuous use products that
include a battery exclusively for back-up purposes. (ARRIS, No. 0004,
EERE-2016-BT-TP-0018, p. 3)
To measure the energy consumption of a UPS during normal mode, DOE
proposed to incorporate by reference Section 6 and Annex J of IEC
62040-3 Ed. 2.0 in the battery charger test procedure. 81 FR 31546.
Schneider Electric supported incorporation by reference of the IEC
62040-3 Ed. 2.0 standard without DOE's proposed changes in the battery
charger test procedure and provided an advanced notice that the IEC
62040-3 Ed. 2.0 standard is under maintenance and anticipated to be
revised over the next 2 years. (Schneider Electric, No. 0005, EERE-
2016-BT-TP-0018, p. 1) However, NEMA highlighted that there are
presently no planned changes to the IEC 62040-3 Ed. 2.0 standard that
would affect the manner in which a UPS is tested for efficiency. (NEMA,
No. 0008, EERE-2016-BT-TP-0018, p. 3)
In light of these stakeholder comments, DOE is finalizing the
incorporation by reference of Section 6 and Annex J of IEC 62040-3 Ed.
2.0 in the battery charger test procedure. Additionally, DOE will
monitor the revision of the IEC 62040-3 standard and consider, once
these revisions are complete, whether to initiate a new test procedure
rulemaking to consider incorporating the latest version.

C. Definitions

In the May 2016 NOPR, DOE proposed to include the following
definitions, in section 2 of appendix Y to subpart B of 10 CFR part
430. DOE requested stakeholder comments on all proposed definitions,
which are discussed in the following subsections:

[[Page 89811]]

1. Reference Test Load
DOE proposed the following definition for reference test load:
Reference test load is a load or condition with a power factor of
greater than 0.99 in which the AC output socket of the UPS delivers the
active power (W) for which the UPS is rated.'' 81 FR 31554. NRDC, et
al. argued that a resistive reference test load (power factor greater
than or equal to 0.99) may not be representative of common UPS
applications such as desktop computers. NRDC, et al. provided data to
show that the power factor of a non-ENERGY STAR desktop computer
without power factor correcting functionality can be quite low and
urged DOE to evaluate the potential differences in UPS efficiency when
serving loads with different power factors including non-linear loads
that are more representative of computers and other typical UPS
applications. If the difference in measured efficiency between
different load types is significant, NRDC, et al. requested that DOE
specify a reference test load that is more representative of common
applications, particularly for VFD UPS which commonly serve loads with
low power factors. (NRDC, et al., No. 0006, EERE-2016-BT-TP-0018, p. 2-
3)
The proposed power factor requirement of reference test load aligns
with ENERGY STAR UPS V. 1.0 and the IEC 62040-3 Ed. 2.0 standard, which
are extensively supported by the UPS industry. DOE is refraining from
adopting a reference test load with a power factor that differs from
that of ENERGY STAR UPS V. 1.0 or the IEC 62040-3 Ed. 2.0 because DOE
does not have enough market information to assess the impact of such a
divergence from ENERGY STAR UPS V. 1.0 and IEC 62040-3 Ed. 2.0.
Therefore, DOE is adopting the proposed reference test load in this
final rule. DOE will continue to monitor the UPS market and may
consider adopting other reference test loads in future rulemakings.
2. Uninterruptible Power Supply
DOE proposed the following definition for UPS: Uninterruptible
power supply or UPS means a battery charger consisting of a combination
of convertors, switches and energy storage devices, constituting a
power system for maintaining continuity of load power in case of input
power failure.'' 81 FR 31554. Schneider Electric disagreed with the
proposed definition of UPS. Schneider Electric argued that the proposed
definition of UPS implies that the primary function of a UPS is to
charge batteries, and asserted that the primary functions of a UPS are
wave shaping, power conditioning, assuring the quality of power,
measuring the quality of power on a continual basis, detecting mains
power drop out, communicating the status, and reporting abnormal
conditions through networked ports. Schneider Electric stated that UPSs
only charge batteries intermittently and in some cases charge batteries
after a few days or weeks. (Schneider Electric, Pub. Mtg. Tr., No.
0003, EERE-2016-BT-TP-0018, pp. 15-16; Schneider Electric, No. 0005,
EERE-2016-BT-TP-0018, p. 3) Lastly, Schneider Electric argued that
DOE's proposed definition of UPS may have major implications on the
market and the product in the marketplace and requested that DOE adopt
the definition of UPS from the IEC 62040-3 Ed. 2.0 standard. (Schneider
Electric, No. 0005. EERE-2016-BT-TP-0018, p. 3; Schneider Electric,
Pub. Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, p. 19) Similarly, NEMA
requested that DOE adopt the definition of UPS from the established IEC
62040-3 Ed. 2.0 standard and highlighted that the Office of Management
and Budget Circular A-119 encourages the use of international standards
in establishing regulations when effective and appropriate in the
fulfillment of legitimate objectives of the agency and the underlying
statute. NEMA argued that these criteria are satisfied by using the
definition of UPS in the IEC 62040-3 Ed. 2.0 standard and highlighted
that the CSA C813.1 specification in Canada, and the European Norms
reference the IEC 62040-3 Ed. 2.0 standard. NEMA contended that, as DOE
attempts to harmonize its regulations with Canada and the European
Union, deviation from the IEC 62040-3 Ed. 2.0 standard would make DOE's
UPS regulations impossible to harmonize with international norms.
(NEMA, No. 0008, EERE-2016-BT-TP-0018, pp. 2-4)
Schneider Electric acknowledged that a UPS system contains or has
embedded within the UPS a battery charger. Further, Schneider does not
question DOE's authority to regulate a UPS as a battery charger
(Schneider Electric, No. 0005, EERE-2016-BT-TP-0018, p. 2). DOE notes
that 10 CFR 430.2 defines a battery charger as a device that charges
batteries for consumer products, including battery chargers embedded in
other consumer products. It does not state or imply that the primary
function of a product that meets the definition of battery charger is
to charge batteries. UPSs charge and maintain their batteries at full
charge and therefore meet the statutory definition of a battery
charger. DOE disagrees with Schneider Electric's comment that the
proposed definition of UPS implies that that the primary function of a
UPS is to charge batteries and that the proposed UPS definition may
have major implications on the market and the product in the
marketplace. There is only one difference between the proposed DOE
definition and IEC definition of a UPS and that is that DOE refers to
UPSs as battery charger within the proposed definition. As DOE is
regulating UPSs as part of its battery charger regulations, it is
necessary to indicate in the UPS definition that UPSs are a subset of
battery chargers, and, as a result, must also meet EPCA's definition of
a battery charger. Accordingly, DOE is adopting the proposed definition
of a UPS in this final rule.
3. Input Dependency
In the May 2016 NOPR, DOE proposed definitions for VFD UPS, VI UPS
and VFI UPS in section 2 of appendix Y to subpart B of 10 CFR part 430.
In this final rule, DOE is revising the proposed definition of VI UPS
to highlight that a VI UPS, in normal mode, must not deplete its stored
energy source when outputting an AC voltage within a specific tolerance
band that is independent of under-voltage or over-voltage variations in
the input voltage. This change brings consistency between the
definitions of VI and VFI UPSs.
To help manufacturers determine whether a UPS is properly
considered to be VFD, VI, or VFI, DOE also proposed tests to verify the
input dependency of the UPS as follows: VI input dependency may be
verified by performing the steady state input voltage tolerance test in
section 6.4.1.1 of IEC 62040-3 Ed. 2.0 and observing that the output
voltage remains within the specified limit during the test. VFD input
dependency may be verified by performing the AC input failure test in
section 6.2.2.7 of IEC 62040-3 Ed. 2.0 and observing that, at a
minimum, the UPS switches from normal mode of operation to battery
power while the input is interrupted. VFI input dependency may be
verified by performing the steady state input voltage tolerance test
and the input frequency tolerance test specified in sections 6.4.1.1
and 6.4.1.2 of IEC 62040-3 Ed. 2.0 and observing that, at a minimum,
the output voltage and frequency remain within the specified output
tolerance band during the test. These tests may be performed to
determine the input dependency supported by the test unit.
NEMA and Schneider Electric argued that UPS manufacturers already
know the architecture of their models and

[[Page 89812]]

DOE's proposed tests to identify the architecture of a UPS will
unjustifiably increase testing burden for manufacturers. (NEMA, No.
0008, EERE-2016-BT-TP-0018, p. 4; Schneider Electric, No. 0005, EERE-
2016-BT-TP-0018, p. 2) Schneider Electric requested DOE to exclude the
proposed performance criteria from input dependency tests and, similar
to the IEC 62040-3 Ed. 2.0 standard, rely on manufacturer declarations
to classify UPSs as VFD, VI or VFI. (Schneider Electric, Pub. Mtg. Tr.,
No. 0003, EERE-2016-BT-TP-0018, pp. 32-33)
While most UPS manufacturers are aware of the input dependencies of
their models, there are UPS models available in the marketplace whose
input dependencies may not be obvious to a third party. In response to
the comment from Schneider Electric and NEMA, DOE notes that the input
dependency tests being adopted in sections 2.27.1, 2.27.2 and 2.27.3 of
this final rule, are not mandatory. If a manufacturer is already aware
that the basic model in question conforms to the performance criteria
outlined in section 2.27.1, 2.27.2 and 2.27.3, the input dependency
tests need not be performed. However, because these performance
criteria are included within the definition of each UPS architecture,
the onus is on the manufacturer to properly classify their UPS
according to this criteria in order to represent its energy efficiency
and adhere to any potential energy conservation standard.
With regards to performance criteria, Section 5.2.1 of the IEC
62040-3 Ed. 2.0 standard asks that the UPS must remain in normal mode
when the input voltage and frequency is varied by 10% and
2%, respectively, for the IEC 62040-3 Ed. 2.0 standard to
be applicable. Although the specific steady state input voltage and
frequency tolerance tests of sections 6.4.1.1 and 6.4.1.2 of the IEC
62040-3 Ed. 2.0 standard require that the UPS need only meet the
tolerance range specified by the manufacturer of the device, the
requirements of section 5.2.1 must first be met at a minimum. In
aligning its requirements with that of IEC 62040-3 Ed. 2.0, DOE has
also used the criteria of section 5.2.1 of the IEC 62040-3 Ed. 2.0
standard in the definition of VI and VFI UPSs in this final rule. DOE
notes that these adopted performance criteria will remove any ambiguity
in the classification of UPS input dependency during certification and
enforcement.
If manufacturers are uncertain about the input dependency of their
UPS models, then manufacturers can perform the input dependency tests
and use the associated performance criteria to verify the input
dependency of their models. In enforcement testing, DOE will use these
input dependency tests and performance criteria to verify the
classification claimed by a manufacturer in the compliance
certification report of a UPS basic model and to ensure that the
correct load weightings, listed in table 4.3.1 of appendix Y to subpart
B of 10 CFR part 430, were applied. This also ensures that
manufacturers are not left to create their own performance criteria for
VFD, VI and VFI classification, which would lead to inconsistencies in
the certified results. Because section 4.3.4 of appendix Y to subpart B
of 10 CFR part 430 is being made optional in this final rule, this rule
also amends 10 CFR 429.134 to state that, in enforcement testing, DOE
will determine the UPS architecture by performing the tests specified
in the definitions of VI, VFD, and VFI in sections 2.28.1 through
2.28.3 of appendix Y to subpart B of 10 CFR part 430.
4. Normal Mode
In the May 2016 NOPR, DOE proposed a definition of normal mode in
section 2 of appendix Y to subpart B of 10 CFR part 430. The proposed
definition of normal mode required a UPS to provide output power to the
connected load without switching to battery power. However, for VFI
UPSs, the output power to the connected load may also be provided by
the battery in normal mode of operation. Hence, the proposed definition
of normal mode would have conflicted with the input dependency test for
VFI UPSs. After careful consideration, DOE is revising the proposed
definition of normal mode to specify that the AC input supply is within
required tolerances and supplies the UPSs rather than that the UPS
provides the required output power to the connected load without
switching to battery power, and that the energy storage system is being
maintained at full charge or is under charge rather than just being
maintained at full charge. Further, the revision of the definition of
normal mode increases harmonization between the definitions of normal
mode in DOE's test procedure and the IEC 62040-3 Ed. 2.0 standard.
Additionally, DOE also proposed a definition for Energy Storage
Systems', on which DOE has not received any stakeholder comment;
therefore DOE is adopting the proposed definition in this final rule.

D. Test Conditions

Although a majority of the test conditions proposed in the May 2016
NOPR were adopted from the IEC 62040-3 Ed 2.0 standard, DOE proposed
certain supplementary instructions for the test conditions in appendix
Y to subpart B of 10 CFR part 430 in order to eliminate the possibility
of ambiguity. DOE requested comment on the proposed test conditions.
1. Accuracy and Precision of Measuring Equipment
DOE proposed that the power meter and other equipment used during
the test procedure must provide true root mean square (r. m. s.)
measurements of the active input and output power, with an uncertainty
at full rated load of less than or equal to 0.5 percent at the 95
percent confidence level notwithstanding that voltage and current
waveforms can include a harmonic component. Further, DOE proposed that
the power meter and other equipment must measure input and output
values simultaneously.
Schneider Electric argued that DOE's proposed accuracy and
resolution requirements for UPSs are more stringent than those required
to provide compliance test results. The proposed accuracy and
measurement requirements would require manufacturers to test their
units with more expensive test equipment, which would create an
unjustified testing burden for UPS manufacturers. (Schneider Electric,
No. 0005, EERE-2016-BT-TP-0018, p. 3) Schneider Electric further argued
that the type and cost of the test equipment required to test UPS
systems according to the proposed requirements will especially be
burdensome on small and medium businesses. Schneider Electric contends
that, although small and medium businesses can utilize third party test
labs to mitigate the cost of purchasing test equipment, these
businesses still need to purchase some test equipment to understand
measurements of their products prior to submitting them for compliance
testing, and that, the expense of using third party test labs or the
test equipment required to meet the proposed accuracy and measurement
requirements for compliance testing will reduce competition in the
marketplace. (Schneider Electric, No. 0005, EERE-2016-BT-TP-0018, pp.
4-5)
DOE reiterates that the proposed accuracy and precision
requirements for measuring equipment are adopted from section J.2.3 of
the IEC 62040-3 Ed. 2.0 standard. It is DOE's understanding that the
IEC 62040-3 Ed. 2.0 standard is widely accepted by the UPS industry.
Therefore, DOE does not find that the proposed accuracy and precision
requirements for measuring equipment are unjustified or burdensome for

[[Page 89813]]

manufacturers. Hence, DOE is adopting the proposed accuracy and
precision requirements in this final rule.
Schneider Electric argued that in case the manufacturer specified
calibration interval of test equipment is longer than DOE's proposed
calibration interval of 1 year, DOE's proposed calibration interval
would be unjustifiably burdensome on manufacturers. (Schneider
Electric, Pub. Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, pp. 36-37)
After careful consideration, DOE agrees with Schneider Electric and is
requiring all measurement equipment used to conduct tests must be
calibrated within the equipment manufacturer's specified calibration
period.
2. Environmental Conditions
IEC 62040-3 Ed 2.0 requires that the ambient temperature must be in
the range of 20 [deg]C to 30 [deg]C. To ensure repeatability, DOE
proposed to increase the precision required for ambient temperature
measurements, while keeping the same range. As a result, the ambient
temperature would be 20.0 [deg]C to 30.0 [deg]C (i.e., increasing the
required precision by one decimal place) and the measurement would
include all uncertainties and inaccuracies introduced by the
temperature measuring equipment. Extending the precision of IEC's
ambient temperature range requirement by one decimal place would
minimize rounding errors and avoid scenarios in which a temperature of
19.6 [deg]C would be rounded to 20 [deg]C during testing and
potentially provide higher efficiency usage values than those obtained
at or above 20.0 [deg]C. The proposal also required that the tests be
carried out in a room with an air speed immediately surrounding the
unit under test (UUT) of less than or equal to 0.5 meters per second
(m/s). As proposed, there would be no intentional cooling of the UUT
such as by use of separately powered fans, air conditioners, or heat
sinks. The UUT would be tested on a thermally non-conductive surface.
Schneider Electric inquired whether manufacturers would be
permitted to test UPSs within the temperature range specified by the
IEC 62040-3 Ed. 2.0 standard. Schneider Electric also noted that the
IEC 62040-3 Ed. 2.0 standard does not have air speed requirements, and
inquired if DOE's proposed requirements for air speed surrounding the
unit under test limit of less than or equal to 0.5 m/s would be
unidirectional or multidirectional. (Schneider Electric, Pub. Mtg. Tr.,
No. 0003, EERE-2016-BT-TP-0018, pp. 36-38) Similarly, NEMA opposed
DOE's proposed test conditions, such as airflow, and requested that DOE
incorporate by reference the testing conditions stated in the IEC
62040-3 Ed. 2.0 standard. (NEMA, No. 0008, EERE-2016-BT-TP-0018, p. 5)
DOE reiterates that the May 2016 NOPR proposed the ambient
temperature must remain in the range of 20.0 [deg]C to 30.0 [deg]C,
including all inaccuracies and uncertainties introduced by the
temperature measurement equipment, throughout the test. 81 FR 31559.
The IEC 62040-3 Ed. 2.0 standard requires the ambient temperature to be
between 20 [deg]C and 30 [deg]C, does not require all inaccuracies and
uncertainties introduced by the temperature measurement equipment to be
included in this range, and it has a precision requirement that is
lower by one decimal place. By testing within DOE's ambient temperature
range, which includes all inaccuracies and uncertainties, manufacturers
will also meet the temperature requirements of the IEC 62040-3 Ed. 2.0
standard. Therefore, DOE is adopting the proposed ambient temperature
range in this final rule. Further, DOE is adopting an air speed
requirement surrounding the unit under test to avoid the possibility of
intentional cooling during testing, which affects the efficiency of
UPSs. DOE clarifies that the air speed limit of less than or equal to
0.5 m/s surrounding the unit under test is multidirectional.
3. Input Voltage and Frequency
DOE proposed that the AC input voltage to the UUT be within 3
percent of the highest rated voltage and the frequency be within 1
percent of the highest rated frequency of the device. DOE has not
received any stakeholder comments on the input voltage and frequency
requirements; therefore, DOE is adopting the proposed input voltage and
frequency requirements in this final rule.

E. Battery Configuration

To capture the complete picture of the energy performance of UPSs,
DOE proposed to test UPSs with the energy storage system connected
throughout the test. Additionally, DOE proposed to standardize battery
charging requirements for UPSs by including specific instructions in
section 4.2.1, which is being added to appendix Y to subpart B of 10
CFR part 430. These requirements, which ensure that the battery is
fully charged prior to testing, specify charging the battery for an
additional 5 hours after the UPS has indicated that it is fully
charged, or if the product does not have a battery indicator but the
user manual specifies a time, charging the battery for 5 hours longer
than the manufacturer's estimate. Finally, the proposal required
charging the battery for 24 hours if the UPS does not have an indicator
or an estimated charging time. 81 FR 31559.
Schneider Electric argued that it is more appropriate to test UPSs
either without batteries or when the attached batteries are not allowed
to discharge. Further, Schneider Electric argued that the battery
charger in a UPS is turned off when it is not actively charging a
depleted battery and the battery doesn't consume significant energy
during normal mode of operation; therefore, testing with batteries does
not add much to the test results. (Schneider Electric, No. 0005, EERE-
2016-BT-TP-0018, p. 6; Schneider Electric, Pub. Mtg. Tr., No. 0003,
EERE-2016-BT-TP-0018, p. 77) Schneider Electric also pointed out that
the ENERGY STAR test procedure does not include batteries, the IEC
62040-3 Ed. 2.0 standard allows UPSs to be tested with or without a
battery, and the CEC test procedure tests UPSs with an attached
battery, but manufacturers are allowed to disable all known battery
charger functions. (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE-
2016-BT-TP-0018, pp. 42-44) Similarly, ITI and NEMA opposed DOE's
proposal of testing UPSs with a connected energy storage system and
argued that testing a UPS with a battery will increase time and cost of
the test and could possibly disqualify UPSs that are currently ENERGY
STAR compliant. (ITI, No. 0007, EERE-2016-BT-TP-0018, p. 2; NEMA, No.
0008, EERE-2016-BT-TP-0018, p. 3) NEMA and Schneider Electric pointed
out that testing a UPS with a fully charged battery, which is different
from the ENERGY STAR and CEC test procedures, will render all data from
the ENERGY STAR and CEC databases useless. (NEMA, No. 0008, EERE-2016-
BT-TP-0018, pp. 3-4; Schneider Electric, No. 0005, EERE-2016-BT-TP-
0018, pp. 2, 6-7) Further, NEMA and Schneider Electric argued that
DOE's proposed test procedure significantly deviates from the ENERGY
STAR test procedure and the IEC 62040-3 Ed. 2.0 standard and that DOE
has not justified this deviation, which appears to be arbitrary and
poses unjustified financial burden on manufacturers. (NEMA, No. 0008,
EERE-2016-BT-TP-0018, p. 3; Schneider Electric, No. 0005, EERE-2016-BT-
TP-0018, p. 9)
In addition to providing various types of power conditioning and
monitoring functionality, depending on their architecture and input
dependency, UPSs also maintain the fully-charged state of lead acid
batteries with relatively high self-discharge rates so

[[Page 89814]]

that in the event of a power outage, they are able to provide backup
power instantly to the connected load. Maintaining the lead acid
battery consumes energy which therefore directly affects a UPS's
overall energy efficiency. To capture the typical use of a UPS as
required by 42 U.S.C. 6293(b)(3), a UPS must be tested with the energy
storage system connected throughout the test, so as to capture the
energy spent by the UPS maintaining the lead acid battery. Hence,
deviation from the ENERGY STAR and CEC test procedures is necessary and
justified. Concerning the ENERGY STAR and CEC databases, DOE points out
that the two mentioned databases are already non-compatible because of
the differences in their respective test procedures.
Additionally, Schneider Electric noted that some UPSs turn off
their battery chargers for days or weeks after detecting fully charged
batteries and inquired if manufacturers are allowed to keep this
behavior in place during testing. Schneider Electric further explained,
when turned on, some UPSs perform a battery test that reduces the state
of charge and lengthens the duration of time required to fully charge
connected batteries. Therefore, Schneider Electric asked if
manufacturers would be allowed to disable this feature to reduce the
time and burden of testing. (Schneider Electric, Pub. Mtg. Tr., No.
0003, EERE-2016-BT-TP-0018, p. 41)
If a UPS, as supplied to an end user, automatically detects that
the connected battery is fully charged and then disables its battery
charging functionality, then this UPS will be tested as such, as it
would be a proper representation of the product's typical energy use,
which is a goal of all DOE test procedures. In response to Schneider
Electric's second comment, manufacturers are not allowed to disable the
feature that detects the state of charge and lengthens the duration of
time required to fully charge connected batteries. Section 4.2.1(b),
which was proposed and is being added to appendix Y to subpart B of 10
CFR part 430 in this final rule, instructs that the UPS must not be
modified or adjusted to disable energy storage charging features, and
the transfer of energy to and from the energy storage system must be
minimized by ensuring the energy storage system is fully charged.
Lastly, Schneider Electric inquired whether the use of software
battery charge indicators or some other industry standard practice is
permitted; how test batteries should be selected if a UPS basic model
can support multiple batteries; and how a basic model is to be selected
if a UPS model has batteries supplied by multiple battery vendors.
(Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, pp.
40-41) (Schneider Electric, Pub. Mtg. Tr., No. 0003, EERE-2016-BT-TP-
0018, pp. 69-70)
Section 4.2.1(b)(1), which was proposed, and is being added to
appendix Y to subpart B of 10 CFR part 430 in this final rule, provides
instructions on how to determine when a UPS battery is fully charged.
These instructions emphasize the use of a battery charge indicator
which DOE interprets as either being physically on the device or a
software that accompanies the UPS. Therefore, manufacturers may use
software that acts as an indicator and communicates the battery's state
of charge to the user if the software is packaged with the UPS. DOE is
unable to provide instructions regarding the use of other industry
standard practices' as an indicator of a battery's state of charge
without more details on these standard practices. Manufacturers must
follow the instructions provided in section 4.2.1(b), which is being
added to appendix Y to subpart B of 10 CFR part 430 to ensure that the
batteries are fully charged prior to testing. DOE also recognizes that
UPS may be capable of accommodating multiple battery models, battery
vendors or battery capacities. Accordingly, it is possible that the
efficiency of a UPS that otherwise has identical electrical
characteristics would vary slightly based on the battery used. In the
case in which a manufacturer uses different battery models, vendors or
capacities in a single UPS, then the manufacturer may group some or all
combinations of battery and UPS as part of a single UPS basic model and
certifying compliance by ensuring that the represented efficiency of
that UPS basic model applies to all combinations in the group. In that
case, the represented efficiency should correspond to the least
efficient combination in the group. If the Department selects a unit
for assessment or enforcement testing, DOE may select any combination
within the basic model to assess the entire basic model's compliance.
Thus, if a manufacturer groups multiple battery and UPS combinations as
part of a single basic model, DOE would test one combination to
determine compliance pursuant to its regulations. Alternatively, the
manufacturer may classify each unique UPSs configuration as separate
basic models and certify each basic models individually. In the case
where each unique UPS configuration is a separate basic model, DOE will
test the unique UPS configuration to assess compliance.

F. Product Configuration

For configuring UPSs for testing, DOE proposed to reference
Appendix J.2 of IEC 62040-3 Ed 2.0 in section 4.2.1, which would be
added to appendix Y to subpart B of 10 CFR part 430. In addition to the
IEC test method, DOE proposed to include additional requirements for
UPS operating mode conditions and energy storage system derived from
ENERGY STAR UPS V. 1.0. DOE did not consider including requirements for
back-feeding, a condition in which voltage or energy available within a
UPS is fed back to any of the input terminals of the UPS as specified
in ENERGY STAR UPS V. 1.0 because back-feeding is generally only
required for UPSs with an output power rating higher than loads
commonly available in a consumer environment. Because the power range
of UPSs in the scope of this rulemaking is limited by the requirement
that these UPSs utilize a NEMA 1-15P or 5-15P plug, and loads in this
range are readily available, DOE believes provisions for back-feeding
will not be necessary. DOE has not received any stakeholder comment on
these proposed provisions; therefore, DOE is adopting these provisions
in this final rule.
On August 5, 2016, DOE published an energy conservation standards
notice of proposed rulemaking for uninterruptible power supplies in the
Federal Register (August 2016 NOPR). 81 FR 52196. In response to the
August 2016 NOPR, NEMA and ITI, and Schneider Electric submitted
written comments requesting that DOE thoroughly examine the impact of
the energy consumption of secondary features such as USB charging
ports, wired and wireless connectivity, displays, and communications
etc. that are not related to battery charging on the proposed
efficiency metric for UPSs. (NEMA and ITI, No. 0019, EERE-2016-BT-STD-
0022 at p. 3; Schneider Electric, No. 0017, EERE-2016-BT-STD-0022 at
pp. 1-2, 13) In response to the above summarized comments, DOE is
adding language to the UPS test procedure, in section 4.2.2, stating
that UPS manufacturers must disable features of the UPSs that do not
contribute to the maintenance of fully charged battery or delivery of
load power, so that the energy consumption of these features is not
captured. This will permit manufacturers to disable these secondary
features in order to reduce or eliminate the impact that the energy
consumption of these features has on the measured efficiency metric.

[[Page 89815]]

In the case where a feature that does not contribute to the
maintenance of fully charged battery(s) or delivery of load power
cannot be turned off during testing and the UPS manufacturer believes
that the test procedure evaluates the basic model in a manner that is
not representative of its true energy characteristics as to provide
materially inaccurate comparative data, DOE notes that there are
provisions in place, as outlined in 10 CFR 430.27, for stakeholders to
request a waiver or interim waiver from the test procedure. If such a
waiver or interim waiver is granted, manufacturers are required to use
an alternative test method to evaluate the performance of their product
type in a manner that is representative of the energy consumption
characteristics of the basic model.
Schneider Electric provided a list of secondary features along with
the corresponding energy allowances that Schneider Electric believes
should be made for these secondary features and proposed an alternate
adjusted efficiency metric that accommodates the suggested allowances
in place of the average load adjusted efficiency metric proposed by DOE
in the May 2016 UPS test procedure NOPR. (Schneider Electric, No. 0017,
EERE-2016-BT-STD-0022, pp. 1-2, 13). While DOE is not adopting
Schneider Electric's proposed alternative calculation at this time, DOE
notes that manufacturers may propose this as an alternative test
procedure for consideration as part of a waiver petition.

G. Average Power and Efficiency Calculation

1. Average Power
DOE's proposal in the June 2016 NOPR required that all efficiency
values be calculated from average power. DOE proposed two different
methods for calculating average power so that manufacturers have the
option of using a method better suited to the testing equipment already
available at their disposal without having to purchase new equipment.
DOE proposed to specify these calculation methods in section 4.3.1 of
appendix Y to subpart B of 10 CFR part 430. The first proposed method
of calculating average power is recording the accumulated energy
(Ei) in kWh and then dividing accumulated energy
(Ei) by the specified period for each test (Ti).
For this method, the average power would be calculated using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR12DE16.010

Additionally, DOE proposed a second method to calculate average
power by sampling the power at a rate of at least one sample per second
and computing the arithmetic mean of all samples over the time period
specified for each test (Ti). For this method, the average
power (Pavg) would be calculated using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR12DE16.011

Where Pi represents measured power during a single measurement (i),
and n represents total number of measurements.
NEMA and Schneider Electric opposed DOE's proposal of two different
methods of calculating average power and requested that DOE adopt the
method of calculating average power stated in the IEC 62040-3 Ed. 2.0
standard. (NEMA, No. 0008. EERE-2016-BT-TP-0018, p. 5; Schneider
Electric, No. 0005, EERE-2016-BT-TP-0018, p. 3) Schneider Electric
inquired whether DOE has conducted an analysis to compare the accuracy
of the two proposed methods (Schneider Electric, No. 0005, EERE-2016-
BT-TP-0018, p. 4) Further, during the public meeting held on June 9,
2016, Schneider Electric requested that manufacturers be allowed to
calculate efficiency directly from accumulated energy measurements
without having to first calculate average power. (Schneider Electric,
Pub. Mtg. Tr., No. 0003, EERE-2016-BT-TP-0018, p. 46)
DOE agrees, and is not adopting a requirement that average power be
calculated as an intermediate step in order to calculate efficiency
from accumulated energy measurements. Based on stakeholder comments,
DOE is convinced that the intermediate step of converting energy
measurements to average power is redundant.
The adopted method of calculating average power from instantaneous
power measurements is still different from the method stated in the IEC
62040-3 Ed. 2.0 standard, which is requested by NEMA and Schneider
Electric. DOE's adopted method requires measuring power for 15 minutes
at a sampling rate of at least 1 sample per second, whereas the IEC
62040-3 Ed. 2.0 standard only requires three readings no more than 15
minutes apart, which lacks precision. DOE believes that measuring power
for 15 minutes at a sampling rate of at least one sample per second is
justified because it improves precision over the IEC 62040-3 Ed. 2.0
and does not pose a testing burden on manufacturers because measurement
readings are taken and logged electronically. Further, the sampling
rate of at least one sample per second ensures accuracy and
repeatability of calculated values. Lastly, as DOE is no longer
requiring the calculation of average power from accumulated energy
measurements as part of the calculation of efficiency, Schneider
Electric's comment regarding the comparison of the accuracy of the two
proposed methods of calculating average power is no longer relevant to
the methods adopted in this final rule. DOE is revising the proposed
regulatory text in appendix Y to subpart B of 10 CFR part 430 to
finalize these changes.
2. Efficiency
DOE proposed to calculate the efficiency of UPSs at each loading
point as specified in section J.3 of IEC 62040-3 Ed 2.0. DOE also
proposed additional requirements from ENERGY STAR UPS V. 1.0 for the
purpose of ensuring repeatable and reproducible tests. ENERGY STAR UPS
V. 1.0 specifies requirements for ensuring the unit is at steady state
and calculating the efficiency measurements. The proposed requirements
are included in section 4.3 of the proposed appendix Y to subpart B of
10 CFR part 430.
Schneider Electric argued that deviations in stability requirements
and calculation of efficiency from the IEC 62040-3 Ed. 2.0 standard
will increase testing burden on manufacturers by forcing them to test
their products twice: Once under the IEC 62040-3 Ed. 2.0 standard and
once under the DOE test method. (Schneider Electric, Pub. Mtg. Tr., No.
0003, EERE-2016-BT-TP-0018, p. 48) DOE notes that the IEC 62040-3 Ed.
2.0 standard uses temperature to determine stability but does not
specify where the temperature measurements must be taken. This, in
DOE's opinion, leaves room for interpretation and would cause
reproducibility problems with the test procedure. The ENERGY STAR UPS
Test Method Rev. May 2012, which partially relies on the IEC 62040-3
Ed. 2.0 standard, also recognizes this shortcoming in the IEC 62040-3
Ed. 2.0 standard and states its own stability requirements.
Consequently, DOE is finalizing the stability requirements proposed in
the May 2016 NOPR which have been adopted from the ENERGY STAR UPS Test
Method Rev. May 2012, as these requirements are necessary for ensuring
repeatability and reproducibility of measured values.

[[Page 89816]]

H. Output Metric

To capture the energy efficiency of a UPS, DOE proposed that the
device be tested in normal mode. DOE further proposed to use an average
load adjusted efficiency metric, rounded to one tenth of a percentage
point, as the final output of the UPS test procedure.\3\ DOE's proposed
output metric for UPSs matches the output metric utilized by ENERGY
STAR UPS V. 1.0. DOE also proposed to adopt the load weightings
specified in ENERGY STAR UPS V. 1.0 for calculating average load
adjusted efficiency of UPSs. These load weightings vary based on the
ratio of the reference test load to the full rated load of the device,
the UPS architecture and the output power rating of a UPS. The
requirements for calculating the final metric, shown in Table III.2,
were proposed to be incorporated in section 4.3.5 of appendix Y to
subpart B of 10 CFR part 430. The proposed equation to calculate the
average load adjusted efficiency of UPSs is as follows:
---------------------------------------------------------------------------

\3\ In the May 2016 NOPR, DOE used the terms average normal
mode loading efficiency' and average load adjusted efficiency'
interchangeably. For consistency, DOE is updating this final rule to
only use the term average load adjusted efficiency.'

Effavg = (t25 x
Eff[verbarlm]25) + (t50 x
Eff[verbarlm]50) + (t75 x
Eff[verbarlm]75) + (t100 x
---------------------------------------------------------------------------
Eff[verbarlm]100)

Where:

tn = proportion of time spent at the particular
n% of the reference test load
Effn = efficiency at the particular n% of the

Table III.2--UPS Load Weightings for Calculating Average Load Adjusted Efficiency
----------------------------------------------------------------------------------------------------------------
Portion of time spent at reference load
Rated output power  (W)     Input dependency ---------------------------------------------------------------
characteristic         25%             50%             75%            100%
----------------------------------------------------------------------------------------------------------------
P <= 1500 W...................  VFD.............             0.2             0.2             0.3             0.3
VI or VFI.......               0             0.3             0.4             0.3
P > 1500 W....................  VFD, VI, or VFI.               0             0.3             0.4             0.3
----------------------------------------------------------------------------------------------------------------

Schneider Electric inquired whether manufacturers are required to
test UPSs at loading points that have zero weighting. Further,
Schneider Electric requested that DOE mandate testing UPSs in order
from 100 percent, 75 percent, 50 percent and 25 percent of the
reference test load. (Schneider Electric, Pub. Mtg. Tr., No. 0003,
EERE-2016-BT-TP-0018, pp. 50-51) In this final rule, DOE adds a
footnote to Table 4.3.1 of section 4.3.5 of appendix Y to subpart B of
10 CFR part 430 stating that manufacturers do not have to test a UPS at
the applicable loading point with zero weighting because the measured
efficiency at this loading point does not contribute to the average
load adjusted efficiency of the UPS. Further, in section 4.3.3(a) of
appendix Y to subpart B of 10 CFR part 430, DOE already proposes to
test UPSs in the order of 100 percent, 75 percent, 50 percent and 25
percent of the rated output power. Consistent with of Schneider
Electric's comment about the order of testing, DOE is adopting the
proposed order of testing in this final rule.
Additionally, NRDC, et al. argued that the proposed loading points
are not representative of desktop computers attached to UPSs and that
DOE should instead adopt 0 percent, 5 percent, 10 percent, 25 percent
and 50 percent as loading points for VFD UPSs with 0.1, 0.3, 0.3, 0.15,
0.15 time weightings for their loading points respectively. Further,
NRDC, et al. requested DOE to analyze and revise loading points and
associated time weightings for VI and VFI UPSs as well. (NRDC, et al.,
No. 0006, EERE-2016-BT-TP-0018, pp. 3-6)
DOE's output metric, loading points and weightings are adopted from
ENERGY STAR UPS V. 1.0, which is extensively supported and adhered to
by the UPS industry. Further, the IEC 62040-3 Ed. 2.0 standard also
uses the same loading points. DOE is refraining from adopting any
loading points or weightings that differ from those in ENERGY STAR UPS
V. 1.0 and IEC 62040-3 Ed. 2.0 as DOE has no data from which to
conclude that it would be necessary to do so. Therefore, DOE is
adopting the proposed output metric, loading points and weightings in
this final rule. DOE will continue to monitor the UPS market and may
consider other loading points and weightings in future rulemakings.

I. Effective Date of and Compliance With Test Procedure

EPCA prescribes that all representations of energy efficiency and
energy use, including those made on marketing materials and product
labels, must be made in accordance with DOE test procedures, beginning
180 days after publication of such a test procedure final rule in the
Federal Register. (42 U.S.C. 6293(c)(2))
NEMA argued that DOE has not adequately investigated the number of
stock keeping units (SKUs) involved in this rulemaking, and as such
does not appear to understand the scope of impact and associated cost
burden on manufacturers if they become required to retest all products,
and revise markings and published performance information within 180
days. NEMA further argued that in addition to disqualifying currently
ENERGY STAR compliant products, DOE's proposed test procedure will
force ENERGY STAR to update its UPS specifications, with assistance
from the industry, causing additional burden on industry resources and
personnel. According to NEMA, these additional testing and
requalification costs will not be trivial, because the U.S.
Environmental Protection Agency (EPA) requires third party
certification and testing at manufacturer's expense for its ENERGY STAR
program. NEMA contends that, even if the EPA takes some time to update
its specification, DOE's insistence on a 180-day implementation will
negate this in practical terms, possibly forcing manufacturers to
perform two tests and report two different efficiency levels in the
near term, one to DOE and one to EPA. (NEMA, No. 0008, EERE-2016-BT-TP-
0018, pp. 2-3) Similarly, Schneider Electric argued that manufacturers
would have to re-test all ENERGY STAR-certified UPSs after DOE's UPS
test procedure is finalized, and testing hundreds of basic UPS models
in 180 days would not be practical. (Schneider Electric, Pub. Mtg. Tr.,
No. 0003, EERE-2016-BT-TP-0018, p. 69)
DOE acknowledges that for ENERGY STAR-certified basic models,
further testing may be needed to make representations in accordance
with the UPS test procedure. However, DOE has adopted NEMA and
Schneider Electric's sampling plan to help minimize the burden by
allowing a single unit sample as required by the current ENERGY

[[Page 89817]]

STAR program. DOE will work closely with EPA if any transition is
needed for the current ENERGY STAR UPS specification as a result of
this final rule and will consult with manufacturers in accordance with
the ENERGY STAR process.
As for the comments requesting additional time to translate current
representations, DOE reiterates that EPCA mandates the date by which
representations must be made in accordance with the DOE test procedure.
Specifically with regard to NEMA's comment regarding reporting two
different efficiency levels, DOE notes that EPCA does not permit this,
instead requiring that all such representations be made in accordance
with the DOE test procedure. (42 U.S.C. 6293(c)(2)) EPCA does provide
an allowance for individual manufacturers to petition DOE for an
extension of the 180-day period if the manufacturer may experience
undue hardship in meeting the 180-day deadline. (42 U.S.C. 6293(c)(3))
To receive such an extension, petitions must be filed with DOE no later
than 60 days before the end of the 180-day period and must detail how
the manufacturer will experience undue hardship. (42 U.S.C. 6293(c)(3))
Beyond any such extension pursuant to the petition process specified by
EPCA, as noted above, the statute does not permit DOE to extend the
date by which representations must be made in accordance with the DOE
test procedure.

J. Sampling Plan for Determination of Certified Rating

For any covered product, manufacturers are required to determine
represented values, which includes certified ratings, for each basic
model of a product, in accordance with the DOE test procedure. Because
the proposed test procedure for UPSs and resulting metric differs from
other battery chargers, DOE proposed that UPS manufacturers would
certify the average load adjusted efficiency metric (Effavg)
described in section III.H, as the representative value of energy
efficiency for UPSs. To determine a rating for certifying compliance or
making energy use representations, DOE typically requires manufacturers
to test each basic model in accordance with the applicable DOE test
procedure and apply the appropriate sampling plan. DOE proposed that
the sampling provisions and certified rating requirements for battery
chargers be applicable to UPSs, which requires a sample of at least 2
items to be tested.
Schneider Electric argued that testing at least two units of a
basic model of UPS under the proposed test procedure will require more
time and have a higher cost than testing a single unit according to the
ENERGY STAR test procedure. They also argued that testing at least two
units is unnecessarily burdensome on manufacturers and requested DOE to
allow manufacturers to certify compliance of their basic models based
on the test results of a single unit. (Schneider Electric, Pub. Mtg.
Tr., No. 0003, EERE-2016-BT-TP-0018, pp. 53-55) Similarly, ITI and NEMA
opposed DOE's proposal of testing at least two unit of a basic model of
UPS to certify compliance. (ITI, No. 0007, EERE-2016-BT-TP-0018, p. 1,
NEMA, No. 0008, EERE-2016-BT-TP-0018, p. 2)
After carefully considering the request by Schneider Electric, ITI
and NEMA about certifying compliance based on the test results of a
single unit per basic model of UPS, DOE is allowing all UPS
manufacturers to certify compliance of their basic models based on
either the general sampling plan stated in section (a)(4)(i) of 10 CFR
429.39 or on the test results of a single unit based on the sampling
plan in section (a)(4)(ii) of 10 CFR 429.39. If manufacturers decide to
certify compliance of a UPS basic model based on the test results of a
single unit, the certified rating for this UPS basic model must be
equal to the test results of the single unit tested. If a UPS
manufacturer uses the general sampling plan stated in section (a)(4)(i)
of 10 CFR 429.39 to certify compliance of a basic model, DOE will use
the sampling plan for enforcement testing stated in appendix A to
subpart C of 10 CFR part 429 for this basic model. If, however, a UPS
manufacturer chooses to certify compliance of a basic model based on
the test results of a single unit, then DOE will use a minimum sample
size of one unit for enforcement testing and if a single unit in the
sample of this UPS basic model does not meet the applicable Federal
energy conservation standard, the UPS basic model will be considered
non-compliant. DOE is revising 10 CFR 429.110 and adding appendix D to
subpart C of 10 CFR part 429 to outline the sampling plans for
enforcement testing of UPSs.

K. Certification Reports

In addition to the requirements specified in 10 CFR 429.12, which
are applicable to each basic model of a covered product, DOE proposed
the active power (W), apparent power (VA), rated input voltage (V),
rated output voltage (V), efficiencies at 25 percent, 50 percent, 75
percent, and 100 percent, and average load adjusted efficiency of the
UPS basic model be included in the battery charger certification report
for UPSs in 10 CFR 429.39.
DOE has not received any stakeholder comments on the proposed
certification report requirements; therefore, DOE is adopting the
proposed certification report requirements in this final rule.
Additionally, the section 4.2.1(a) of appendix Y to subpart B of 10 CFR
part 430 will require that if a UPS can operate in two or more distinct
normal modes as more than one UPS architecture, then the test shall be
conducted in the lowest input dependency as well as the highest input
dependency mode where VFD represents the lowest input dependency mode,
followed by VI and then VFI. DOE is requiring that manufacturers report
the input dependency modes and efficiencies at 25 percent, 50 percent,
75 percent, 100 percent and the average load adjusted efficiencies of
the lowest and the highest input dependency modes as part of the
battery charger certification reports for UPSs. DOE is revising the
proposed language in 10 CFR 429.39 accordingly.

L. Sample Represented Value Derivation

Schneider Electric requested DOE to provide application notes or
publications that show how to take actual measurement data and
calculate represented values for UPSs. (Schneider Electric, Pub. Mtg.
Tr., No. 0003, EERE-2016-BT-TP-0018, pp. 55-56) DOE is providing the
following walkthrough to show how the represented value of the average
load adjusted efficiency of a UPS basic model can be derived from the
test results.
Given a 500W VFD UPS basic model, and following the requirements in
10 CFR 429.39, two units of this UPS basic model are tested to certify
compliance. Testing two units of this hypothetical UPS basic model
according to the provisions in appendix Y to subpart B of 10 CFR part
430 yields the following results:

[[Page 89818]]

Table III.3--Hypothetical Test Results of a 500W VFD UPS
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unit # 1                                            Unit # 2
-------------------------------------------------------------------------------------------------------
Reference test load percentage                      Reference test load percentage
-------------------------------------------------------------------------------------------------------
25%          50%          75%          100%         25%          50%          75%          100%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pavg\in (W).....................................      80.2784     150.8857     220.7255     290.7188      80.2586     150.9758     220.7546     290.5996
Pavg\out (W)....................................      69.9238     140.4241     209.9844     279.5877      69.9615     140.4254     209.9652     279.5695
Eff (%).........................................      87.1016      93.0665      95.1337      96.1712      87.1701      93.0119      95.1125      96.2044
--------------------------------------------------------------------------------------------------------------------------------------------------------

Using the average load adjusted equation in section 4.3.5 and the
load weightings in Table 4.3.1 of appendix Y to subpart B of 10 CFR
part 430, the average load adjusted efficiencies for the two test units
are calculated.

Table III-4--Hypothetical Average Load Adjusted Efficiencies of the 500W
VFD UPS
------------------------------------------------------------------------
Unit # 1         Unit # 2
------------------------------------------------------------------------
Average Load Adjusted Efficiency (%)..         93.4251          93.4314
------------------------------------------------------------------------

According to 10 CFR 429.39, the represented value of
Effavg must be less than or equal to the lower of the mean
of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.012

and, x is the sample mean; n is the number of samples; and
xi is the Effavg of the ith sample; or, the lower
97.5-percent confidence limit (LCL) of the true mean divided by 0.95,
where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.013

and x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t0.975 is the t-statistic for a
97.5-percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A of subpart B of 10 CFR part 429).
Following the stated equations, the mean of the sample and the
97.5-percent LCL divided by 0.95 are calculated.
[GRAPHIC] [TIFF OMITTED] TR12DE16.014

Therefore, the represented value of the average load adjusted
efficiency for the hypothetical 500W VFD UPS basic model must be less
than 93.4 percent, the mean of the sample rounded to one-tenth of a
percentage point, according to the rounding requirements specified in
section 4.3.5(b) of appendix Y to subpart B of 10 CFR part 430.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

The Office of Management and Budget has determined that test
procedure rulemakings do not constitute significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in the Office of
Management and Budget.

B. Review Under the Regulatory Flexibility Act

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that
when an agency promulgates a final rule under 5 U.S.C. 553, after being
required by that section or any other law to publish a general notice
of proposed rulemaking, the agency shall prepare a final regulatory
flexibility analysis (FRFA). As required by Executive Order 13272,
Proper Consideration of Small Entities in Agency Rulemaking,'' 67 FR
53461 (August 16, 2002), DOE published procedures and policies on
February 19, 2003 to ensure that the potential impacts of its rules on
small entities are properly considered during the DOE rulemaking
process. 68 FR 7990. DOE has made its procedures and policies available
on the Office of the General Counsel's Web site: http://energy.gov/gc/office-general-counsel.
DOE reviewed this final rule under the provisions of the Regulatory
Flexibility Act and DOE's policies and procedures published on February
19, 2003. DOE has concluded that the adopted test procedure would not
have a significant impact on a substantial number of small entities.
The factual basis for this certification is as follows.
to be a small business, if, together with its affiliates, it employs
fewer than a threshold number of workers specified in 13 CFR part 121.
These size standards and codes are established by the North American
Industry Classification System (NAICS). The threshold number for NAICS
classification code 335999, which applies to all other miscellaneous
electrical equipment and component manufacturing'' and includes UPSs,
is 500 employees.

[[Page 89819]]

To estimate the number of companies that could be small businesses
that manufacture UPSs covered by this rulemaking, DOE conducted a
market survey using publicly available information. DOE first attempted
to identify all potential UPS manufacturers by researching EPA's ENERGY
STAR certification database,\4\ retailer Web sites, individual company
Web sites, and the SBA's database. DOE then attempted to gather
information on the location and number of employees to determine if
these companies met SBA's definition of a small business for each
potential UPS manufacturer by reaching out directly to those potential
small businesses and using market research tools (i.e., Hoover's
reports), and company profiles on public Web sites (i.e., Manta,
Glassdoor, and LinkedIn). DOE also asked stakeholders and industry
representatives if they were aware of any small businesses during
manufacturer interviews. DOE used information from these sources to
create a list of companies that potentially manufacture UPSs and would
be impacted by this rulemaking. DOE eliminated companies that do not
meet the definition of a small business,'' are completely foreign
owned and operated, or do not manufacture UPSs in the United States.
---------------------------------------------------------------------------

\4\ ENERGY STAR, Energy Star Certified Products. Available at
http://www.energystar.gov/. Last accessed November 14, 2016.
---------------------------------------------------------------------------

DOE initially identified a total of 48 potential companies that
sell UPSs in the United States. As part of the May 2016 TP NOPR, DOE
estimated that 12 companies were small businesses. However, after
reviewing publicly available information on these businesses, DOE
determined that none of these companies manufacture UPSs in the United
States and therefore are not considered to be small business UPS
manufacturers for the purposes of this analysis. As a result, DOE
certifies that this rulemaking will not have a significant economic
impact on a substantial number of small entities.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of UPSs must certify to DOE that their products
comply with any applicable energy conservation standards. To certify
compliance, manufacturers must first obtain test data for their
products according to the DOE test procedures, including any amendments
adopted for those test procedures. DOE has established regulations for
the certification and recordkeeping requirements for all covered
consumer products and commercial equipment, including UPSs. (See
generally 10 CFR part 429.) The collection-of-information requirement
for the certification and recordkeeping is subject to review and
approval by OMB under the Paperwork Reduction Act (PRA). This
requirement has been approved by OMB under OMB control number 1910-
1400. Public reporting burden for the certification is estimated to
average 30 hours per response, including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Manufacturers would not be required to
submit a certification report until such time as compliance with an
energy conservation standard is required.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

In this final rule, DOE adopts test procedure amendments that it
expects will be used to develop and implement future energy
conservation standards for UPSs. DOE has determined that this rule
falls into a class of actions that are categorically excluded from
review under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021.
Specifically, this adopted rule would amend the existing test procedure
without affecting the amount, quality or distribution of energy usage,
and, therefore, would not result in any environmental impacts. Thus,
this rulemaking is covered by Categorical Exclusion A5 under 10 CFR
part 1021, subpart D, which applies to any rulemaking that interprets
or amends an existing rule without changing the environmental effect of
that rule. Accordingly, neither an environmental assessment nor an
environmental impact statement is required.

E. Review Under Executive Order 13132

Executive Order 13132, Federalism,'' 64 FR 43255 (August 4,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have Federalism implications. The Executive Order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive Order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have Federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR 13735. DOE examined this final
rule and determined that it will not have a substantial direct effect
on the States, on the relationship between the national government and
the States, or on the distribution of power and responsibilities among
the various levels of government. EPCA governs and prescribes Federal
preemption of State regulations as to energy conservation for the
products that are the subject of this final rule. States can petition
DOE for exemption from such preemption to the extent, and based on
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is
required by Executive Order 13132.

F. Review Under Executive Order 12988

Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this final rule

[[Page 89820]]

meets the relevant standards of Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to develop an effective process to permit timely input by elected officers of State, local, and Tribal governments on a proposed significant intergovernmental mandate,'' and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect small governments. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820. (This policy is also available at http://energy.gov/gc/office-general-counsel.) DOE examined this final rule according to UMRA and its statement of policy and determined that the rule contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure of$100
million or more in any year, so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act,
1999

Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This final rule will not have any impact on the autonomy or integrity
of the family as an institution. Accordingly, DOE has concluded that it
is not necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

DOE has determined, under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act,
2001

Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has
reviewed this final rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.

K. Review Under Executive Order 13211

Executive Order 13211, Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any significant energy action. A
significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
The adopted regulatory action to amend the test procedure for
measuring the energy efficiency of UPSs is not a significant regulatory
action under Executive Order 12866. Moreover, it would not have a
significant adverse effect on the supply, distribution, or use of
energy, nor has it been designated as a significant energy action by
the Administrator of OIRA. Therefore, it is not a significant energy
action, and, accordingly, DOE has not prepared a Statement of Energy
Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of
1974

Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the Federal Trade Commission
(FTC) concerning the impact of the commercial or industry standards on
competition.
This final rule incorporates testing methods contained in Section 6
and Annex J of the IEC 62040-3 Ed. 2.0, Uninterruptible power systems
(UPS)--Method of specifying the performance and test requirements''
standard. DOE has evaluated this standard and is unable to conclude
whether it fully complies with the requirements of section 32(b) of the
FEAA, (i.e., that they were developed in a manner that fully provides
for public participation, comment, and review). DOE has consulted with
the Attorney General and the Chairman of the FTC concerning the impact
of these test procedures on competition and neither recommended against
incorporation of these standards.

As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the rule is not a major rule''
as defined by 5 U.S.C. 804(2).

N. Description of Materials Incorporated by Reference

DOE incorporates by reference Section 5.2.1, Clause 5.2.2.k, Clause
5.3.2.d, Clause 5.3.2.e, Section 5.3.4, Section 6.2.2.7, Section 6.4.1
(except 6.4.1.3, 6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9
and 6.4.1.10), Annex G, and Annex J of the IEC 62040-3 Ed. 2.0,
Uninterruptible power systems (UPS)--Part 3: Method of specifying the
performance and test requirements'' standard. This standard is used to
specify the testing requirements for UPSs and is available from the
American National Standards Institute, 25 W. 43rd Street, 4th Floor,
New York,

[[Page 89821]]

NY 10036 or at http://webstore.ansi.org/. DOE also incorporates by
reference Figure 1-15 and Figure 5-15 of the NEMA standard, ANSI/NEMA
Standard WD 6-2016, Wiring Devices--Dimensional Specifications.''
This standard is used to describe the scope of this final rule and is
available from the American National Standards Institute, 25 W. 43rd
Street, 4th Floor, New York, NY 10036 or at http://webstore.ansi.org/.

V. Approval of the Office of the Secretary

The Secretary of Energy has approved publication of this final
rule.

List of Subjects

10 CFR Part 429

information, Energy conservation, Household appliances, Reporting and
recordkeeping requirements.

10 CFR Part 430

information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small

Issued in Washington, DC, on November 21, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and
Renewable Energy.

For the reasons stated in the preamble, DOE amends parts 429 and
430 of Chapter II of Title 10, Code of Federal Regulations as set forth
below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
2. Revise Sec.  429.39 to read as follows:

Sec.  429.39   Battery chargers.

(a) Determination of represented value. Manufacturers must
determine represented values, which include certified ratings, for each
basic model of battery charger in accordance with the following
sampling provisions.
(1) Represented values include: The unit energy consumption (UEC)
in kilowatt-hours per year (kWh/yr), battery discharge energy
(Ebatt) in watt hours (Wh), 24-hour energy consumption
(E24) in watt hours (Wh), maintenance mode power
(Pm) in watts (W), standby mode power (Psb) in
watts (W), off mode power (Poff) in watts (W), and duration
of the charge and maintenance mode test (tcd) in hours (hrs)
for all battery chargers other than uninterruptible power supplies
(UPSs); and average load adjusted efficiency (Effavg) for
UPSs.
(2) Units to be tested. (i) The general requirements of Sec.
429.11 are applicable to all battery chargers; and
(ii) For each basic model of battery chargers other than UPSs, a
sample of sufficient size must be randomly selected and tested to
ensure that the represented value of UEC is greater than or equal to
the higher of:
(A) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.015

and, x is the sample mean; n is the number of samples; and
xi is the UEC of the ith sample; or,
(B) The upper 97.5-percent confidence limit (UCL) of the true mean
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.016

and x is the sample mean; s is the sample standard deviation; n is the
number of samples; and t0.975 is the t-statistic for a 97.5-
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A of this subpart).
(iii) For each basic model of battery chargers other than UPSs,
using the sample from paragraph (a)(2)(ii) of this section, calculate
the represented values of each metric (i.e., maintenance mode power
(Pm), standby power (Psb), off mode power
(Poff), battery discharge energy (EBatt), 24-hour
energy consumption (E24), and duration of the charge and
maintenance mode test (tcd)), where the represented value of
the metric is:
[GRAPHIC] [TIFF OMITTED] TR12DE16.017

and, x is the sample mean, n is the number of samples, and
xi is the measured value of the ith sample for the metric.
(iv) For each basic model of UPSs, the represented value of
Effavg must be calculated using one of the following two
methods:
(A) A sample of sufficient size must be randomly selected and
tested to ensure that the represented value of Effavg is
less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.018

and, x is the sample mean; n is the number of samples; and
xi is the Effavg of the ith sample; or,
(2) The lower 97.5-percent confidence limit (LCL) of the true mean
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR12DE16.019

and x is the sample mean; s is the sample standard deviation; n is the
number of samples; and t0.975 is the t-statistic for a 97.5-
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A of this subpart).
(B) The represented value of Effavg is equal to the
Effavg of the single unit tested.
(b) Certification reports. (1) The requirements of Sec.  429.12 are
applicable to all battery chargers.
(2) Pursuant to Sec.  429.12(b)(13), a certification report must
include the following product-specific information for all battery
chargers other than UPSs: The nameplate battery voltage of the test
battery in volts (V), the nameplate battery charge capacity of the test
battery in ampere-hours (Ah), and the nameplate battery energy capacity
of the test battery in watt-hours (Wh). A certification report must
also include the represented values, as determined in paragraph (a) of
this section for the maintenance mode power (Pm), standby
mode power (Psb), off mode power (Poff), battery
discharge energy (Ebatt), 24-hour energy consumption
(E24), duration of the charge and maintenance mode test
(tcd), and unit energy consumption (UEC).
(3) Pursuant to Sec.  429.12(b)(13), a certification report must
include the following product-specific information for all battery
chargers other than UPSs: The manufacturer and model of the test
battery, and the manufacturer and model, when applicable, of the
external power supply.
(4) Pursuant to Sec.  429.12(b)(13), a certification report must
include the following product-specific information for all UPSs:
Supported input dependency mode(s); active power in watts (W); apparent
power in volt-amperes (VA); rated input and output

[[Page 89822]]

voltages in volts (V); efficiencies at 25 percent, 50 percent, 75
percent and 100 percent of the reference test load; and average load
adjusted efficiency of the lowest and highest input dependency modes.

0
3. Section 429.110 is amended by revising paragraphs (e)(6), (7), and
(8), and adding paragraph (e)(9) to read as follows:

Sec.  429.110  Enforcement testing.

* * * * *
(e) * * *
(6) For uninterruptible power supplies, if a basic model is
certified for compliance to the applicable energy conservation
standard(s) in Sec.  430.32 of this chapter according to the sampling
plan in Sec.  429.39(a)(2)(iv)(A) of this chapter, DOE will use a
sample size of not more than 21 units and follow the sampling plan in
appendix A of this subpart (Sampling for Enforcement Testing of Covered
Consumer Products and Certain High-Volume Commercial Equipment). If a
basic model is certified for compliance to the applicable energy
conservation standard(s) in Sec.  430.32 of this chapter according to
the sampling plan in Sec.  429.39(a)(2)(iv)(B) of this chapter, DOE
will use a sample size of at least one unit and follow the sampling
plan in appendix D of this subpart (Sampling for Enforcement Testing of
Uninterruptible Power Supplies).
(7) Notwithstanding paragraphs (e)(1) through (6) of this section,
if testing of the available or subsequently available units of a basic
model would be impractical, as for example when a basic model has
unusual testing requirements or has limited production, DOE may in its
discretion decide to base the determination of compliance on the
testing of fewer than the otherwise required number of units.
(8) When DOE makes a determination in accordance with paragraph
(e)(7) of this section to test less than the number of units specified
in paragraphs (e)(1) through (6) of this section, DOE will base the
compliance determination on the results of such testing in accordance
with appendix B of this subpart (Sampling Plan for Enforcement Testing
of Covered Equipment and Certain Low-Volume Covered Products) using a
sample size (n1) equal to the number of units tested.
(9) For the purposes of this section, available units are those
that are available for distribution in commerce within the United
States.

0
4. Section 429.134 is amended by adding paragraph (o) to read as
follows:

Sec.  429.134   Product-specific enforcement provisions.

* * * * *
(o) Uninterruptible power supplies. (1) Determine the UPS
architecture by performing the tests specified in the definitions of
VI, VFD, and VFI in sections 2.28.1 through 2.28.3 of appendix Y to
subpart B of 10 CFR part 430.
(2) [Reserved]

0
5. Add appendix D to subpart C of part 429 to read as follows:

Appendix D to Subpart C of Part 429--Sampling Plan for Enforcement
Testing of Uninterruptible Power Supplies

(a) The minimum sample size for enforcement testing will be one
unit.
(b) Compute the average load adjusted efficiency (Effavg) of the
unit in the sample.
(c) Determine the applicable DOE energy efficiency standard
(EES).
(d) If all Effavg are equal to or greater than EES, then the
basic model is in compliance and testing is at an end.
(e) If any Effavg is less than EES, then the basic model is in
noncompliance and testing is at an end.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
6. The authority citation for part 430 continues to read as follows:

Authority:  42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

0
7. Section 430.3 is amended by:
0
a. Redesignating paragraphs (e)(17) through (20) as (e)(18) through
(21) respectively;
0
b. Adding new paragraph (e)(17);
0
c. Redesignating paragraphs (p)(3) through (8) as (p)(4) through (9)
respectively; and
0
d. Adding new paragraph (p)(3).

Sec.  430.3   Materials incorporated by reference.

* * * * *
(e) * * *
(17) ANSI/NEMA WD 6-2016, Wiring Devices--Dimensional
Specifications, ANSI approved February 11, 2016, IBR approved for
Appendix Y to subpart B; as follows:
(i) Figure 1-15--Plug and Receptacle; and
(ii) Figure 5-15--Plug and Receptacle.
* * * * *
(p) * * *
(3) IEC Standard 62040-3 Ed. 2.0, (IEC 62040-3 Ed. 2.0''),
Uninterruptible power systems (UPS)--Part 3: Method of specifying the
performance and test requirements, Edition 2.0, 2011-03, IBR approved
for appendix Y to subpart B, as follows:
(i) Section 5, Electrical conditions, performance and declared
values, Section 5.2, UPS input specification, Section 5.2.1--Conditions
for normal mode of operation;
(ii) Clause 5.2.2.k;
(iii) Section 5.3, UPS output specification, Section 5.3.2,
Characteristics to be declared by the manufacturer, Clause 5.3.2.d;
(iv) Clause 5.3.2.e;
(v) Section 5.3.4--Performance classification;
(vi) Section 6.2, Routine test procedure, Section 6.2.2.7--AC input
failure;
(vii) Section 6.4, Type test procedure (electrical), Section
6.4.1--Input--a.c. supply compatibility (excluding 6.4.1.3, 6.4.1.4,
6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10);
(viii) Annex G--Input mains failure--Test method
(ix) Annex J--UPS Efficiency--Methods of measurement.
* * * * *

0
8. Section 430.23 is amended by revising paragraph (aa) to read as
follows:

Sec.  430.23  Test procedures for the measurement of energy and water
consumption.

* * * * *
(aa) Battery Chargers. (1) Measure the maintenance mode power,
standby power, off mode power, battery discharge energy, 24-hour energy
consumption and measured duration of the charge and maintenance mode
test for a battery charger other than uninterruptible power supplies in
accordance with appendix Y to this subpart.
(2) Calculate the unit energy consumption of a battery charger
other than uninterruptible power supplies in accordance with appendix Y
to this subpart.
(3) Calculate the average load adjusted efficiency of an
uninterruptible power supply in accordance with appendix Y to this
subpart.
* * * * *

0
9. Appendix Y to subpart B of part 430 is amended by:
0
a. Revising the introductory text to appendix Y;
0
b. Revising section 1;
0
c. Redesignating section 2.24 as 2.28;
0
d. Adding a new section 2.24;
0
e. Redesignating sections 2.22 and 2.23 as sections 2.25 and 2.26,
respectively;
0
f. Adding sections 2.27, 2.27.1, 2.27.2, and 2.27.3;
0
g. Redesignating sections 2.18 through 2.21 as sections 2.20 through
2.23, respectively;

[[Page 89823]]

0
h. Adding a new section 2.19;
0
i. Redesignating sections 2.12 through 2.17 as sections 2.13 through
2.18, respectively;
0
j. Adding a new section 2.12;
0
k. Revising sections 3 and 4; and
0
l. Removing section 5.
The additions and revisions read as follows:

Appendix Y to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Battery Chargers

Prior to November 16, 2016, manufacturers must make any
representations regarding the energy consumption of battery chargers
other than uninterruptible power supplies based upon results
generated under this appendix or the previous version of this
appendix as it appeared in the Code of Federal Regulations on
January 1, 2016. On or after November 16, 2016, manufacturers must
make any representations regarding the energy consumption of battery
chargers other than uninterruptible power supplies based upon
results generated under this appendix. On or after June 12, 2017,
manufacturers must make any representations regarding the energy
efficiency of uninterruptible power supplies based upon results
generated under this appendix.

1. Scope

This appendix provides the test requirements used to measure the
energy consumption of battery chargers operating at either DC or
United States AC line voltage (115V at 60Hz). This appendix also
provides the test requirements used to measure the energy efficiency
of uninterruptible power supplies as defined in section 2 of this
appendix that utilize the standardized National Electrical
Manufacturer Association (NEMA) plug, 1-15P or 5-15P, as specified
in ANSI/NEMA WD 6-2016 (incorporated by reference, see Sec.  430.3)
and have an AC output. This appendix does not provide a method for
testing back-up battery chargers.
* * * * *

2. Definitions

* * * * *
2.12. Energy storage system is a system consisting of single or
multiple devices designed to provide power to the UPS inverter
circuitry.
* * * * *
2.19. Normal mode is a mode of operation for a UPS in which:
(1) The AC input supply is within required tolerances and
supplies the UPS,
(2) The energy storage system is being maintained at full charge
or is under recharge, and
(3) The load connected to the UPS is within the UPS's specified
power rating.
* * * * *
2.24. Reference test load is a load or a condition with a power
factor of greater than 0.99 in which the AC output socket of the UPS
delivers the active power (W) for which the UPS is rated.
* * * * *
2.27. Uninterruptible power supply or UPS means a battery
charger consisting of a combination of convertors, switches and
energy storage devices (such as batteries), constituting a power
system for maintaining continuity of load power in case of input
power failure.
2.27.1. Voltage and frequency dependent UPS or VFD UPS means a
UPS that produces an AC output where the output voltage and
frequency are dependent on the input voltage and frequency. This UPS
architecture does not provide corrective functions like those in
voltage independent and voltage and frequency independent systems.
Note to 2.27.1: VFD input dependency may be verified by
performing the AC input failure test in section 6.2.2.7 of IEC
62040-3 Ed. 2.0 (incorporated by reference, see Sec.  430.3) and
observing that, at a minimum, the UPS switches from normal mode of
operation to battery power while the input is interrupted.
2.27.2. Voltage and frequency independent UPS or VFI UPS means a
UPS where the device remains in normal mode producing an AC output
voltage and frequency that is independent of input voltage and
frequency variations and protects the load against adverse effects
from such variations without depleting the stored energy source.
Note to 2.27.2: VFI input dependency may be verified by
performing the steady state input voltage tolerance test and the
input frequency tolerance test in sections 6.4.1.1 and 6.4.1.2 of
IEC 62040-3 Ed. 2.0 (incorporated by reference, see Sec.  430.3)
respectively and observing that, at a minimum, the UPS produces an
output voltage and frequency within the specified output range when
the input voltage is varied by 10% of the rated input
voltage and the input frequency is varied by 2% of the
rated input frequency.
2.27.3. Voltage independent UPS or VI UPS means a UPS that
produces an AC output within a specific tolerance band that is
independent of under-voltage or over-voltage variations in the input
voltage without depleting the stored energy source. The output
frequency of a VI UPS is dependent on the input frequency, similar
to a voltage and frequency dependent system.
Note to 2.27.3: VI input dependency may be verified by
performing the steady state input voltage tolerance test in section
6.4.1.1 of IEC 62040-3 Ed. 2.0 (incorporated by reference, see Sec.
430.3) and ensuring that the UPS remains in normal mode with the
output voltage within the specified output range when the input
voltage is varied by 10% of the rated input voltage.
* * * * *

3. Testing Requirements for all Battery Chargers Other Than
Uninterruptible Power Supplies

3.1. Standard Test Conditions

3.1.1 General

The values that may be measured or calculated during the conduct
of this test procedure have been summarized for easy reference in
Table 3.1.1. of this appendix.

Table 3.1.1--List of Measured or Calculated Values
------------------------------------------------------------------------
Name of measured or  calculated value              Reference
------------------------------------------------------------------------
1. Duration of the charge and            Section 3.3.2.
maintenance mode test.
2. Battery Discharge Energy............  Section 3.3.8.
3. Initial time and power (W) of the     Section 3.3.6.
input current of connected battery.
4. Active and Maintenance Mode Energy    Section 3.3.6.
Consumption.
5. Maintenance Mode Power..............  Section 3.3.9.
6. 24 Hour Energy Consumption..........  Section 3.3.10.
7. Standby Mode Power..................  Section 3.3.11.
8. Off Mode Power......................  Section 3.3.12.
9. Unit Energy Consumption, UEC (kWh/    Section 3.3.13.
yr).
------------------------------------------------------------------------

3.1.2. Verifying Accuracy and Precision of Measuring Equipment

Any power measurement equipment utilized for testing must
conform to the uncertainty and resolution requirements outlined in
section 4, General conditions for measurement'', as well as
annexes B, Notes on the measurement of low power modes'', and D,
Determination of uncertainty of measurement'', of IEC 62301
(incorporated by reference, see Sec.  430.3).

3.1.3. Setting Up the Test Room

All tests, battery conditioning, and battery rest periods shall
be carried out in a room with an air speed immediately surrounding
the UUT of <=0.5 m/s. The ambient temperature shall be maintained at
20 [deg]C  5 [deg]C throughout the test. There shall be
no intentional cooling of the UUT such as by use of separately
powered fans, air conditioners, or heat sinks. The UUT shall be
conditioned, rested, and tested on a thermally non-conductive
surface. When not undergoing active testing, batteries shall be
stored at 20 [deg]C  5 [deg]C.

3.1.4. Verifying the UUT's Input Voltage and Input Frequency

(a) If the UUT is intended for operation on AC line-voltage
input in the United States, it shall be tested at 115 V at 60 Hz. If
the UUT is intended for operation on AC line-voltage input but
cannot be operated at 115 V at 60 Hz, it shall not be tested.
(b) If a charger is powered by a low-voltage DC or AC input, and
the manufacturer packages the charger with a wall adapter, sells, or
recommends an optional wall adapter capable of providing that low
voltage input, then the charger shall be tested using that wall
adapter and the input reference source shall be 115 V at 60 Hz. If
the wall adapter cannot be operated with AC input voltage at 115 V
at 60 Hz, the charger shall not be tested.
(c) If the UUT is designed for operation only on DC input
voltage and the provisions of section 3.1.4(b) of this appendix do
not apply, it shall be tested with one of the

[[Page 89824]]

following input voltages: 5.0 V DC for products drawing power from a
computer USB port or the midpoint of the rated input voltage range
for all other products. The input voltage shall be within 1 percent of the above specified voltage.
(d) If the input voltage is AC, the input frequency shall be
within 1 percent of the specified frequency. The THD of
the input voltage shall be <=2 percent, up to and including the 13th
harmonic. The crest factor of the input voltage shall be between
1.34 and 1.49.
(e) If the input voltage is DC, the AC ripple voltage (RMS)
shall be:
(1) <=0.2 V for DC voltages up to 10 V; or
(2) <=2 percent of the DC voltage for DC voltages over 10 V.

3.2. Unit Under Test Setup Requirements

3.2.1. General Setup

(a) The battery charger system shall be prepared and set up in
accordance with the manufacturer's instructions, except where those
instructions conflict with the requirements of this test procedure.
If no instructions are given, then factory or default'' settings
shall be used, or where there are no indications of such settings,
the UUT shall be tested in the condition as it would be supplied to
an end user.
(b) If the battery charger has user controls to select from two
or more charge rates (such as regular or fast charge) or different
charge currents, the test shall be conducted at the fastest charge
rate that is recommended by the manufacturer for everyday use, or,
failing any explicit recommendation, the factory-default charge
rate. If the charger has user controls for selecting special charge
cycles that are recommended only for occasional use to preserve
battery health, such as equalization charge, removing memory, or
battery conditioning, these modes are not required to be tested. The
settings of the controls shall be listed in the report for each
test.

3.2.2. Selection and Treatment of the Battery Charger

The UUT, including the battery charger and its associated
battery, shall be new products of the type and condition that would
be sold to a customer. If the battery is lead-acid chemistry and the
battery is to be stored for more than 24 hours between its initial
acquisition and testing, the battery shall be charged before such
storage.

3.2.3. Selection of Batteries To Use for Testing

(a) For chargers with integral batteries, the battery packaged
with the charger shall be used for testing. For chargers with
detachable batteries, the battery or batteries to be used for
testing will vary depending on whether there are any batteries
packaged with the battery charger.
(1) If batteries are packaged with the charger, batteries for
testing shall be selected from the batteries packaged with the
battery charger, according to the procedure in section 3.2.3(b) of
this appendix.
(2) If no batteries are packaged with the charger, but the
instructions specify or recommend batteries for use with the
charger, batteries for testing shall be selected from those
recommended or specified in the instructions, according to the
procedure in section 3.2.3(b) of this appendix.
(3) If no batteries are packaged with the charger and the
instructions do not specify or recommend batteries for use with the
charger, batteries for testing shall be selected from any that are
suitable for use with the charger, according to the procedure in
section 3.2.3(b) of this appendix.
(b)(1) From the detachable batteries specified above, use Table
3.2.1 of this appendix to select the batteries to be used for
testing, depending on the type of battery charger being tested. The
battery charger types represented by the rows in the table are
mutually exclusive. Find the single applicable row for the UUT, and
test according to those requirements. Select only the single battery
configuration specified for the battery charger type in Table 3.2.1
of this appendix.
(2) If the battery selection criteria specified in Table 3.2.1
of this appendix results in two or more batteries or configurations
of batteries of different chemistries, but with equal voltage and
capacity ratings, determine the maintenance mode power, as specified
in section 3.3.9 of this appendix, for each of the batteries or
configurations of batteries, and select for testing the battery or
configuration of batteries with the highest maintenance mode power.
(c) A charger is considered as:
(1) Single-capacity if all associated batteries have the same
nameplate battery charge capacity (see definition) and, if it is a
batch charger, all configurations of the batteries have the same
nameplate battery charge capacity.
(2) Multi-capacity if there are associated batteries or
configurations of batteries that have different nameplate battery
charge capacities.
(d) The selected battery or batteries will be referred to as the
test battery'' and will be used through the remainder of this test
procedure.

Table 3.2.1--Battery Selection for Testing
----------------------------------------------------------------------------------------------------------------
Type of charger                                         Tests to perform
----------------------------------------------------------------------------------------------------------------
Battery selection  (from all
Multi-voltage              Multi-port       Multi-capacity        configurations of all associated
batteries)
----------------------------------------------------------------------------------------------------------------
No............................  No...............  No...............  Any associated battery.
No............................  No...............  Yes..............  Highest charge capacity battery.
No............................  Yes..............  Yes or No........  Use all ports. Use the maximum number of
identical batteries with the highest
nameplate battery charge capacity that
the charger can accommodate.
Yes...........................  No...............  No...............  Highest voltage battery.
--------------------------------------
Yes...........................  Yes to either or both                 Use all ports. Use the battery or
configuration of batteries with the
highest individual voltage. If multiple
batteries meet this criteria, then use
the battery or configuration of batteries
with the highest total nameplate battery
charge capacity at the highest individual
voltage.
----------------------------------------------------------------------------------------------------------------

3.2.4. Limiting Other Non-Battery-Charger Functions

(a) If the battery charger or product containing the battery
charger does not have any additional functions unrelated to battery
charging, this subsection may be skipped.
(b) Any optional functions controlled by the user and not
associated with the battery charging process (e.g., the answering
machine in a cordless telephone charging base) shall be switched
off. If it is not possible to switch such functions off, they shall
be set to their lowest power-consuming mode during the test.
(c) If the battery charger takes any physically separate
connectors or cables not required for battery charging but
associated with its other functionality (such as phone lines, serial
or USB connections, Ethernet, cable TV lines, etc.), these
connectors or cables shall be left disconnected during the testing.
(d) Any manual on-off switches specifically associated with the
battery charging process shall be switched on for the duration of
the charge, maintenance, and no-battery mode tests, and switched off
for the off mode test.

3.2.5. Accessing the Battery for the Test

(a) The technician may need to disassemble the end-use product
or battery charger to gain access to the battery terminals for the
Battery Discharge Energy Test in section 3.3.8 of this appendix. If
the battery terminals are not clearly labeled, the technician shall
use a voltmeter to identify the positive and negative terminals.
These terminals will be the ones that give the largest voltage
difference and are able to deliver significant current (0.2 C or 1/
hr) into a load.

[[Page 89825]]

(b) All conductors used for contacting the battery must be
cleaned and burnished prior to connecting in order to decrease
voltage drops and achieve consistent results.
(c) Manufacturer's instructions for disassembly shall be
followed, except those instructions that:
(1) Lead to any permanent alteration of the battery charger
circuitry or function;
(2) Could alter the energy consumption of the battery charger
compared to that experienced by a user during typical use, e.g., due
to changes in the airflow through the enclosure of the UUT; or
(3) Conflict requirements of this test procedure.
(d) Care shall be taken by the technician during disassembly to
follow appropriate safety precautions. If the functionality of the
device or its safety features is compromised, the product shall be
(e) Some products may include protective circuitry between the
battery cells and the remainder of the device. If the manufacturer
provides a description for accessing the connections at the output
of the protective circuitry, these connections shall be used to
discharge the battery and measure the discharge energy. The energy
consumed by the protective circuitry during discharge shall not be
measured or credited as battery energy.
(f) If the technician, despite diligent effort and use of the
manufacturer's instructions, encounters any of the following
conditions noted immediately below, the Battery Discharge Energy and
the Charging and Maintenance Mode Energy shall be reported as Not
Applicable'':
(1) Inability to access the battery terminals;
(2) Access to the battery terminals destroys charger
functionality; or
(3) Inability to draw current from the test battery.

3.2.6. Determining Charge Capacity for Batteries With No Rating

(a) If there is no rating for the battery charge capacity on the
battery or in the instructions, then the technician shall determine
a discharge current that meets the following requirements. The
battery shall be fully charged and then discharged at this constant-
current rate until it reaches the end-of-discharge voltage specified
in Table 3.3.2 of this appendix. The discharge time must be not less
than 4.5 hours nor more than 5 hours. In addition, the discharge
test (section 3.3.8 of this appendix) (which may not be starting
with a fully-charged battery) shall reach the end-of-discharge
voltage within 5 hours. The same discharge current shall be used for
both the preparations step (section 3.3.4 of this appendix) and the
discharge test (section 3.3.8 of this appendix). The test report
shall include the discharge current used and the resulting discharge
times for both a fully-charged battery and for the discharge test.
(b) For this section, the battery is considered as fully
charged'' when either: it has been charged by the UUT until an
indicator on the UUT shows that the charge is complete; or it has
been charged by a battery analyzer at a current not greater than the
discharge current until the battery analyzer indicates that the
battery is fully charged.
(c) When there is no capacity rating, a suitable discharge
current must generally be determined by trial and error. Since the
conditioning step does not require constant-current discharges, the
trials themselves may also be counted as part of battery
conditioning.

3.3. Test Measurement

The test sequence to measure the battery charger energy
consumption is summarized in Table 3.3.1 of this appendix, and
explained in detail in this appendix. Measurements shall be made
under test conditions and with the equipment specified in sections
3.1 and 3.2 of this appendix.

Table 3.3.1--Test Sequence
----------------------------------------------------------------------------------------------------------------
Equipment needed
---------------------------------------------------------------
Battery
analyzer                 Thermometer
Step/Description           Data taken?        Test                     or       AC power    (for flooded
battery     Charger    constant-     meter       lead-acid
current                   battery
----------------------------------------------------------------------------------------------------------------
1. Record general data on      Yes..............          X           X   ..........  ..........  ..............
UUT; Section 3.3.1.
2. Determine test duration;    No...............  ..........  ..........  ..........  ..........  ..............
Section 3.3.2.
3. Battery conditioning;       No...............          X           X           X   ..........  ..............
Section 3.3.3.
4. Prepare battery for charge  No...............          X           X   ..........  ..........  ..............
test; Section 3.3.4.
5. Battery rest period;        No...............          X   ..........  ..........  ..........              X
Section 3.3.5.
6. Conduct Charge Mode and     Yes..............          X           X   ..........          X   ..............
Battery Maintenance Mode
Test; Section 3.3.6.
7. Battery Rest Period;        No...............          X   ..........  ..........  ..........              X
Section 3.3.7.
8. Battery Discharge Energy    Yes..............          X   ..........          X   ..........  ..............
Test; Section 3.3.8.
9. Determining the             Yes..............          X           X   ..........          X   ..............
Maintenance Mode Power;
Section 3.3.9.
10. Calculating the 24-Hour    No...............  ..........  ..........  ..........  ..........  ..............
Energy Consumption; Section
3.3.10.
11. Standby Mode Test;         Yes..............  ..........          X   ..........          X   ..............
Section 3.3.11.
12. Off Mode Test; Section     Yes..............  ..........          X   ..........          X   ..............
3.3.12.
----------------------------------------------------------------------------------------------------------------

3.3.1. Recording General Data on the UUT

The technician shall record:
(a) The manufacturer and model of the battery charger;
(b) The presence and status of any additional functions
unrelated to battery charging;
(c) The manufacturer, model, and number of batteries in the test
battery;
(d) The nameplate battery voltage of the test battery;
(e) The nameplate battery charge capacity of the test battery;
and
(f) The nameplate battery charge energy of the test battery.
(g) The settings of the controls, if battery charger has user
controls to select from two or more charge rates.

3.3.2. Determining the Duration of the Charge and Maintenance Mode
Test

(a) The charging and maintenance mode test, described in detail
in section 3.3.6 of this appendix, shall be 24 hours in length or
longer, as determined by the items below. Proceed in order until a
test duration is determined.
(1) If the battery charger has an indicator to show that the
battery is fully charged, that indicator shall be used as follows:
If the indicator shows that the battery is charged after 19 hours of
charging, the test shall be terminated at 24 hours. Conversely, if
the full-charge indication is not yet present after 19 hours of
charging, the test shall continue until 5 hours after the indication
is present.
(2) If there is no indicator, but the manufacturer's
instructions indicate that charging this battery or this capacity of
battery should be complete within 19 hours, the test shall be for 24
hours. If the instructions indicate that charging may take longer
than 19 hours, the test shall be run for the longest estimated
charge time plus 5 hours.
(3) If there is no indicator and no time estimate in the
instructions, but the charging current is stated on the charger or
in the

[[Page 89826]]

instructions, calculate the test duration as the longer of 24 hours
or:
[GRAPHIC] [TIFF OMITTED] TR12DE16.027

(b) If none of the above applies, the duration of the test shall
be 24 hours.

3.3.3. Battery Conditioning

(a) No conditioning is to be done on lithium-ion batteries. The
test technician shall proceed directly to battery preparation,
section 3.3.4 of this appendix, when testing chargers for these
batteries.
(b) Products with integral batteries will have to be
disassembled per the instructions in section 3.2.5 of this appendix,
and the battery disconnected from the charger for discharging.
(c) Batteries of other chemistries that have not been previously
cycled are to be conditioned by performing two charges and two
discharges, followed by a charge, as below. No data need be recorded
during battery conditioning.
(1) The test battery shall be fully charged for the duration
specified in section 3.3.2 of this appendix or longer using the UUT.
(2) The test battery shall then be fully discharged using
either:
(i) A battery analyzer at a rate not to exceed 1 C, until its
average cell voltage under load reaches the end-of-discharge voltage
specified in Table 3.3.2 of this appendix for the relevant battery
chemistry; or
(ii) The UUT, until the UUT ceases operation due to low battery
voltage.
(3) The test battery shall again be fully charged as in step
(c)(1) of this section.
(4) The test battery shall again be fully discharged as per step
(c)(2) of this section.
(5) The test battery shall be again fully charged as in step
(c)(1) of this section.
(d) Batteries of chemistries, other than lithium-ion, that are
known to have been through at least two previous full charge/
discharge cycles shall only be charged once per step (c)(5), of this
section.

3.3.4. Preparing the Battery for Charge Testing

Following any conditioning prior to beginning the battery charge
test (section 3.3.6 of this appendix), the test battery shall be
fully discharged for the duration specified in section 3.3.2 of this
appendix, or longer using a battery analyzer.

3.3.5. Resting the Battery

The test battery shall be rested between preparation and the
battery charge test. The rest period shall be at least one hour and
not exceed 24 hours. For batteries with flooded cells, the
electrolyte temperature shall be less than 30 [deg]C before
charging, even if the rest period must be extended longer than 24
hours.

3.3.6. Testing Charge Mode and Battery Maintenance Mode

(a) The Charge and Battery Maintenance Mode test measures the
energy consumed during charge mode and some time spent in the
maintenance mode of the UUT. Functions required for battery
conditioning that happen only with some user-selected switch or
other control shall not be included in this measurement. (The
technician shall manually turn off any battery conditioning cycle or
setting.) Regularly occurring battery conditioning or maintenance
functions that are not controlled by the user will, by default, be
incorporated into this measurement.
(b) During the measurement period, input power values to the UUT
shall be recorded at least once every minute.
(1) If possible, the technician shall set the data logging
system to record the average power during the sample interval. The
total energy is computed as the sum of power samples (in watts)
multiplied by the sample interval (in hours).
(2) If this setting is not possible, then the power analyzer
shall be set to integrate or accumulate the input power over the
measurement period and this result shall be used as the total
energy.
(c) The technician shall follow these steps:
(1) Ensure that the user-controllable device functionality not
associated with battery charging and any battery conditioning cycle
or setting are turned off, as instructed in section 3.2.4 of this
appendix;
(2) Ensure that the test battery used in this test has been
conditioned, prepared, discharged, and rested as described in
sections 3.3.3 through 3.3.5 of this appendix;
(3) Connect the data logging equipment to the battery charger;
(4) Record the start time of the measurement period, and begin
logging the input power;
(5) Connect the test battery to the battery charger within 3
minutes of beginning logging. For integral battery products, connect
the product to a cradle or wall adapter within 3 minutes of
beginning logging;
(6) After the test battery is connected, record the initial time
and power (W) of the input current to the UUT. These measurements
shall be taken within the first 10 minutes of active charging;
(7) Record the input power for the duration of the Charging
and Maintenance Mode Test'' period, as determined by section 3.3.2
of this appendix. The actual time that power is connected to the UUT
shall be within 5 minutes of the specified period; and
(8) Disconnect power to the UUT, terminate data logging, and
record the final time.

3.3.7. Resting the Battery

The test battery shall be rested between charging and
discharging. The rest period shall be at least 1 hour and not more
than 4 hours, with an exception for flooded cells. For batteries
with flooded cells, the electrolyte temperature shall be less than
30 [deg]C before charging, even if the rest period must be extended
beyond 4 hours.

3.3.8. Battery Discharge Energy Test

(a) If multiple batteries were charged simultaneously, the
discharge energy is the sum of the discharge energies of all the
batteries.
(1) For a multi-port charger, batteries that were charged in
separate ports shall be discharged independently.
(2) For a batch charger, batteries that were charged as a group
may be discharged individually, as a group, or in sub-groups
connected in series and/or parallel. The position of each battery
with respect to the other batteries need not be maintained.
(b) During discharge, the battery voltage and discharge current
shall be sampled and recorded at least once per minute. The values
recorded may be average or instantaneous values.
(c) For this test, the technician shall follow these steps:
(1) Ensure that the test battery has been charged by the UUT and
rested according to the procedures above.
(2) Set the battery analyzer for a constant discharge rate and
the end-of-discharge voltage in Table 3.3.2 of this appendix for the
relevant battery chemistry.
(3) Connect the test battery to the analyzer and begin recording
the voltage, current, and wattage, if available from the battery
analyzer. When the end-of-discharge voltage is reached or the UUT
circuitry terminates the discharge, the test battery shall be
returned to an open-circuit condition. If current continues to be
drawn from the test battery after the end-of-discharge condition is
first reached, this additional energy is not to be counted in the
battery discharge energy.
(d) If not available from the battery analyzer, the battery
discharge energy (in watt-hours) is calculated by multiplying the
voltage (in volts), current (in amperes), and sample period (in
hours) for each sample, and then summing over all sample periods
until the end-of-discharge voltage is reached.

3.3.9. Determining the Maintenance Mode Power

After the measurement period is complete, the technician shall
determine the average maintenance mode power consumption by
examining the power-versus-time data from the charge and maintenance
test and:
(a) If the maintenance mode power is cyclic or shows periodic
pulses, compute the average power over a time period that spans a
whole number of cycles and includes at least the last 4 hours.
(b) Otherwise, calculate the average power value over the last 4
hours.

3.3.10. Determining the 24-Hour Energy Consumption

The accumulated energy or the average input power, integrated
over the test period

[[Page 89827]]

from the charge and maintenance mode test, shall be used to
calculate 24-hour energy consumption.

Table 3.3.2--Required Battery Discharge Rates and End-of-Discharge
Battery Voltages
------------------------------------------------------------------------
End-of-discharge
Battery chemistry         Discharge rate (C)   voltage *  (volts
per cell)
------------------------------------------------------------------------
Valve-Regulated Lead Acid (VRLA)                 0.2                1.75
Flooded Lead Acid...............                 0.2                1.70
Nickel Cadmium (NiCd)...........                 0.2                 1.0
Nickel Metal Hydride (NiMH).....                 0.2                 1.0
Lithium Ion (Li-Ion)............                 0.2                 2.5
Lithium Polymer.................                 0.2                 2.5
Rechargeable Alkaline...........                 0.2                 0.9
Nanophosphate Lithium Ion.......                 0.2                 2.0
Silver Zinc.....................                 0.2                 1.2
------------------------------------------------------------------------
* If the presence of protective circuitry prevents the battery cells
from being discharged to the end-of-discharge voltage specified, then
discharge battery cells to the lowest possible voltage permitted by
the protective circuitry.

3.3.11. Standby Mode Energy Consumption Measurement

The standby mode measurement depends on the configuration of the
battery charger, as follows.
(a) Conduct a measurement of standby power consumption while the
battery charger is connected to the power source. Disconnect the
battery from the charger, allow the charger to operate for at least
30 minutes, and record the power (i.e., watts) consumed as the time
series integral of the power consumed over a 10-minute test period,
divided by the period of measurement. If the battery charger has
manual on-off switches, all must be turned on for the duration of
the standby mode test.
(b) Standby mode may also apply to products with integral
batteries. If the product uses a cradle and/or adapter for power
conversion and charging, then disconnecting the battery from the
charger'' will require disconnection of the end-use product, which
contains the batteries. The other enclosures of the battery charging
system will remain connected to the main electricity supply, and
standby mode power consumption will equal that of the cradle and/or
(c) If the product is powered through a detachable AC power cord
and contains integrated power conversion and charging circuitry,
then only the cord will remain connected to mains, and standby mode
power consumption will equal that of the AC power cord (i.e., zero
watts).
(d) Finally, if the product contains integrated power conversion
and charging circuitry but is powered through a non-detachable AC
power cord or plug blades, then no part of the system will remain
connected to mains, and standby mode measurement is not applicable.

3.3.12. Off Mode Energy Consumption Measurement

The off mode measurement depends on the configuration of the
battery charger, as follows.
(a) If the battery charger has manual on-off switches, record a
measurement of off mode energy consumption while the battery charger
is connected to the power source. Remove the battery from the
charger, allow the charger to operate for at least 30 minutes, and
record the power (i.e., watts) consumed as the time series integral
of the power consumed over a 10-minute test period, divided by the
period of measurement, with all manual on-off switches turned off.
If the battery charger does not have manual on-off switches, record
that the off mode measurement is not applicable to this product.
(b) Off mode may also apply to products with integral batteries.
If the product uses a cradle and/or adapter for power conversion and
charging, then disconnecting the battery from the charger'' will
require disconnection of the end-use product, which contains the
batteries. The other enclosures of the battery charging system will
remain connected to the main electricity supply, and off mode power
consumption will equal that of the cradle and/or adapter alone.
(c) If the product is powered through a detachable AC power cord
and contains integrated power conversion and charging circuitry,
then only the cord will remain connected to mains, and off mode
power consumption will equal that of the AC power cord (i.e., zero
watts).
(d) Finally, if the product contains integrated power conversion
and charging circuitry but is powered through a non-detachable AC
power cord or plug blades, then no part of the system will remain
connected to mains, and off mode measurement is not applicable.

3.3.13. Unit Energy Consumption Calculation

Unit energy consumption (UEC) shall be calculated for a battery
charger using one of the two equations (equation (i) or equation
(ii)) listed in this section. If a battery charger is tested and its
charge duration as determined in section 3.3.2 of this appendix
minus 5 hours is greater than the threshold charge time listed in
table 3.3.3 of this appendix (i.e. (tcd - 5) * n >
ta&m), equation (ii) shall be used to calculate UEC;
otherwise a battery charger's UEC shall be calculated using equation
(i).
[GRAPHIC] [TIFF OMITTED] TR12DE16.020

Where:

E24 = 24-hour energy as determined in section 3.3.10 of this
appendix,
Ebatt = Measured battery energy as determined in section 3.3.8 of
this appendix,
Pm = Maintenance mode power as determined in section 3.3.9 of this
appendix,
Psb = Standby mode power as determined in section 3.3.11 of this
appendix,

[[Page 89828]]

Poff = Off mode power as determined in section 3.3.12 of this
appendix,
tcd = Charge test duration as determined in section 3.3.2 of this
appendix, and
ta&m, n, tsb, and toff, are constants used depending upon a device's
product class and found in the following table:

Table 3.3.3--Battery Charger Usage Profiles
--------------------------------------------------------------------------------------------------------------------------------------------------------
Product class                                                  Hours per day ***           Charges     Threshold
--------------------------------------------------------------------------------------------------------------------------------    (n)      charge time
Special         Active +                         -----------       *
Number                  Description        Rated battery     characteristic or   maintenance   Standby      Off       Number  -------------
energy (ebatt) **   battery  voltage      (ta&m)       (tsb)      (toff)    per day       Hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..............................  Low-Energy........  <=5 Wh............  Inductive                  20.66       0.10       0.00       0.15        137.73
Connection ****.
2..............................  Low-Energy, Low-    <100 Wh...........  <4 V..............          7.82       5.29       0.00       0.54         14.48
Voltage.
3..............................  Low-Energy, Medium-                     4-10 V............          6.42       0.30       0.00       0.10         64.20
Voltage.
4..............................  Low-Energy, High-                       >10 V.............         16.84       0.91       0.00       0.50         33.68
Voltage.
5..............................  Medium-Energy, Low- 100-3000 Wh.......  <20 V.............          6.52       1.16       0.00       0.11         59.27
Voltage.
6..............................  Medium-Energy,                          >=20 V............         17.15       6.85       0.00       0.34         50.44
High-Voltage.
7..............................  High-Energy.......  >3000 Wh..........  ..................          8.14       7.30       0.00       0.32         25.44
--------------------------------------------------------------------------------------------------------------------------------------------------------
* If the duration of the charge test (minus 5 hours) as determined in section 3.3.2 of appendix Y to subpart B of this part exceeds the threshold charge
time, use equation (ii) to calculate UEC otherwise use equation (i).
** Ebatt = Rated battery energy as determined in 10 CFR part 429.39(a).
*** If the total time does not sum to 24 hours per day, the remaining time is allocated to unplugged time, which means there is 0 power consumption and
no changes to the UEC calculation needed.
**** Inductive connection and designed for use in a wet environment (e.g. electric toothbrushes).

4. Testing Requirements for Uninterruptible Power Supplies

4.1. Standard Test Conditions

4.1.1. Measuring Equipment

(a) The power or energy meter must provide true root mean square
(r. m. s) measurements of the active input and output measurements,
with an uncertainty at full rated load of less than or equal to 0.5% at
the 95% confidence level notwithstanding that voltage and current
waveforms can include harmonic components. The meter must measure input
and output values simultaneously.
(b) All measurement equipment used to conduct the tests must be
calibrated within the measurement equipment manufacturer specified
calibration period by a standard traceable to International System of
Units such that measurements meet the uncertainty requirements
specified in section 4.1.1(a) of this appendix.

4.1.2. Test Room Requirements

All portions of the test must be carried out in a room with an air
speed immediately surrounding the UUT of <=0.5 m/s in all directions.
Maintain the ambient temperature in the range of 20.0 [deg]C to 30.0
[deg]C, including all inaccuracies and uncertainties introduced by the
temperature measurement equipment, throughout the test. No intentional
cooling of the UUT, such as by use of separately powered fans, air
conditioners, or heat sinks, is permitted. Test the UUT on a thermally
non-conductive surface.

4.1.3. Input Voltage and Input Frequency

The AC input voltage and frequency to the UPS during testing must
be within 3 percent of the highest rated voltage and within 1 percent
of the highest rated frequency of the device.

4.2. Unit Under Test Setup Requirements

4.2.1. General Setup

Configure the UPS according to Annex J.2 of IEC 62040-3 Ed. 2.0
(incorporated by reference, see Sec.  430.3) with the following
(a) UPS Operating Mode Conditions. If the UPS can operate in two or
more distinct normal modes as more than one UPS architecture, conduct
the test in its lowest input dependency as well as in its highest input
dependency mode where VFD represents the lowest possible input
dependency, followed by VI and then VFI.
(b) Energy Storage System. The UPS must not be modified or adjusted
to disable energy storage charging features. Minimize the transfer of
energy to and from the energy storage system by ensuring the energy
storage system is fully charged (at the start of testing) as follows:
(1) If the UUT has a battery charge indicator, charge the battery
for 5 hours after the UUT has indicated that it is fully charged.
(2) If the UUT does not have a battery charge indicator but the
user manual shipped with the UUT specifies a time to reach full charge,
charge the battery for 5 hours longer than the time specified.
(3) If the UUT does not have a battery charge indicator or user
manual instructions, charge the battery for 24 hours.
(c) DC output port(s). All DC output port(s) of the UUT must remain

(a) Any feature unrelated to maintaining the energy storage system
at full charge or delivery of load power (e.g., LCD display) shall be
switched off. If it is not possible to switch such features off, they
shall be set to their lowest power-consuming mode during the test.
(b) If the UPS takes any physically separate connectors or cables
not required for maintaining the energy storage system at full charge
or delivery of load power but associated with other features (such as
serial or USB connections, Ethernet, etc.), these connectors or cables
shall be left disconnected during the test.
(c) Any manual on-off switches specifically associated with
maintaining the energy storage system at full charge or delivery of
load power shall be switched on for the duration of the test.

[[Page 89829]]

4.3. Test Measurement and Calculation

Efficiency can be calculated from either average power or
accumulated energy.

4.3.1. Average Power Calculations

If efficiency calculation are to be made using average power,
calculate the average power consumption (Pavg) by sampling
the power at a rate of at least 1 sample per second and computing the
arithmetic mean of all samples over the time period specified for each
test as follows:
[GRAPHIC] [TIFF OMITTED] TR12DE16.021

Where:

Pavg = average power
Pi = power measured during individual measurement (i)
n = total number of measurements

Operate the UUT and the load for a sufficient length of time to
reach steady state conditions. To determine if steady state conditions
have been attained, perform the following steady state check, in which
the difference between the two efficiency calculations must be less
than 1 percent:
(a)(1) Simultaneously measure the UUT's input and output power for
at least 5 minutes, as specified in section 4.3.1 of this appendix, and
record the average of each over the duration as Pavg\in and Pavg\out,
respectively. Or,
(2) Simultaneously measure the UUT's input and output energy for at
least 5 minutes and record the accumulation of each over the duration
as Ein and Eout, respectively.
(b) Calculate the UUT's efficiency, Eff1, using one of the
following two equations:
[GRAPHIC] [TIFF OMITTED] TR12DE16.022

Where:

Eff is the UUT efficiency
Pavg\out is the average output power in watts
Pavg\in is the average input power in watts
[GRAPHIC] [TIFF OMITTED] TR12DE16.023

Where:

Eff is the UUT efficiency
Eout is the accumulated output energy in watt-hours
Ein in the accumulated input energy in watt-hours

(c) Wait a minimum of 10 minutes.
(d) Repeat the steps listed in paragraphs (a) and (b) of section
4.3.2 of this appendix to calculate another efficiency value, Eff2.
(e) Determine if the product is at steady state using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR12DE16.024

If the percentage difference of Eff1 and Eff2 as described in the
equation, is less than 1 percent, the product is at steady state.
(f) If the percentage difference is greater than or equal to 1
percent, the product is not at steady state. Repeat the steps listed in
paragraphs (c) to (e) of section 4.3.2 of this appendix until the
product is at steady state.

4.3.3. Power Measurements and Efficiency Calculations

Measure input and output power of the UUT according to Section J.3
of Annex J of IEC 62040-3 Ed. 2.0 (incorporated by reference, see Sec.
430.3), or measure the input and output energy of the UUT for
efficiency calculations with the following exceptions:
(a) Test the UUT at the following reference test load conditions,
in the following order: 100 percent, 75 percent, 50 percent, and 25
percent of the rated output power.
(b) Perform the test at each of the reference test loads by
simultaneously measuring the UUT's input and output power in Watts (W),
or input and output energy in Watt-Hours (Wh) over a 15 minute test
period at a rate of at least 1 Hz. Calculate the efficiency for that
reference load using one of the following two equations:
[GRAPHIC] [TIFF OMITTED] TR12DE16.025

[[Page 89830]]

Where:

Effn = the efficiency at reference test load n%
Pavg\out n = the average output power at reference load n%
Pavg\in n = the average input power at reference load n%
[GRAPHIC] [TIFF OMITTED] TR12DE16.026

Where:

Effn = the efficiency at reference test load n%
Eout n = the accumulated output energy at reference load n%
Ein n = the accumulated input energy at reference load n%

4.3.4. UUT Classification

Optional Test for determination of UPS architecture. Determine the
UPS architecture by performing the tests specified in the definitions
of VI, VFD, and VFI (sections 2.28.1 through 2.28.3 of this appendix).

4.3.5. Output Efficiency Calculation

(a) Use the load weightings from Table 4.3.1 to determine the
[GRAPHIC] [TIFF OMITTED] TR12DE16.029

Where:

Effavg = the average load adjusted efficiency
tn = the portion of time spent at reference test load n% as
specified in Table 4.3.1
Eff[bond]n = the measured efficiency at reference test load
n%

----------------------------------------------------------------------------------------------------------------
Portion of time spent at reference load
Rated output power (W)      UPS architecture ---------------------------------------------------------------
25%             50%             75%            100%
----------------------------------------------------------------------------------------------------------------
P <= 1500 W...................  VFD.............             0.2             0.2             0.3             0.3
VI or VFI.......           0 \*\             0.3             0.4             0.3
P > 1500 W....................  VFD, VI, or VFI.           0 \*\             0.3             0.4             0.3
----------------------------------------------------------------------------------------------------------------
* Measuring efficiency at loading points with 0 time weighting is not required.

(b) Round the calculated efficiency value to one tenth of a
percentage point.
[FR Doc. 2016-28972 Filed 12-9-16; 8:45 am]
BILLING CODE 6450-01-P