Energy Conservation Program: Test Procedure for Uninterruptible Power Supplies, 89806-89830 [2016-28972]
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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.
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SUMMARY:
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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 https://
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 https://
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
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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).
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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
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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 ........................
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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.’’
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‘‘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.’’
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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.
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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
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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
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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
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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
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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–
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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
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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
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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.
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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:
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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.
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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.
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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:
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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
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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.
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ER12DE16.011
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
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.
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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%
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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.
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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
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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.’
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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.
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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
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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.
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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:
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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: https://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
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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
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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
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ER12DE16.014
¯
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
¯
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
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:
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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 https://www.energystar.gov/. Last
accessed November 14, 2016.
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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
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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
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meets the relevant standards of
Executive Order 12988.
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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
https://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
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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.
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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,
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¯
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
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¯
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
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¯
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:
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ER12DE16.019
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
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
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
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
NY 10036 or at https://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 https://
webstore.ansi.org/.
89821
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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.
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*
*
*
*
*
(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:
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§ 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:
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(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;
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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.
*
*
*
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*
*
21:43 Dec 09, 2016
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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.
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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
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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.
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(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.
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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.
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(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.
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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
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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
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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
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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
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°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
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ER12DE16.027
(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,
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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,
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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
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ER12DE16.020
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.
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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.
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(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
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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
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:
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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
Ein in the accumulated input energy in watthours
ER12DE16.024
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
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
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ER12DE16.026
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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
-----------------------------------------------------------------------
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]]
-----------------------------------------------------------------------
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
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 https://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 https://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
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))
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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
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Sections May 2016 NOPR Final rule
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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.
Also added option
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
protects the load protects the load
against adverse against adverse
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.
Proposed Adopted
that efficiency can that efficiency can
only be calculated be calculated from
from average power. average power or
accumulated energy.
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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:
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 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: https://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.
[[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
https://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 https://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.
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,
[[Page 89821]]
NY 10036 or at https://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 https://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
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Reporting and
recordkeeping requirements.
10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
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).
The additions read as follows:
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
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 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
load chargers only)
----------------------------------------------------------------------------------------------------------------
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
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
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
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.
(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.
[[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
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 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
average load adjusted efficiency as follows:
[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%
Table 4.3.1--Load Weightings
----------------------------------------------------------------------------------------------------------------
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