[Federal Register Volume 89, Number 77 (Friday, April 19, 2024)]
[Rules and Regulations]
[Pages 28581-28594]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-07612]
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DEPARTMENT OF ENERGY
10 CFR Part 430
[EERE-2022-BT-TP-0005]
RIN 1904-AF11
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 amending the test
procedure for uninterruptable power supplies (``UPSs'') to incorporate
by reference relevant portions of the latest version of the industry
testing standard, harmonize the current DOE definitions for UPS, total
harmonic distortion, and certain types of UPSs with the definitions in
the latest version of the industry standard, and add a no-load testing
condition, as an optional test.
DATES: The effective date of this rule is July 3, 2024. The amendments
will be mandatory for product testing starting October 16, 2024.
The incorporation by reference of certain material listed in the
rule is approved by the Director of the Federal Register on July 3,
2024.
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, not all documents listed in the index may be publicly
available, such as those containing information that is exempt from
public disclosure.
A link to the docket web page can be found at www.regulations.gov/docket/EERE-2022-BT-TP-0005. The docket web page contains 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) 287-1445 or by
email: [email protected].
FOR FURTHER INFORMATION CONTACT:
Mr. Jeremy Dommu, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-2J,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 586-9870. Email: [email protected].
Ms. Kristin Koernig, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 586-3593. Email:
[email protected].
SUPPLEMENTARY INFORMATION: DOE incorporates by reference the following
industry standard into part 430:
IEC 62040-3, ``Uninterruptible power systems (UPS)--Part 3: Method of
specifying the performance and test requirements,'' Edition 3.0,
copyright April 2021.
Copies of IEC 62040-3 Ed. 3.0 are available from the International
Electrotechnical Commission, 3 Rue de Varembe, Case Postale 131, 1211
Geneva 20, Switzerland; webstore.iec.ch.
For a further discussion of this standard, see section IV.N of this
document.
Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Final Rule
III. Discussion
A. Scope of Applicability
B. Definitions
C. Updates to Industry Standards
D. Loading Conditions
E. No-Load Test
F. Reference Test Load
G. Test Procedure Costs and Harmonization
1. Test Procedure Costs and Impact
2. Harmonization with Industry Standards
H. Effective and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866, 13563, and 14094
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
Uninterruptible power supplies (``UPSs'') are a class of battery
chargers and fall among the list of ``covered products'' for which DOE
is authorized to establish and amend energy conservation standards and
test procedures. (42 U.S.C. 6295(u)) DOE's test procedure for UPSs is
currently prescribed at title 10 of the Code of Federal Regulations
(CFR), part 430 section 32(z)(3); and 10 CFR part 430 subpart B
appendix Y (``appendix Y'') and appendix Y1 (``appendix Y1''). The
following sections discuss DOE's authority to establish and amend test
procedures for UPSs and relevant background information regarding DOE's
consideration of test procedures for this product.
[[Page 28582]]
A. Authority
The Energy Policy and Conservation Act, Public Law 94-163, as
amended (EPCA),\1\ authorizes DOE to regulate the energy efficiency of
a number of consumer products and certain industrial equipment. (42
U.S.C. 6291-6317) Title III, Part B of EPCA \2\ established the Energy
Conservation Program for Consumer Products Other Than Automobiles,
which sets forth a variety of provisions designed to improve energy
efficiency. These products include UPSs, the subject of this document.
(42 U.S.C. 6295(u))
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\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020), which reflect the last statutory amendments that impact
Parts A and A-1 of EPCA.
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
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The energy conservation program under EPCA consists essentially of
four parts: (1) testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA specifically include definitions (42 U.S.C. 6291),
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294),
energy conservation standards (42 U.S.C. 6295), and the authority to
require information and reports from manufacturers (42 U.S.C. 6296).
The Federal 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 (42 U.S.C. 6295(s)), and (2)
making other representations about the efficiency of those products.
(42 U.S.C. 6293(c)) Similarly, DOE must use these test procedures to
determine whether the products comply with any relevant standards
promulgated under EPCA. (42 U.S.C. 6295(s))
Federal energy efficiency requirements for covered products
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for
particular State laws or regulations, in accordance with the procedures
and other provisions of EPCA. (42 U.S.C. 6297(d))
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 requires that any test procedures prescribed or
amended under this section shall be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle (as determined by the Secretary) or period of use and shall not
be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered product, including UPSs, to
determine whether amended test procedures would more accurately or
fully comply with the requirements for the test procedures to not be
unduly burdensome to conduct and be reasonably designed to produce test
results that reflect energy efficiency, energy use, and estimated
operating costs during a representative average use cycle or period of
use. (42 U.S.C. 6293(b)(1)(A))
If the Secretary determines, on her own behalf or in response to a
petition by any interested person, that a test procedure should be
prescribed or amended, the Secretary shall promptly publish in the
Federal Register proposed test procedures and afford interested persons
an opportunity to present oral and written data, views, and arguments
with respect to such procedures. The comment period on a proposed rule
to amend a test procedure shall be at least 60 days and may not exceed
270 days. In prescribing or amending a test procedure, the Secretary
shall take into account such information as the Secretary determines
relevant to such procedure, including technological developments
relating to energy use or energy efficiency of the type (or class) of
covered products involved. (42 U.S.C. 6293(b)(2)). If DOE determines
that test procedure revisions are not appropriate, DOE must publish its
determination not to amend the test procedure. (42 U.S.C.
6293(b)(1)(A)(ii))
In addition, EPCA requires that DOE amend its test procedures for
all covered products to integrate measures of standby mode and off mode
energy consumption into the overall energy efficiency, energy
consumption, or other energy descriptor, unless the current test
procedure already incorporates the standby mode and off mode energy
consumption, or if such integration is technically infeasible. (42
U.S.C. 6295(gg)(2)(A)) If an integrated test procedure is technically
infeasible, DOE must prescribe separate standby mode and off mode
energy use test procedures for the covered product, if a separate test
is technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such
amendment must consider the most current versions of the International
Electrotechnical Commission (``IEC'') Standard 62301 \3\ and IEC
Standard 62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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\3\ IEC 62301, Household electrical appliances--Measurement of
standby power (Edition 2.0, 2011-01).
\4\ IEC 62087, Audio, video and related equipment--Methods of
measurement for power consumption (Edition 1.0, Parts 1-6: 2015,
Part 7: 2018).
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DOE is publishing this final rule in satisfaction of the 7-year
review requirement specified in EPCA. (42 U.S.C. 6293(b)(1)(A))
B. Background
On December 12, 2016, DOE amended its battery charger test
procedure by publishing a final rule in the Federal Register that added
a discrete test procedure for UPSs (``December 2016 Final Rule''). 81
FR 89806. The December 2016 Final Rule incorporated by reference
specific sections of the relevant industry standard for UPSs, with
additional instructions, into the current battery charger test
procedure published at appendix Y. 81 FR 89806, 89810.
On September 8, 2022, DOE published a final rule in the Federal
Register amending the existing test procedure at appendix Y for battery
chargers and creating a new test procedure at appendix Y1 that expanded
the scope of the battery charger test method to include open placement
and fixed-position wireless battery chargers and established separate
metrics for active mode, standby mode, and off mode for all battery
chargers other than UPSs (``September 2022 Final Rule''). 87 FR 55090.
Manufacturers will be required to continue to use the amended test
procedure in appendix Y until the compliance date of any new final rule
establishing amended energy conservation standards based on the newly
established test procedure in appendix Y1. 87 FR 55090, 55122. At such
time as DOE establishes new standards for battery chargers other than
UPSs using these new metrics, manufacturers would no longer use
appendix Y and instead will be required to determine compliance using
the updated test procedure at appendix Y1. Id. at 87 FR 55125. The
September 2022 Final Rule also replicated all aspects of testing UPSs
from appendix Y to appendix Y1, ensuring that instructions for all
battery chargers are consolidated in one location. Id. at 87 FR 55125-
55132.
On February 2, 2022, DOE initiated a rulemaking process to consider
amendments to the UPS test procedure
[[Page 28583]]
by publishing in the Federal Register a request for information
(``RFI'') seeking data and information regarding the existing DOE test
procedure for UPSs (``February 2022 RFI''). 87 FR 5742. On May 11,
2022, DOE issued a correcting amendment to address an error in
describing input dependency modes in the regulatory text as it appeared
in the December 2016 Final Rule. 87 FR 28755.
On January 5, 2023, DOE published a notice of proposed rulemaking
(NOPR) proposing amendments to appendices Y and Y1 of the UPS test
procedure to consider the latest revision of the industry standard that
is incorporated by reference and to provide an optional test method for
measuring power consumption of a UPS at no-load conditions (``January
2023 NOPR''). 88 FR 790. DOE held a webinar related to the January 2023
NOPR on February 2, 2023 (``February 2023 public meeting'').
DOE received comments in response to the January 2023 NOPR from the
interested parties listed in Table I.1.
Table I.1--List of Commenters With Written Submissions in Response to the January 2023 NOPR
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Reference in this final Comment No. in
Commenter(s) rule the docket Commenter type
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National Electrical Manufacturers NEMA...................... 10 Trade Association.
Association.
Northwest Energy Efficiency Alliance.... NEEA...................... 11 Efficiency Organization.
Appliance Standards Awareness Project Joint Commenters.......... 12 Efficiency Organizations.
and American Council for an Energy-
Efficient Economy.
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A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\5\
To the extent that interested parties have provided written comments
that are substantively consistent with any oral comments provided
during the February 2023 public meeting, DOE cites the written comments
throughout this final rule. Any substantial oral comments provided
during the webinar but were not accompanied by written comments are
summarized and cited separately throughout this final rule.
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\5\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
test procedures for UPSs. (Docket No. EERE-2022-BT-TP-0005, which is
maintained at www.regulations.gov). The references are arranged as
follows: (commenter name, comment docket ID number, page of that
document).
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II. Synopsis of the Final Rule
In this final rule, DOE amends appendices Y and Y1 as follows:
Incorporate by reference the current revision to the
applicable industry standard--IEC 62040-3 Ed. 3.0, ``Uninterruptible
power systems (UPS)--Part 3: Method of specifying the performance and
test requirements''--to reflect redesignated subsections in the latest
version of that standard.
Provide an optional test method for measuring the power
consumption of UPSs at no-load conditions.
The adopted amendments are summarized in Table II.1 and compared to
the test procedure provision prior to the amendment, as well as the
reason for the adopted change.
Table II.1--Summary of Changes in the Amended UPS Test Procedure
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DOE test procedure prior to
amendment Amended test procedure Attribution
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References IEC 62040-3 Ed. 2.0 Updates each reference To harmonize
to IEC 62040-3 Ed. with the latest
3.0. industry
standard.
Provides definitions for UPS, Harmonizes DOE To harmonize
total harmonic distortion, definitions with with the latest
and certain types of UPSs definitions of UPS industry
that differ non-substantively provided in IEC 62040- standard.
from the definitions in IEC 3 Ed. 3.0.
62040-3 Ed. 3.0.
Does not provide a method for Incorporates the no- In response to
testing the power consumption load test from Annex comments
of UPSs at no-load conditions. J of IEC 62040-3, Ed. received on the
3.0 as an optional February 2022
test method for RFI and the
voluntary January 2023
representations of no- NOPR.
load power
consumption.
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DOE has determined that the amendments described in section III of
this document and adopted in this document will not alter the measured
efficiency of UPSs or require retesting or recertification solely as a
result of DOE's adoption of the amendments to the test procedure.
Additionally, DOE has determined that the amendments will not increase
the cost of testing. Discussion of DOE's actions are addressed in
detail in section III of this document.
The effective date for the amended test procedure adopted in this
final rule is 75 days after publication of this document in the Federal
Register. Representations of energy use or energy efficiency must be
based on testing in accordance with the amended test procedure
beginning 180 days after the publication of this final rule.
III. Discussion
In the following sections, DOE adopts certain proposed amendments
to its test procedure for UPSs. For each adopted amendment, DOE
provides relevant background information, discusses relevant public
comments, and provides reasons for the amendment.
A. Scope of Applicability
The scope of the current test procedure at appendices Y and Y1, as
applicable to UPSs, covers UPSs \6\ that utilize the standardized
National Electrical Manufacturer Association (``NEMA'') plug, 1-15P or
5-15P,\7\ and have an alternating current (``AC'') output. Appendices Y
and Y1, section 1.
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\6\ As discussed further in section III.B of this document, DOE
defines a UPS as 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. Appendices Y and Y1,
section 2.27.
\7\ Plug designations are as specified in American National
Standards Institute (``ANSI'')/NEMA WD 6-2016, incorporated by
reference at 10 CFR 430.2.
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To the extent that a portable power system meets the definition of
a battery charger, operates on direct current
[[Page 28584]]
(``DC'') or United States AC line voltage, but does not meet the
definition of a back-up battery charger as defined by DOE, such a
product is currently covered within the scope of the non-UPS portion of
the battery charger test procedure, which includes all battery chargers
operating at either DC or United States AC line voltage (115V at 60Hz).
Appendices Y and Y1, section 1. As discussed in the January 2023 NOPR,
DOE has identified--based on a review of product literature--a wide
range of portable power stations currently certified as non-UPS battery
chargers and listed in the compliance certification database
(``CCD''),\8\ suggesting that manufacturers have the mutual
understanding that such products are covered within the scope of the
non-UPS portion of the battery charger test procedure. 88 FR 790, 793.
Because such products are already included within the scope of the non-
UPS battery charger test procedure, DOE tentatively determined that no
changes were warranted to the scope of the UPS test procedure with
respect to such products. Id.
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\8\ For example, DOE has identified the following inexhaustive
list of portable power stations models in the battery charger CCD:
Jackery 550, DEWALT DXAEPS14, STANLEY J5C09, Anker A1710, Duracell
PPS1000-1050-120-01.
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To the extent that a portable power station meets DOE's definition
of a back-up battery charger, such a product is likely a ``whole-home
power backup device'' and would be outside the scope of appendices Y
and Y1. DOE tentatively determined in the January 2023 NOPR that the
market for whole-home backup devices is still nascent, albeit growing,
and the devices currently lack widespread use among consumers. Id. at
88 FR 794. DOE stated its concern that defining such technologies and
addressing them in the UPS test procedure at this time could
potentially restrict the development of these less mature technologies.
Id. Furthermore, DOE did not have sufficient consumer usage data, nor
did commenters provide any such information, that would be needed at
this time to develop a test procedure that produces representative
results for these products. Id. For these reasons, DOE did not propose
to expand the scope of the UPS test procedure to include whole-home
backup power systems. Id.
In response to the January 2023 NOPR, NEEA expressed its support
for DOE's determination that portable power stations would be covered
under the non-UPS battery charger test procedure scope. (NEEA, No. 11
at p. 2)
For the reasons discussed here and in the January 2023 NOPR, in
this final rule, DOE has determined that no amendments are needed to
the scope of the UPS test procedure to address portable power systems
that meet the definition of a battery charger, operate on DC or United
States AC line voltage, but do not meet the definition of a back-up
battery charger as defined by DOE. Consistent with the January 2023
NOPR, DOE is also not expanding the scope of the UPS test procedure to
include whole-home backup power systems.
B. Definitions
DOE defines a UPS as 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. Appendices Y and Y1, section
2.27. This definition aligns with the definition of a UPS provided in
IEC 62040-3 Ed. 2.0, which is currently incorporated by reference into
appendices Y and Y1.
DOE recognizes the benefit of harmonizing with the latest versions
of industry standards where applicable and appropriate. IEC 62040-3 Ed.
3.0 includes slightly revised language stating ``maintaining continuity
of AC load power in case of AC input power failure.'' In the January
2023 NOPR, DOE tentatively determined that the addition of the term
``AC'' in the IEC 62040-3 Ed. 3.0 definition is consistent with the
range of products that meet the current definition of a UPS and would
not change the scope of products subject to the test procedure.\9\ 88
FR 790, 794. Therefore, DOE proposed to update its definition of a UPS
to incorporate by reference the definition specified in IEC 62040-3 Ed.
3.0 and requested comment on its proposal to harmonize its definition
of a UPS with that of IEC 62040-3 Edition 3.0 in the January 2023 NOPR.
Id. Specifically, DOE requested comment on its tentative determination
that such harmonization would not affect the current scope of the UPS
test procedure. Id.
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\9\ DOE notes that use of NEMA 1-15P/5-15P wall plugs, as
specified by the currently defined scope for UPSs, implies the use
of AC input power.
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In response to the January 2023 NOPR, NEMA supported DOE's proposal
to harmonize its UPS definition with IEC 62040-3 Ed. 3.0 but suggested
that DOE further clarify that the load power being maintained must be
AC. (NEMA, No. 10 at pp. 1-2) Similarly, in the February 2023 public
meeting, Schneider Electric suggested to DOE to further clarify in the
UPS definitions that the current test procedure is only designed for AC
input and AC output UPSs.\10\
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\10\ Schneider Electric's comment can be found at pp. 8-9 of the
February 2023 public meeting transcript, available at https://www.regulations.gov/document/EERE-2022-BT-TP-0005-0009.
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With regards to the suggestions from NEMA and Schneider Electric,
DOE notes that the proposed UPS definition has already harmonized with
IEC 62040-3 Ed. 3.0 by adding the clarification of ``maintaining
continuity of AC load power in case of AC input power failure.''
Additionally, section 1 of appendices Y and Y1 describes the scope of
the test procedure as applying to only those UPSs that utilize a NEMA
1-15P or 5-15P plug and have an AC output. DOE has determined that
adding the term ``AC'' to describe the load power within the definition
of UPS is redundant and risks falling out of harmonization with the
definition found in IEC 62040-3 Ed. 3.0 without much to gain. As such,
DOE has determined that adding the additional term ``AC'' to describe
output power in the definition is unnecessary. Accordingly, DOE is
finalizing its proposed definition of a UPS to harmonize with that of
IEC 62040-3 Edition 3.0 without changes in this final rule.
Section 2.26 of appendices Y and Y1 defines ``total harmonic
distortion'' (THD), expressed as a percent, as the root mean square
(RMS) value of an AC signal after the fundamental component is removed
and interharmonic components are ignored, divided by the RMS value of
the fundamental component. Section 3.5.49 of IEC 62040-3 Ed. 3.0
defines THD as the ratio of the RMS value of the sum of the harmonic
components Xh of orders 2 to 40 to the RMS value of the
fundamental component X1, and also includes a mathematical
formula accompanying this descriptive definition. The key difference
between the definitions is that DOE refers to the RMS value of the AC
signal, whereas the IEC 62040-3 Ed. 3.0 definition more narrowly
specifies measuring the RMS value of harmonic components of order 2
through 40. DOE understands that, in measuring the RMS value of a
signal, a laboratory would be required to determine the number of
harmonics to include within the measurement. By specifying harmonic
components of order 2 through 40, DOE tentatively concluded in the
January 2023 NOPR that the IEC definition may provide a more
reproducible measurement among different laboratories compared to the
current DOE definition, which requires a laboratory to determine which
harmonic
[[Page 28585]]
components to measure. For this reason, DOE proposed to update its
definition of THD to incorporate by reference the definition specified
in IEC 62040-3 Ed. 3.0. 88 FR 790, 794.
Additionally, DOE carefully reviewed its definitions of ``voltage
frequency dependent (VFD) UPS,'' \11\ ``voltage and frequency
independent (VFI) UPS,'' \12\ and ``voltage independent (VI) UPS'' \13\
in comparison to the definitions provided in sections 5.3.4.2.2,\14\
5.3.4.2.3,\15\ and 5.3.4.2.4,\16\ respectively, of IEC 62040-3 Ed. 3.0.
The IEC definitions closely align with the core capabilities described
by the DOE definitions. However, DOE's definitions each include a
``Note'' that provides greater specificity regarding certain product
characteristics than the definitions provided by IEC 62040-3 Ed. 3.0.
For example, the Note to section 2.27.2 of appendices Y and Y1
(providing the definition for VFI UPS) specifies that, at a minimum,
the VFI UPS produces an output voltage and frequency within the
specified output range even when the input voltage is varied by 10 percent of the rated input voltage and the input frequency is
varied by 2 percent of the rated input frequency. By
contrast, the definition of VFI UPS in IEC 62040-3 Ed. 3.0 specifies
the AC input power voltage tolerance bands to be the greater of 10 percent of the rated input voltage and what is declared by the
manufacturer and the AC input power frequency to be the greater of
2 percent of the rated input frequency and what is declared
by the manufacturer. Similarly, the Note to section 2.27.3 of
appendices Y and Y1 (providing the definition for VI UPS) specifies an
input voltage variation of 10 percent, whereas the
corresponding definition in IEC 62040-3 Ed 3.0 specifies the voltage
limits to be the greater of 10 percent of the rated input
voltage and what is declared by the manufacturer.
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\11\ Section 2.27.1 of appendices Y and Y1 defines VFD UPS as 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.
The definition also includes a Note specifying that 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.
\12\ Section 2.27.2 of appendices Y and Y1 defines VFI UPS as 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
definition also includes a Note specifying that 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, 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 percent of the rated input voltage and
the input frequency is varied by 2 percent of the rated
input frequency.
\13\ Section 2.27.3 of appendices Y and Y1 defines VI UPS as 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. The definition also
includes a Note specifying that 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 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
percent of the rated input voltage.
\14\ Section 5.3.4.2.2 of IEC 62040-3 Ed. 3.0 specifies that a
UPS classified as VFD shall protect the load from a complete loss of
AC input power. The output of the VFD UPS is dependent on changes in
voltage and frequency of the AC input power and is not intended to
provide additional voltage corrective functions, such as those
arising from the use of tapped transformers. VFD classification is
verified when performing the test described in section 6.2.2.7.
\15\ Section 5.3.4.2.3 of IEC 62040-3 Ed. 3.0 specifies that a
UPS classified VI shall protect the load as required for VFD and
also from under-voltage applied continuously to the input, and over-
voltage applied continuously to the input. The output voltage of the
VI UPS shall remain within declared voltage limits (provided by
voltage corrective functions, such as those arising from the use of
active and/or passive circuits). The manufacturer shall declare an
output voltage tolerance band narrower than the input voltage
tolerance band. VI classification is verified when performing the
tests described in section 6.4.1.2. The definition also includes a
Note specifying that the energy storage device does not discharge
when the AC input power is within the input voltage tolerance band.
\16\ Section 5.3.4.2.4 of IEC 62040-3 Ed. 3.0 specifies that a
UPS classified VFI is independent of AC input power voltage and
frequency variations as specified and declared in section 5.2 and
shall protect the load against adverse effects from such variations
without discharging the energy storage device. VFI classification is
verified when performing the tests described in section 6.4.1.3.
---------------------------------------------------------------------------
DOE notes that there are scenarios where using the manufacturer-
declared limits may result in a different input dependency
classification of a UPS when compared to using DOE's current input
voltage tolerance limits. For example, a manufacturer that declares an
input voltage tolerance limit of 15 percent for a VI basic
model could have a unit that is unable to maintain the required output
when the input voltage is adjusted by more than 13 percent in real
world testing. Per the IEC definition, this unit would fail the VI
input dependency at the manufactured declared limits of 15
percent and therefore be classified as a VFD UPS (the highest input
dependent UPS topology). However, the same unit when tested per DOE's
current input voltage limits of 10 percent would continue
to classify it as a VI.
To avoid such discrepancies, DOE proposed in the January 2023 NOPR
to harmonize its definitions of VFD UPS, VI UPS, and VFI UPS with IEC
62040-3 Ed 3.0 but maintain the notes alongside each definition that
currently establish the input voltage and frequency tolerance limits of
10 percent and 2 percent, respectively. Id. at
88 FR 794-795.
DOE noted also that the section numbers of IEC 62040-3 Ed. 2.0
currently referenced by DOE's definitions have been updated to
different section numbers in IEC 62040-3 Ed. 3.0. Therefore, DOE
proposed to update its definitions of VFD UPS, VI UPS, and VFI UPS to
reference the corresponding updated section numbers within IEC 62040-3
Ed. 3.0. Id. at 88 FR 795.
DOE initially determined that the proposed amended definitions
would not substantively change the scope or applicability of the test
procedure as compared to the current definitions. Id.
In the January 2023 NOPR, DOE requested comment on its proposal to
update its definitions of THD, VFD UPS, VI UPS, and VFI UPC to
harmonize with the IEC 62040-3 Ed 3.0 definitions. Id.
In response to the January 2023 NOPR, NEEA and NEMA supported DOE's
proposal to harmonize with IEC 62040-3 Ed. 3.0, specifically on the
proposed updated definitions of THD, VFD, VI, and VFI. (NEEA, No. 11 at
pp. 2-3; NEMA, No. 10 at pp. 1-2) NEEA further stated that these
updated definitions can increase reproducibility and reduce complexity.
(NEEA, No. 11 at p. 2)
NEMA further recommended that DOE specify VFI operating conditions
and revise the language used when referring to drawing power from the
energy storage device. (NEMA, No. 10 at p. 2) NEMA also recommended
that DOE clarify that the voltage limits should be referring to those
described in section 5.3 of IEC 62040-3 Ed. 3.0 for VI UPSs. (Id.)
DOE appreciates the comments from NEMA and NEEA regarding their
support for the updates to the definitions of THD, VFD, VI, and VFI. In
[[Page 28586]]
response to the recommendation from NEMA, DOE notes that DOE's proposed
updates to the VFI UPS definition already reference section 5.2 of IEC
62040-3 Ed. 3.0 for VFI UPS input voltage and frequency variation
limits. Furthermore, the proposed definition also clarifies that VFI
UPSs ``shall protect the load against adverse effects from such
variations without discharging the energy storage device.'' 88 FR 790,
805. DOE further notes that IEC 62040-3 Ed. 3.0 does not specifically
prescribe a voltage limit for VI UPSs. Rather, the voltage limit is
based on the UPS model and is declared by manufacturers directly. As
such, DOE has determined that it would not be essential to add
reference to section 5.3 of IEC 62040-3 Ed. 3.0 for VI UPS output
voltage tolerance.
For the reasons discussed here and in the January 2023 NOPR, in
this final rule, DOE is updating the definitions of THD, VFD, VI, and
VFI to harmonize with the IEC 62040-3 Ed 3.0 definitions, including
referencing the corresponding updated section numbers within IEC 62040-
3 Ed 3.0 definitions, and maintaining the notes to these definitions as
proposed in the January 2023 NOPR.
C. Updates to Industry Standards
As discussed, the current UPS test procedure incorporates by
reference certain sections of IEC 62040-3 Ed. 2.0 regarding test setup,
input and output power measurement, and the optional determination of
UPS architecture. Specifically:
The definitions of VFD UPS, VFI UPS, and VI UPS in
sections 2.27.1 through 2.27.3 of appendices Y and Y1 reference: (1)
the AC input failure test in section 6.2.2.7 of IEC 62040-3 Ed. 2.0,
which in turn references section 5.3.4 and Annex G of IEC 62040-3 Ed.
2.0; (2) the steady state input voltage tolerance test in section
6.4.1.1 of IEC 62040-3 Ed. 2.0, as a subsection to section 6.4.1, which
in turn references sections 5.2.1 and 5.2.2.k of IEC 62040-3 Ed. 2.0;
and (3) the input frequency tolerance test in section 6.4.1.2 of IEC
62040-3 Ed. 2.0, which in turn references sections 5.3.2.d and 5.3.2.3
of IEC 62040-3 Ed. 2.0.
Section 4.2.1 of appendices Y and Y1 specifies configuring
the UPS according to Annex J.2 of IEC 62040-3 Ed. 2.0.
Section 4.3.3 of appendices Y and Y1 specifies measuring
input and output power according to section J.3 of Annex J of IEC
62040-3 Ed. 2.0.
Since the publication of the December 2016 Final Rule, IEC has
updated the IEC 62040-3 standard to its third edition (i.e., IEC 62040-
3 Ed. 3.0). The following paragraphs summarize the key changes from the
second edition, based on DOE's review of the revised standard.
Section 4 of IEC 62040-3 Ed. 3.0 includes updates to various
environmental conditions, such as the general test environment and
operating conditions when testing UPSs. Appendices Y and Y1, however,
do not refer to section 4 of the IEC 62040-3 standard but instead
provide their own environmental and operating conditions for testing
purposes. Therefore, DOE determined in the January 2023 NOPR that its
test procedure for measuring the efficiency of UPSs will remain
unaffected by the updates to section 4 of the IEC 62040-3 Ed. 3.0. 88
FR 790, 795.
Section 5.2 of IEC 62040-3 Ed. 2.0 addresses UPS input
specifications, such as the input voltage range, input frequency range,
and total harmonic distortions during which the UPS under test must
remain in the normal mode of operation. While an initial review of IEC
62040-3 Ed. 3.0 shows significant editorial changes to the sections
that define these parameters, the remainder of the parameters remain
unchanged. Similarly, section 5.3 of IEC 62040-3 Ed. 3.0 provides the
minimum output specifications for UPSs that must be declared by
manufacturers, such as its input dependency, rated output voltage and
RMS output voltage tolerance band, rated frequency tolerance band,
rated output active and apparent power, total harmonic distortion, etc.
As before, the majority of the changes to this section are editorial or
a reorganization.
Section 6 of IEC 62040-3 Ed. 2.0 previously provided instructions
for performing the AC input failure test (see section 6.2.2.7), the
steady-state input voltage tolerance test (see section 6.4.1.1), and
the input frequency tolerance test (see section 6.4.1.2) that are used
to classify the input dependency of a UPS as VI, VFD, or VFI. IEC
62040-3 Ed. 3.0 has since updated these subsections with the following
changes: subsection titles and numbering have been updated to
specifically refer to them as VI, VFD, and VFI input dependency tests;
additional criteria have been added for meeting the VI, VFD, and VFI
classifications; and a new test load condition at 0 percent (i.e., no-
load) has been added (see section III.E of this document for further
discussion of a no-load test).
Additional updates to Annex J to IEC 62040-3 Ed. 3.0 require multi-
mode UPSs to be tested at all dependency modes, whereas DOE's current
test procedure explicitly requires UPSs to be tested at only their
highest and lowest input dependency modes. Annex J has also been
updated to allow manufacturers to test UPSs with functions or ports set
to the lowest power-consuming mode or disconnected if they are not
related to maintaining the energy storage device (i.e., batteries) at
full charge, along with added reporting requirements for manufacturers
to report these features, interfaces, or ports that have been turned
off or set to the lowest power-consuming mode. This updated
clarification regarding additional features is similar to DOE's current
UPS test procedure, which requires UPSs to be tested with such features
off or disconnected; however, DOE currently does not require
manufacturers to report these manually switched-off features.
DOE did not propose to amend the certification or reporting
requirements for UPSs in the January 2023 NOPR. Id. at 88 FR 796.
Instead, DOE stated that it may consider proposals to amend the
certification requirements and reporting for UPSs under a separate
rulemaking regarding appliance and equipment certification. Id.
In the January 2023 NOPR, DOE carefully reviewed IEC 62040-3 Ed.
3.0 as it relates to measuring the efficiency of a UPS. DOE determined
that the relevant updates to IEC 62040-3 Ed. 3.0 compared to IEC 62040-
3 Ed. 2.0 are largely editorial, including renumbering of certain
sections referenced by the DOE test procedure, and that updating DOE's
existing references to IEC 62040-3 Ed. 3.0 would not alter the measured
efficiency of basic models. As a result, DOE proposed in the January
2023 NOPR to update its incorporation by reference of IEC 62040-3 Ed.
2.0 to IEC 62040-3 Ed. 3.0 in 10 CFR 430.3 and to update its references
in appendices Y and Y1 accordingly to reflect the renumbering of
sections in IEC 62040-3 Ed. 3.0. Id.
DOE's existing test procedure for UPSs allows recording of either
instantaneous power or accumulated energy over a 15-minute period.
DOE's review of Annex J in IEC 62040-3 Ed. 3.0 did not reveal any
additional instructions that would further facilitate the use of the
accumulated energy method. As such, DOE did not propose any changes to
its existing language in section 4.3.3 of appendices Y and Y1. Id.
In the January 2023 NOPR, DOE requested comment on its proposal to
incorporate by reference IEC 62040-3 Ed 3.0 and to update references in
appendices Y and Y1 accordingly to
[[Page 28587]]
reflect the renumbering of sections in IEC 62040-3 Ed 3.0. Id.
In response to the January 2023 NOPR, NEMA supported the proposed
incorporation by reference and the associated renumbering. (NEMA, No.
10 at p. 2) NEEA also commented in support of DOE's proposal to update
references based on the IEC 62040-3 Ed. 3.0 edition and recommended
that DOE consider requiring manufacturers to report whether additional
functionality was switched off for testing, which would increase
transparency and harmonization. (NEEA, No. 11 at pp. 2-3) DOE
appreciates NEEA's recommendation but reiterates that, under a separate
rulemaking regarding appliance and equipment certification, DOE will
review relevant reporting and certification requirements and may
consider proposals to amend the certification requirements for UPSs at
that time.
For the reasons discussed here and in the January 2023 NOPR, in
this final rule, DOE is incorporating by reference IEC 62040-3 Ed 3.0
and updating references in appendices Y and Y1 to reflect the
renumbering of sections in IEC 62040-3 Ed 3.0.
D. Loading Conditions
Section 4.3.3 of appendices Y and Y1 requires that the efficiency
of a UPS be measured at 100, 75, 50, and 25 percent of the device's
rated output power. Each of these measured efficiencies is weighted
according to values provided in Table 4.3.1 of appendices Y and Y1 and
combined to determine a single weighted average output metric (i.e.,
the average load adjusted efficiency) representing the UPS's overall
efficiency. These load conditions and weightings were established in
the December 2016 Final Rule consistent with the load weightings
specified in ENERGY STAR UPS Specification Version 1.0.\17\ 81 FR
89806, 89816. The current ENERGY STAR UPS Specification Version 2.0
\18\ maintains these same load conditions and weightings. These load
conditions and weightings are also consistent with those specified in
section 6.4.1.6 of IEC 62040-3 Ed. 2.0 and section 6.4.1.9 of IEC
62040-3 Ed. 3.0.
---------------------------------------------------------------------------
\17\ The ENERGY STAR UPS Specification Version 1.0 is available
at www.energystar.gov/products/spec/uninterruptible_power_supplies_specification_version_1_0_pd.
\18\ The ENERGY STAR UPS Specification Version 2.0 is available
at www.energystar.gov/sites/default/files/asset/document/ENERGY%20STAR%20Uninterruptible%20Power%20Supplies%20Final%20Version%202.0%20Specification_1.pdf.
---------------------------------------------------------------------------
In the January 2023 NOPR, DOE discussed comments received in
response to the February 2022 RFI regarding a 10 percent loading point.
88 FR 790, 796-797. DOE noted that EPCA requires that any test
procedures prescribed or amended under this section be reasonably
designed to produce test results that 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 not be unduly
burdensome to conduct. (42 U.S.C. 6293(b)(3)) As such, DOE must weigh
the representativeness of test results with the associated test burden
in evaluating any amendments to its test procedures. Regarding the
representativeness of the DOE UPS test procedure, the commenters did
not provide specific data, nor was DOE aware of any specific data,
demonstrating that a 10-percent loading condition would produce a more
representative measure of energy use or energy efficiency of UPSs. In
addition, DOE's test procedure does not differentiate between specific
end-use applications. Therefore, load profiles specific to certain
applications (e.g., desktop computers) may not be representative of
overall average use of UPSs across all end-use applications. Further,
were DOE to consider a 10-percent load condition, DOE was not aware of
any data to suggest what corresponding weighting factor should be used
to combine this loading condition with the other defined loading
conditions comprising the overall efficiency metric.
Regarding test burden, as noted, the loading points currently
specified in appendices Y and Y1 are consistent with the loading points
defined by ENERGY STAR, as well as section 6.4.1.6 of IEC 62040-3 Ed.
3.0. DOE also noted that the requirements of IEC 62040-3 Ed. 3.0 are
referenced by the European Union (``EU'') Code of Conduct (``CoC'') on
Energy Efficiency and Quality of AC UPSs Version 2.0.\19\ Like many
other types of consumer electronics, UPSs are manufactured and
distributed globally by multi-national suppliers; as such, any
differences between the DOE UPS test procedure (applicable to products
sold or imported into the United States) and internationally-recognized
industry test methods impose a burden that is acutely impactful to the
consumer electronics industry.
---------------------------------------------------------------------------
\19\ The EU CoC on Energy Efficiency and Quality of AC UPSs
Version 2.0 is available at e3p.jrc.ec.europa.eu/publications/code-
conduct-energy-efficiency-and-quality-ac-uninterruptible-power-
systems-ups-0.
---------------------------------------------------------------------------
Having weighed the potential improvement to representativeness
against the potential for increased test burden associated with adding
a required 10-percent loading condition that would be applicable to all
UPSs, DOE tentatively concluded in the January 2023 NOPR--based on
information available--that the potential burden would outweigh any
potential improvement in representativeness (i.e., would introduce
undue test burden). Id. at 88 FR 797. Consequently, DOE did not propose
to modify its existing loading points, weightings, or overall
efficiency metric in the January 2023 NOPR. Id.
In the January 2023 NOPR, DOE requested comment on its proposal to
not modify the existing loading points, weighting, or the overall
efficiency metric in the current UPS test procedure. Id.
In response to the January 2023 NOPR, NEMA commented in support of
DOE's proposal to maintain the existing loading points as the
referenced loading points and associated coefficients are employed by
not only the IEC standard, but also EU CoC's regulation for UPSs.
(NEMA, No. 10 at p. 2)
For the reasons discussed here and in the January 2023 NOPR, in
this final rule, DOE is not modifying the existing loading points,
weighting, or the overall efficiency metric in the UPS test procedure.
E. No-Load Test
DOE's test procedure for UPSs does not currently specify a method
for determining the energy consumption of a UPS at no-load (i.e., 0-
percent loading condition).
However, DOE recognizes the usefulness of a no-load power
consumption metric to the industry and stakeholders and proposed in the
January 2023 NOPR to incorporate by reference the no-load test
condition specified in section 6.4.1.10 of IEC 62040-3 Ed. 3.0 as an
optional test in section 4.3.3 of appendices Y and Y1 that would be
used as the basis for any representations of no-load power consumption.
88 FR 790, 797. DOE noted that manufacturers would not be required to
certify no-load power consumption to DOE as a result of this amendment
because the energy conservation standards for UPSs do not have a no-
load requirement at this time. Id.
In the January 2023 NOPR, DOE requested feedback on its proposal to
add a method for measuring the power consumption of UPSs at no-load as
a test to be used as the basis for any representations of no-load power
consumption. Id.
[[Page 28588]]
During the February 2023 public meeting, Appliance Standards
Awareness Project (ASAP) supported adding the optional no-load test
based on the IEC test method and stated that the added no-load test can
provide important information to customers. ASAP further encouraged DOE
to enable voluntary no-load power reporting in the compliance
database.\20\ Schneider Electric also expressed support of the optional
no-load testing requirement during the February 2023 public
meeting.\21\
---------------------------------------------------------------------------
\20\ ASAP's comment can be found at pp. 14-15 of the February
2023 public meeting transcript, available at www.regulations.gov/document/EERE-2022-BT-TP-0005-0009.
\21\ Schneider Electric's comment can be found at pp. 15-16 of
the February 2023 public meeting transcript, available at
www.regulations.gov/document/EERE-2022-BT-TP-0005-0009.
---------------------------------------------------------------------------
NEMA and NEEA also supported adding the optional no-load test
procedure. (NEMA, No. 10 at p. 3; NEEA, No. 11 at p. 1) NEEA
additionally urged DOE to enable manufacturer reporting of the no-load
power and to require the no-load test in the next round of rulemaking.
(NEEA, No. 11 at p. 1) NEEA stated that the no-load test would improve
harmonization with other test procedures as the no-load test was
already required by both the IEC and the ENERGY STAR test procedure.
(Id. at pp. 1-2) NEEA stated that the no-load test can better and more
effectively represent real-world usage of UPSs because desktop
computers that are commonly connected to UPSs spend substantial time in
sleep or off mode. (Id. at p. 2) NEEA noted that addressing the energy
use of a UPS in no-load condition will increase the representativeness
and can possibly achieve additional energy savings. (Id.) Similarly,
the Joint Commenters supported DOE's proposal to add an optional no-
load test, which would better represent current UPS usage, and
requested DOE to enable voluntary reporting of the no-load power
consumption on DOE's CCD. (Joint Commenters, No. 12 at p. 1) The Joint
Commenters recommended that DOE establish a separate standby mode
metric and standard based on the no-load testing condition in the
future because UPSs' no-load mode aligns closely with battery chargers'
maintenance mode, which qualify under EPCA's definition of standby.
(Id.)
Regarding the comments recommending enabling the reporting option
for the optional no-load test, DOE reiterates that DOE is not making
any amendments to reporting or certification requirements for UPSs in
this rulemaking. Instead, DOE may consider proposals to amend the
certification requirements and reporting for UPSs under a separate
rulemaking regarding appliance and equipment certification. DOE notes
that it is only adopting the no-load test as an optional test in this
rulemaking and will continue to regularly review the UPS market to
analyze the representativeness of the no-load test condition in real
world applications. DOE also notes that an analysis of any potential
energy conservation standards pertaining to the no-load test is outside
the scope of this test procedure rulemaking.
For the reasons discussed here and in the January 2023 NOPR, in
this final rule, DOE is finalizing the proposals to add a method for
measuring the power consumption of UPSs at no-load as a test to be used
as the basis for any representations of no-load power consumption.
F. Reference Test Load
DOE's UPS test procedure refers to the 25, 50, 75, and 100-percent
loads as ``reference test loads.'' In general, test loads for testing
consumer electronics can be either linear \22\ or non-linear \23\ in
nature.
---------------------------------------------------------------------------
\22\ IEC 62040-3 Ed 3.0 defines a linear load as a load wherein
the load impedance is a constant.
\23\ IEC 62040-3 Ed 3.0 defines a non-linear load as a load
wherein the load impedance is a variable dependent on other
parameters, such as voltage or time.
---------------------------------------------------------------------------
While IEC 62040-3 Ed. 2.0 provides a definition for reference test
load,\24\ it does not explicitly address whether such a test load is
linear or non-linear in nature. Section 2.24 of appendices Y and Y1
defines ``reference test load'' as 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. By specifying
a power factor requirement of greater than 0.99, DOE's current
definition of ``reference test load'' necessitates the use of a test
load that is both linear and resistive.
---------------------------------------------------------------------------
\24\ IEC 62040-3 Ed. 2.0 defines ``reference test load'' as a
load or condition in which the output of the UPS delivers the active
power (W) for which the UPS is rated.
---------------------------------------------------------------------------
Section D.2 in Annex D of IEC 62040-3 Ed. 3.0 explains that the
diversity of types of load equipment and their relevant characteristics
are always changing with technology. For this reason, the UPS output
performance is characterized by loading with passive reference loads to
simulate, as far as practical, the expected load types, but it cannot
be taken that these load types are totally representative of the actual
load equipment in a given application. The UPS industry has generally
specified UPS output characteristics under conditions of linear loading
(i.e., resistive or resistive/inductive). The effect on the output of
the UPS by non-linear loads both in steady state and dynamic is, in
many cases, to cause deviation from the output characteristic specified
by the manufacturer/supplier where these are quoted under linear load
conditions.
In the January 2023 NOPR, DOE discussed comments suggesting the use
of non-linear loads. 88 FR 790, 798. While DOE recognized that loads
protected by UPSs can be non-linear, the use of non-linear loads for
testing may create certain challenges or difficulties in meeting the
specified test conditions, as described within section D.2 of IEC
62040-3 Ed. 3.0. Id. This suggests that testing with non-linear loads
may produce results that are less repeatable or reproducible than
testing with linear loads. Id. In the January 2023 NOPR, DOE stated
that it had no information, nor had commenters provided any
information, about how the use of non-linear loads for UPS testing may
affect repeatability, reproducibility, or test burden. Id. As a result,
DOE did not propose the use of non-linear test loads for testing UPSs
in the January 2023 NOPR. Id.
DOE did not receive any stakeholder comments on this topic in
response to the January 2023 NOPR. As such, in this final rule, DOE is
not making any amendments to the UPS test loads.
G. Test Procedure Costs and Harmonization
In this final rule, DOE is amending the existing test procedure for
UPSs by updating the industry standard incorporated by reference to its
latest version, updating definitions consistent with the latest version
of the industry standard, and introducing an optional test for
measuring the power consumption of UPSs at no-load conditions. DOE has
determined that these amendments would not be unduly burdensome for
manufacturers to conduct.
EPCA requires that test procedures prescribed by DOE not be unduly
burdensome to conduct. (42 U.S.C. 6293(b)(3)) The following sections
discuss DOE's evaluation of estimated costs associated with the
finalized amendments.
1. Test Procedure Costs and Impact
This final rule updates certain referenced sections in the UPS test
procedure at appendices Y and Y1 to the latest version of the industry
standard and would not change the method of testing UPSs, but rather
[[Page 28589]]
would only make non-substantive changes, such as section renumbering.
The adopted amendments to harmonize certain definitions with the
industry standard would not change the scope of products currently
subject to the DOE test procedure or energy conservation standards.
Additionally, the adopted optional test procedure for measuring the
power consumption of UPSs at no-load conditions would not be required
for demonstrating compliance with standards. Therefore, the finalized
amendments would not alter the measured energy efficiency or energy use
of UPSs. Manufacturers will be able to rely on data generated under the
current test procedure. Further, the adopted changes would not require
the purchase of additional equipment or increased test burden, and
consequently would not impact testing costs. If manufacturers elected
to continue to make representations or begin making representations
regarding UPS power consumption at no-load conditions, they may need to
retest the no-load power portion of the test procedure for their UPS
model. DOE estimates that this retest would cost approximately $1,700
per unit if the test is conducted by a third-party lab and
substantially less if done by the manufacturer themselves. However, as
stated previously, any representations from such a retest would not be
required for demonstrating compliance with standards for UPSs.
2. Harmonization With Industry Standards
DOE's established practice is to adopt relevant industry standards
as DOE test procedures unless such methodology would be unduly
burdensome to conduct or would not produce test results that reflect
the energy efficiency, energy use, water use (as specified in EPCA), or
estimated operating costs of that product during a representative
average use cycle or period of use. Section 8(c) of appendix A of 10
CFR part 430 subpart C. In cases where the industry standard does not
meet EPCA statutory criteria for test procedures, DOE will make
modifications through the rulemaking process to these standards as the
DOE test procedure.
The test procedure for UPSs at appendices Y and Y1 currently
incorporates by reference IEC 62040-3 Ed. 2.0 regarding test setup,
input and output power measurement, and the optional determination of
UPS architecture. DOE is incorporating by reference the latest version
of this industry standard (i.e., IEC 62040-3 Ed. 3.0). Additional
discussion of this update is provided in section III.C of this
document.
In the January 2023 NOPR, DOE requested comment on the benefits and
burdens of the proposed updates and additions to the industry standard
referenced in the test procedure for UPSs. 88 FR 790, 798. NEMA
supported DOE's proposal to harmonize with industry standards. (NEMA,
No. 10 at p. 3) Therefore, in this final rule, DOE is adopting its
proposal to harmonize with IEC 62040-3 Ed. 3.0.
H. Effective and Compliance Dates
The effective date for the adopted test procedure amendment will be
75 days after publication of this final rule in the Federal Register.
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 an amended test procedure,
beginning 180 days after publication of the final rule in the Federal
Register. (42 U.S.C. 6293(c)(2)) EPCA provides 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 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. (Id.)
DOE also recognizes that the publication of separate final rules
for battery chargers and UPSs may complicate the compliance dates in
appendices Y and Y1 as they apply to battery chargers and UPSs,
respectively. As an example, the September 2022 Final Rule amended
appendices Y and Y1 requiring manufacturers of battery chargers to use
this recently updated version of appendix Y beginning March 7, 2023.
Considering that there are no differences in how a UPS is tested
between the two versions, DOE concludes that it would be beneficial to
refer to the same version of the appendix (as finalized by the
September 2022 Final Rule) for testing both battery chargers and UPSs.
DOE also concludes that presenting these various compliance dates and
references to different versions of the appendices in a tabular format
would clearly show the applicability of each appendix. Accordingly, in
this final rule, DOE is updating the notes section at the beginning of
appendices Y and Y1 to include a table that clearly identifies the
appropriate appendix reference and compliance dates for each product at
any given time.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866, 13563, and 14094
Executive Order (``E.O.'') 12866, ``Regulatory Planning and
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving
Regulation and Regulatory Review,'' 76 FR 3821 (Jan. 21, 2011) and
amended by E.O. 14094, ``Modernizing Regulatory Review,'' 88 FR 21879
(April 11, 2023), requires agencies, to the extent permitted by law, to
(1) propose or adopt a regulation only upon a reasoned determination
that its benefits justify its costs (recognizing that some benefits and
costs are difficult to quantify); (2) tailor regulations to impose the
least burden on society, consistent with obtaining regulatory
objectives, taking into account, among other things, and to the extent
practicable, the costs of cumulative regulations; (3) select, in
choosing among alternative regulatory approaches, those approaches that
maximize net benefits (including potential economic, environmental,
public health and safety, and other advantages; distributive impacts;
and equity); (4) to the extent feasible, specify performance
objectives, rather than specifying the behavior or manner of compliance
that regulated entities must adopt; and (5) identify and assess
available alternatives to direct regulation, including providing
economic incentives to encourage the desired behavior, such as user
fees or marketable permits, or providing information upon which choices
can be made by the public. DOE emphasizes as well that E.O. 13563
requires agencies to use the best available techniques to quantify
anticipated present and future benefits and costs as accurately as
possible. In its guidance, the Office of Information and Regulatory
Affairs (OIRA) in the Office of Management and Budget (OMB) has
emphasized that such techniques may include identifying changing future
compliance costs that might result from technological innovation or
anticipated behavioral changes. For the reasons stated in this
preamble, this final regulatory action is consistent with these
principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this final regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.
[[Page 28590]]
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of a final regulatory flexibility analysis (FRFA) for any
final rule where the agency was first required by law to publish a
proposed rule for public comment, unless the agency certifies that the
rule, if promulgated, will not have a significant economic impact on a
substantial number of small entities. 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 website: www.energy.gov/gc/office-general-counsel. DOE reviewed this final rule under the
provisions of the Regulatory Flexibility Act and the procedures and
policies published on February 19, 2003. DOE has recently conducted a
focused inquiry into small business manufacturers of the UPSs covered
by this rulemaking. DOE used available public information to identify
potential small manufacturers. DOE accessed the CCD \25\ to create a
list of companies that import or otherwise manufacture the UPSs covered
by this final rule.
---------------------------------------------------------------------------
\25\ U.S. Department of Energy Compliance Certification
Database, available at: www.regulations.doe.gov/certification-data/products.html.
---------------------------------------------------------------------------
For manufacturers of UPSs, the Small Business Administration
(``SBA'') has set a size threshold, which defines those entities
classified as ``small businesses'' for the purposes of the statute. DOE
used the SBA's small business size standards to determine whether any
small entities would be subject to the requirements of the rule. See 13
CFR part 121. The size standards are listed by the North American
Industry Classification System (``NAICS'') code and industry
description and are available at www.sba.gov/document/support--table-
size-standards. Manufacturing of UPSs is classified under NAICS 335999,
``All Other Miscellaneous Electrical Equipment and Component
Manufacturing.'' The SBA sets a threshold of 500 employees or less for
an entity to be considered as a small business for this category.
To estimate the number of small businesses that manufacture UPSs
impacted by this rulemaking, DOE conducted a survey using information
from DOE's CCD and previous rulemakings. DOE used information from
these sources to create a list of companies that potentially
manufacture or sell UPSs. DOE screened out companies that do not offer
products covered by this rulemaking, do not meet the definition of a
``small business,'' or are foreign owned and operated. DOE identified
five companies that are small businesses manufacturing UPSs covered by
this rulemaking.
However, DOE has concluded that the updates to DOE's test procedure
for UPSs do not involve substantive changes to the test setup and
methodology and will not pose any additional test burden or additional
test costs for any UPS manufacturers, large or small.
Therefore, DOE concludes that the cost effects accruing from the
final rule would not have a ``significant economic impact on a
substantial number of small entities,'' and that the preparation of a
FRFA is not warranted. DOE has submitted a certification and supporting
statement of factual basis to the Chief Counsel for Advocacy of the
Small Business Administration for review under 5 U.S.C. 605(b).
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 35 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.
DOE is not amending the certification or reporting requirements for
UPSs in this final rule. Instead, DOE may consider proposals to amend
the certification requirements and reporting for UPSs under a separate
rulemaking regarding appliance and equipment certification. DOE will
address changes to OMB Control Number 1910-1400 at that time, as
necessary.
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 establishes 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, DOE has determined that adopting test procedures for
measuring energy efficiency of consumer products and industrial
equipment is consistent with activities identified in 10 CFR part 1021,
appendix A to subpart D, A5 and A6. 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
[[Page 28591]]
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 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; also available
at www.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). Pursuant
to OMB Memorandum M-19-15, Improving Implementation of the Information
Quality Act (April 24, 2019), DOE published updated guidelines which
are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. 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.
This regulatory action 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
[[Page 28592]]
the Federal Trade Commission (FTC) concerning the impact of the
commercial or industry standards on competition.
The modifications to the test procedure for UPSs adopted in this
final rule incorporate testing methods contained in certain sections of
the following commercial standard: IEC 62040-3 Ed. 3.0. 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.,
whether it was developed in a manner that fully provides for public
participation, comment, and review.) DOE has consulted with both the
Attorney General and the Chairman of the FTC about the impact on
competition of using the methods contained in this standard and has
received no comments objecting to its use.
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
IEC 62040-3 Ed. 3.0, ``Uninterruptible power systems (UPS)--Part 3:
Method of specifying the performance and test requirements'' is an
industry-accepted test standard that specifies methods for measuring
the efficiency of a UPS. The test procedure amended in this final rule
updates all references from the previous edition (IEC 62040-3 Ed. 2.0)
to this most current edition (IEC 62040-3 Ed. 3.0). IEC 62040-3 Ed. 3.0
is reasonably available from IEC at https://webstore.iec.ch/ and ANSI
at webstore.ansi.org.
In this final rule, DOE included amendments to add a new section 0
(Incorporation by Reference) to both appendices Y and Y1 listing the
applicable sections of IEC 62040-3 Ed. 3.0 that are referenced by the
test procedure.
V. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects in 10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
Signing Authority
This document of the Department of Energy was signed on March 25,
2024, by Jeff Marootian, Principal Deputy Assistant Secretary for
Energy Efficiency and Renewable Energy, pursuant to delegated authority
from the Secretary of Energy. That document with the original signature
and date is maintained by DOE. For administrative purposes only, and in
compliance with requirements of the Office of the Federal Register, the
undersigned DOE Federal Register Liaison Officer has been authorized to
sign and submit the document in electronic format for publication, as
an official document of the Department of Energy. This administrative
process in no way alters the legal effect of this document upon
publication in the Federal Register.
Signed in Washington, DC, on April 5, 2024.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE amends part 430 of
Chapter II of Title 10, Code of Federal Regulations as set forth below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
1. 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
2. Amend Sec. 430.3 by removing paragraph (o)(3) and revising
paragraph (q)(4) to read as follows:
Sec. 430.3 Materials incorporated by reference.
* * * * *
(q) * * *
(4) IEC 62040-3:2021 (``IEC 62040-3 Ed. 3.0'') Uninterruptible
power systems (UPS)--Part 3: Method of specifying the performance and
test requirements, Edition 3.0, 2021-04; IBR approved for appendices Y
and Y1 to subpart B.
* * * * *
0
3. Amend appendix Y to subpart B of part 430 by:
0
a. Revising the introductory note;
0
b. Adding section 0;
0
c. Revising sections 2.26, 2.27, 2.27.1, 2.27.2, and 2.27.3;
0
d. Revising the introductory text of sections 4.2.1 and 4.3.3; and
0
e. Adding section 4.3.3(c).
The revisions and additions read as follows:
Appendix Y to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Battery Chargers
Note 1: For all Battery Chargers, including UPSs, compliance
with the relevant standard in Sec. 430.32(z) or any representation
must be based upon results generated under the corresponding
appendix listed in the following table:
------------------------------------------------------------------------
Battery chargers
other than UPSs UPS
------------------------------------------------------------------------
On or After July 3, 2024 and Use appendix Y as Use appendix Y as
Before October 16, 2024. it appeared on it appeared on
either March 7, either March 7,
2023, or July 3, 2023, or July 3,
2024. 2024
On or After October 16, 2024 and Use appendix Y as Use appendix Y as
Before compliance date of any it appeared on it appeared on
new or amended standards July 3, 2024.. July 3, 2024.
published any time after
September 2022.
On or After compliance date of Use appendix Y1... Use appendix Y1.
any new or amended standards
published any time after
September 2022.
------------------------------------------------------------------------
0. Incorporation by Reference
DOE incorporated by reference in Sec. 430.3 the entire test
standard for IEC 62040-3 Ed. 3.0. However, only enumerated
provisions of this standard are applicable to this appendix, as
follows. In cases in which there is a conflict, the language of the
test procedure in this appendix takes precedence over the referenced
test standard.
0.1 IEC 62040-3 Ed. 3.0:
(a) Section 3.5, Specified values;
(b) Section 3.5.49, total harmonic distortion;
(c) Section 5, Electrical conditions, performance and declared
values;
(d) Section 5.2, UPS input specification, as specified in
section 2.28.2 of this appendix;
(e) Section 5.2.1, Conditions for normal mode of operation;
Clause 5.2.1.a;
(f) Clause 5.2.1.b;
(g) Section 5.2.2, Conditions to be declared by the
manufacturer; Clause 5.2.2.k;
(h) Clause 5.2.2.l;
[[Page 28593]]
(i) Clause 5.2.2.m;
(j) Section 5.3, UPS output specification; Section 5.3.2,
Characteristics to be declared by the manufacturer; Clause 5.3.2.b;
(k) Clause 5.3.2.c;
(l) Clause 5.3.2.d;
(m) Clause 5.3.2.e;
(n) Section 5.3.4.2, Input dependency AAA;
(o) Section 6.2, Routine test procedure; Section 6.2.2,
Electrical; Section 6.2.2.4, No load, as specified in section
4.3.3(c) of this appendix;
(p) Section 6.2.2.7, AC input failure, as specified in Note to
section 2.28.1 of this appendix;
(q) Section 6.4, Type test procedure (electrical); Section
6.4.1, Input--AC input power compatibility; Section 6.4.1.2, Steady
state input voltage tolerance and VI input independency, as
specified in Note to section 2.28.3 of this appendix;
(r) Section 6.4.1.3, Combined input voltage/frequency tolerance
and VFI input independency, as specified in Note to section 2.28.2
of this appendix;
(s) Annex G--AC input power failure--Test method;
(t) Annex J--UPS efficiency and no load losses--Methods of
measurement, as specified in sections 4.2.1 and 4.3.3 of this
appendix.
0.2 [Reserved]
* * * * *
2.26. Total harmonic distortion (THD), expressed as a percent,
is as defined in section 3.5.9 of IEC 62040-3 Ed. 3.0.
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 AC input
power failure.
2.27.1. Voltage and frequency dependent UPS or VFD UPS means a
UPS that protects the load from a complete loss of AC input power.
The output of a VFD UPS is dependent on changes in voltage and
frequency of the AC input power and is not intended to provide
additional voltage corrective functions, such as those arising from
the use of tapped transformers.
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. 3.0 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 that is independent of AC input power voltage and frequency
variations as specified and declared in section 5.2 of IEC 62040-3
Ed. 3.0 and shall protect the load against adverse effects from such
variations without discharging the energy storage device.
Note to 2.27.2: VFI input dependency may be verified by
performing the combined input voltage/frequency tolerance and VFI
input independency test in section 6.4.1.3 of IEC 62040-3 Ed. 3.0
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
protects the load as required for VFD and also from (a) under-
voltage applied continuously to the input, and (b) over-voltage
applied continuously to the input. The output voltage of a VI UPS
shall remain within declared voltage limits (provided by voltage
corrective functions, such as those arising from the use of active
and/or passive circuits). The output voltage tolerance band shall be
narrower than the input voltage tolerance band.
Note to 2.27.3: VI input dependency may be verified by
performing the steady state input voltage tolerance test in section
6.4.1.2 of IEC 62040-3 Ed. 3.0 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.
* * * * *
4.2.1. General Setup
Configure the UPS according to Annex J.2 of IEC 62040-3 Ed. 3.0
with the following additional requirements:
* * * * *
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. 3.0, or measure the input and
output energy of the UUT for efficiency calculations with the
following exceptions:
* * * * *
(c) For representations of no-load losses, measure the active
power at the UPS input port with no load applied in accordance with
section 6.2.2.4 of IEC 62040-3 Ed. 3.0.
* * * * *
0
4. Amend appendix Y1 to subpart B of part 430 by:
0
a. Revising the introductory note;
0
b. Adding section 0;
0
c. Revising sections 2.27, 2.28, 2.28.1, 2.28.2, and 2.28.3;
0
d. Revising the introductory text of sections 4.2.1 and 4.3.3; and
0
e. Adding section 4.3.3(c).
The revisions and additions read as follows:
Appendix Y1 to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Battery Chargers
Note 1: For all Battery Chargers, including UPSs, compliance
with the relevant standard in Sec. 430.32(z) or any representation
must be based upon results generated under the corresponding
appendix listed in the following table:
------------------------------------------------------------------------
Battery chargers
other than UPSs UPS
------------------------------------------------------------------------
On or After July 3, 2024 and Use appendix Y as Use appendix Y as
Before October 16, 2024. it appeared on it appeared on
either October either October
11, 2022, or July 11, 2022, or July
3, 2024. 3, 2024.
On or After October 16, 2024 and Use appendix Y as Use appendix Y as
Before compliance date of any it appeared on it appeared on
new or amended standards July 3, 2024. July 3, 2024.
published any time after
September 2022.
On or After compliance date of Use appendix Y1... Use appendix Y1.
any new or amended standards
published any time after
September 2022.
------------------------------------------------------------------------
Manufacturers may begin to use appendix Y1 to certify compliance
with any new or amended energy conservation standards, published
after September 8, 2022, prior to the applicable compliance date for
those standards.
0. Incorporation by Reference
DOE incorporated by reference in Sec. 430.3 the entire test
standard for IEC 62040-3 Ed. 3.0. However, only enumerated
provisions of this standard are applicable to this appendix, as
follows. In cases in which there is a conflict, the language of the
test procedure in this appendix takes precedence over the referenced
test standard.
0.1 IEC 62040-3 Ed. 3.0:
(a) Section 3.5 Specified values;
(b) Section 3.5.49 total harmonic distortion;
(c) Section 5, Electrical conditions, performance and declared
values;
(d) Section 5.2, UPS input specification, as specified in
section 2.28.2 of this appendix;
(e) Section 5.2.1, Conditions for normal mode of operation;
Clause 5.2.1.a;
(f) Clause 5.2.1.b;
(g) Section 5.2.2, Conditions to be declared by the
manufacturer; Clause 5.2.2.k;
(h) Clause 5.2.2.l;
(i) Clause 5.2.2.m;
(j) Section 5.3, UPS output specification; Section 5.3.2,
Characteristics to be declared by the manufacturer; Clause 5.3.2.b;
(k) Clause 5.3.2.c;
(l) Clause 5.3.2.d;
(m) Clause 5.3.2.e;
(n) Section 5.3.4.2, Input dependency AAA;
(o) Section 6.2, Routine test procedure; Section 6.2.2,
Electrical; Section 6.2.2.4, No
[[Page 28594]]
load, as specified in section 4.3.3(c) of this appendix;
(p) Section 6.2.2.7, AC input failure, as specified in Note to
section 2.28.1 of this appendix;
(q) Section 6.4, Type test procedure (electrical); Section
6.4.1, Input--AC input power compatibility; Section 6.4.1.2, Steady
state input voltage tolerance and VI input independency, as
specified in Note to section 2.28.3 of this appendix;
(r) Section 6.4.1.3, Combined input voltage/frequency tolerance
and VFI input independency, as specified in Note to section 2.28.2
of this appendix;
(s) Annex G--AC input power failure--Test method;
(t) Annex J--UPS efficiency and no load losses--Methods of
measurement, as specified in sections 4.2.1 and 4.3.3 of this
appendix.
0.2 [Reserved]
* * * * *
2.27. Total harmonic distortion (THD), expressed as a percent,
is as defined in section 3.5.9 of IEC 62040-3 Ed. 3.0.
2.28. 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 AC input
power failure.
2.28.1. Voltage and frequency dependent UPS or VFD UPS means a
UPS that protects the load from a complete loss of AC input power.
The output of a VFD UPS is dependent on changes in voltage and
frequency of the AC input power and is not intended to provide
additional voltage corrective functions, such as those arising from
the use of tapped transformers.
Note to 2.28.1: VFD input dependency may be verified by
performing the AC input failure test in section 6.2.2.7 of IEC
62040-3 Ed. 3.0 and observing that, at a minimum, the UPS switches
from normal mode of operation to battery power while the input is
interrupted.
2.28.2. Voltage and frequency independent UPS or VFI UPS means a
UPS that is independent of AC input power voltage and frequency
variations as specified and declared in section 5.2 of IEC 62040-3
Ed. 3.0 and shall protect the load against adverse effects from such
variations without discharging the energy storage device.
Note to 2.28.2: VFI input dependency may be verified by
performing the combined input voltage/frequency tolerance and VFI
input independency test in section 6.4.1.3 of IEC 62040-3 Ed. 3.0
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.
2.28.3. Voltage independent UPS or VI UPS means a UPS that
protects the load as required for VFD and also from (a) under-
voltage applied continuously to the input, and (b) over-voltage
applied continuously to the input. The output voltage of a VI UPS
shall remain within declared voltage limits (provided by voltage
corrective functions, such as those arising from the use of active
and/or passive circuits). The output voltage tolerance band shall be
narrower than the input voltage tolerance band.
Note to 2.28.3: VI input dependency may be verified by
performing the steady state input voltage tolerance test in section
6.4.1.2 of IEC 62040-3 Ed. 3.0 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.
* * * * *
4.2.1. General Setup
Configure the UPS according to Annex J.2 of IEC 62040-3 Ed. 3.0
with the following additional requirements:
* * * * *
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. 3.0, or measure the input and
output energy of the UUT for efficiency calculations with the
following exceptions:
* * * * *
(c) For representations of no-load losses, measure the active
power at the UPS input port with no load applied in accordance with
section 6.2.2.4 of IEC 62040-3 Ed. 3.0.
[FR Doc. 2024-07612 Filed 4-18-24; 8:45 am]
BILLING CODE 6450-01-P