[Federal Register Volume 81, Number 97 (Thursday, May 19, 2016)]
[Proposed Rules]
[Pages 31542-31560]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-11205]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2016-BT-TP-0018]
RIN 1904-AD68


Energy Conservation Program: Test Procedure for Uninterruptible 
Power Supplies

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

ACTION: Notice of proposed rulemaking.

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

DATES: Meeting: DOE will hold a public meeting on Thursday, June 9, 
2016, from 9:30 a.m. to 12:30 p.m., in Washington, DC. The meeting will 
also be broadcast as a webinar. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants.
    Comments: DOE will accept comments, data, and information regarding 
this notice of proposed rulemaking (NOPR) before and after the public 
meeting, but no later than July 18, 2016. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., 
Washington, DC 20585.
    Any comments submitted must identify the NOPR for Test Procedure 
for Battery Chargers, and provide docket number EE-2016-BT-TP-0018 and/
or regulatory information number (RIN) number 1904-AD68. Comments may 
be submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: [email protected]. Include the docket number and/
or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Office, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
CD, in which case it is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document 
(Public Participation).
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at http://www.regulations.gov/#!docketDetail;D=EERE-2016-BT-TP-0018. All 
documents in the docket are listed in the www.regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available. The www.regulations.gov Web page contains simple 
instructions on how to access all documents, including public comments, 
in the docket. See section V for information on how to submit comments 
through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Jeremy Dommu, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 586-9870. Email: 
[email protected].
    In the Office of the General Counsel, contact Mr. Pete Cochran, 
U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 
Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 
586-9496. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION: This proposed rule would incorporate by 
reference into 10 CFR part 430 the testing methods contained in the 
following commercial standard:
    IEC 62040-3, ``Uninterruptible power systems (UPS)--Method of 
specifying the performance and test requirements,'' Edition 2.0, 
Section 6 ``UPS tests,'' and Annex J ``UPS efficiency--Methods of 
measurement.''
    Copies of the IEC 62040-3 Ed. 2.0 standard are available from the 
American National Standards Institute, 25 W. 43rd Street, 4th Floor, 
New York, NY 10036 or at http://webstore.ansi.org/.

[[Page 31543]]

    See section IV.M for further discussion of this standard.

Table of Contents

I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Covered Products and Scope
    B. Existing Test Procedures and Standards Incorporated by 
Reference
    C. Definitions
    1. Energy Storage System
    2. Normal Mode
    3. Reference Test Load
    4. Uninterruptible Power Supplies
    D. Test Conditions
    1. Accuracy and Precision of Measuring Equipment
    2. Environmental Conditions
    3. Input Voltage and Frequency
    E. Battery Configuration
    F. Product Configuration
    G. Average Power and Efficiency Calculation
    1. Average Power
    2. Efficiency
    H. Output Metric
    I. Effective Date and Compliance of Test Procedure
    J. Sampling Plan for Determination of Certified Rating
    K. Certification Reports
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Material Incorporated by Reference
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

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

General Test Procedure Rulemaking Process

    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides in relevant part that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure energy efficiency, 
energy use or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use and shall 
not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1))

Background

    The ``Uniform Test Method for Measuring the Energy Consumption of 
Battery Chargers'' in appendix Y to subpart B of 10 CFR part 430 
specifies the testing requirements for battery chargers. DOE last 
amended this test method with the publication of a test procedure final 
rule on June 1, 2011, which codified a new active-mode test procedure 
and amended the existing standby and off-mode test procedures. 76 FR 
31750. As federal standards for battery chargers have yet to be 
finalized, DOE has not required manufacturers to submit energy 
efficiency data for their products tested under the battery charger 
test procedure.
    DOE published a notice of proposed rulemaking (NOPR) on March 27, 
2012, regarding energy conservation standards for battery chargers and 
external power supplies (March 2012 NOPR) where it proposed standards 
for battery chargers, including uninterruptible power supplies (UPSs). 
77 FR 18478
    Following the publication of the 2011 battery charger test 
procedure final rule and the March 2012 NOPR, DOE explored whether to 
regulate UPSs as ``computer systems.'' See, e.g., 79 FR 11345 (Feb. 28, 
2014) (proposed coverage determination); 79 FR 41656 (July 17, 2014) 
(computer systems framework document). DOE received a number of 
comments in response to those documents (and the related public 
meetings) regarding testing of UPSs, which are discussed in this NOPR. 
At the same time, DOE received questions and requests for clarification 
regarding the testing, rating, and classification of battery chargers.
    As part of the continuing effort to establish federal efficiency 
standards for battery chargers and to develop a clear and widely 
applicable test procedure, DOE published a notice of data availability 
(May 2014 NODA) on May 15, 2014. 79 FR 27774. This NODA sought comments 
from stakeholders concerning the repeatability of the test procedure 
when testing battery chargers with several consumer configurations and 
on the future market penetration of new battery charging technologies 
that may require revisions to the battery charger test procedure. DOE 
also sought comments on the reporting requirements for manufacturers 
attempting to comply with the California Energy Commission's (CEC's) 
efficiency standards for battery chargers in order to understand 
certain data discrepancies in the CEC database. These issues were 
discussed during DOE's NODA public meeting on June 3, 2014.
    Based upon discussions from the May 2014 NODA public meeting and 
written comments submitted by various stakeholders, DOE published a 
NOPR (August 2015 NOPR) to revise the current battery charger test 
procedure

[[Page 31544]]

on August 6, 2015. 80 FR 46855. DOE received a number of stakeholder 
comments on the August 2015 NOPR and the computer systems framework 
document regarding regulation of battery chargers including UPSs. After 
considering these comments, DOE reconsidered its position and found 
that since a UPS meets the definition of a battery charger, it is more 
appropriate to regulate UPSs as part of the battery charger rulemaking. 
Therefore, in today's notice DOE proposes to amend the battery charger 
test procedure to include specific test provisions for UPSs.

II. Synopsis of the Notice of Proposed Rulemaking

    This proposal seeks to add provisions for testing UPSs to the 
battery charger test procedure. Specifically, DOE is proposing to 
incorporate by reference specific sections of IEC 62040-3 Ed 2.0 with 
additional instructions, into the current battery charger test 
procedure published at appendix Y to subpart B of 10 CFR part 430. 
Additionally, this proposal seeks to add formal definitions for 
uninterruptible power supply, voltage and frequency dependent UPSs, 
voltage independent UPSs, voltage and frequency independent UPSs, 
energy storage systems, normal mode and reference test load to appendix 
Y to subpart B of 10 CFR part 430 and revise the compliance 
certification requirements for battery chargers published at 10 CFR 
429.39.

III. Discussion

    In response to the August 2015 NOPR, DOE received written comments 
from 18 interested parties, including manufacturers, trade 
associations, standards development organizations and energy efficiency 
advocacy groups. Table III-1 below lists only the entities that 
commented on the proposed exclusion of UPSs, as battery chargers. These 
comments are discussed in further detail below. The full set of 
comments on the battery charger test procedure NOPR can be found at: 
http://www.regulations.gov/#!docketBrowser;rpp=25;po=0;dct=PS;D=EERE-
2014-BT-TP-0044.

Table III-1--Interested Parties That Provided Written Comments on Proposed Exclusion of UPSs as Battery Chargers
                                             in the August 2015 NOPR
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                                                                                                    Comment No.
                Commenter                           Acronym               Organization type/          (docket
                                                                              affiliation           reference)
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California Investor Owned Utilities.....  CA IOUs...................  Utility Association.......              21
Natural Resources Defense Council,        NRDC, ASAP, and NEEA......  Energy Efficiency Advocacy              20
 Appliance Standards Awareness Project,                                Groups.
 and Northwest Energy Efficiency
 Alliance.
Schneider Electric......................  Schneider Electric........  Manufacturer..............              12
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    Similarly, in response to the computer systems framework document, 
DOE received written comments from 9 interested parties, including 
manufacturers, trade associations, standards development organizations, 
and energy efficiency advocacy groups. Table III-2 below lists only the 
entities that commented on the inclusion of UPSs in the computer 
systems rulemaking. These comments are also discussed in detail below. 
The full set of comments on the computer systems framework document can 
be found at: http://www.regulations.gov/#!docketBrowser;rpp=25;po=0;dct=PS;D=EERE-2014-BT-STD-0025.

 Table III-2--Interested Parties That Provided Written Comments on the Inclusion of UPSs in the Computer Systems
                                               Framework Document
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                                                                                                    Comment No.
                Commenter                           Acronym               Organization type/          (docket
                                                                              affiliation           reference)
----------------------------------------------------------------------------------------------------------------
Information Technology Industry Council.  ITI.......................  Trade Association.........              10
National Electrical Manufacturers         NEMA......................  Trade Association.........              15
 Association.
Schneider Electric......................  Schneider Electric........  Manufacturer..............              08
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A. Covered Products and Scope

    DOE has proposed several different methods of handling UPSs 
throughout the course of the battery chargers and computer systems 
rulemakings. Originally, DOE had proposed energy conservation standards 
for UPSs as part of the 2012 battery chargers NOPR. DOE proposed that 
UPSs be part of product class 10a and 10b and be regulated using the 
same energy consumption metric (annual unit energy consumption or 
``UEC'') and test procedure as all other battery chargers, using a 
usage profile assumption for those product classes that is typical of 
UPSs. 77 FR 18478. However, in 2014, DOE proposed that UPSs be included 
as part of the proposed coverage determination for computer systems. As 
outlined in the computer systems framework document, DOE sought 
stakeholder feedback of its consideration of referencing IEC 62040-3 
Edition 2.0, ``Uninterruptible power systems (UPS)--Method of 
specifying the performance and test requirements'', March 2011 (IEC 
62040-3 Ed. 2.0), as the test procedure for UPSs with the inclusion of 
additional instructions from ENERGY STAR UPS Version 1.0, ``ENERGY STAR 
Program Requirements for Uninterruptible Power Supplies,'' Rev. July 
2012 (ENERGY STAR UPS V. 1.0). This test procedure would measure the 
average conversion efficiency of a UPS with test loads connected to the 
UPS.
    DOE received comments on the battery charger test procedure NOPR 
from Schneider Electric and the CA IOUs opposing the exclusion of UPSs 
from the scope of the battery charger test procedure. These 
stakeholders highlighted the usage of the current battery charger test 
procedure by CEC to

[[Page 31545]]

regulate UPSs under the state's own battery charger energy conservation 
program. (Docket No. EERE-2014-BT-TP-0044, Schneider Electric, No, 12 
at p. 1, Docket No. EERE-2014-BT-TP-0044, CA IOUs, No. 21 at p. 3) 
Their comments emphasize that UPSs are a type of backup battery charger 
and should remain in the scope of the battery charger test procedure. 
Similarly, NRDC, ASAP, and NEEA submitted comments recommending that 
battery backup systems be included in the scope of the battery charger 
test procedure. Further, NRDC, ASAP, and NEEA recommended that DOE 
exclude battery backup systems as a covered product in order to allow 
the CEC to continue to enforce its standards for these products until 
the computer systems standards become effective. (Docket No. EERE-2014-
BT-TP-0044, NRDC, ASAP, and NEEA, No. 20, p. 2)
    After considering all related stakeholder comments, DOE believes 
that it is most appropriate to include UPSs within the scope of the 
battery charger test procedure. Although UPSs may provide various types 
of power conditioning and monitoring functionality depending on their 
architecture and input dependency, they primarily maintain the fully-
charged state of lead acid batteries with relatively high self-
discharge rates so that in the event of a power outage, they are able 
to provide backup power instantly to the connected load. Maintaining 
the lead acid battery therefore directly affects a UPS's overall energy 
efficiency. In 10 CFR 430.2, a battery charger is defined as a device 
that charges batteries for consumer products. Because UPSs that are in 
scope of this rulemaking have the primary task of maintaining a charged 
lead acid battery, DOE concludes that UPSs meet the definition of a 
battery charger and, as such, should be considered within the scope of 
the battery charger test procedure.
    UPSs are defined in IEC 62040-3 Ed. 2.0 as 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. Today, DOE proposes to adopt this 
definition for UPSs; that is, only battery chargers that meet the 
above-stated definition of a UPS are subject to the testing 
requirements proposed in this NOPR. While UPSs with a variety of 
architectures, input dependency and input/output characteristics may 
meet IEC's definition, DOE is further proposing to limit the 
applicability of this test procedure to only those that have an AC 
output to help limit the scope of the UPS test procedure. DOE 
emphasizes that this proposal to include specific test provisions for 
UPSs in the battery charger test procedure only applies to products 
that meet the above stated definition of a UPS and have an AC output.
    DOE requests comment on the proposal to include specific test 
provisions for UPSs, as defined above, in the battery charger test 
procedure.

B. Existing Test Procedures and Standards Incorporated by Reference

    DOE is proposing to add specific testing provisions for UPSs in the 
battery charger test procedure, as the Department believes that the 
specifications in the current battery charger test procedure are not 
appropriate for UPSs. Most battery chargers have four modes of 
operation: (1) Active mode (charging batteries that are at various 
stages of depletion); (2) maintenance mode (maintaining fully charged 
batteries); (3) standby mode (plugged in with no battery connected to 
charge and all manual on-off switches turned on); and (4) off mode 
(plugged in with no battery connected to charge and all manual on-off 
switches turned off). The current battery charger test procedure 
measures energy consumption in these modes because most battery 
chargers generally spend a significant amount of time in all four modes 
of operation. Most battery chargers are used to charge the batteries of 
products that are designed to be regularly operated using battery 
power. This makes the current test procedure output metrics appropriate 
for representing the energy consumption of most kinds of battery 
chargers during a representative average use cycle.
    In contrast, the current test procedure, which measures energy 
consumption of a battery charger as it charges a fully discharged 
battery, is inappropriate for a UPS since a UPS rarely has a fully 
discharged battery. The UPS's battery is only infrequently depleted 
during a power outage when a connected load discharges the energy 
stored within the UPS's battery in order to continue normal operation 
of the powered product. Likewise, it is only after power has been 
restored following an outage that the UPS charges depleted batteries. 
The vast majority of the time a UPS provides a small amount of charge 
necessary to maintain fully charged batteries and also delivers power 
to a connected load. Therefore, in order to accurately capture the 
energy consumption and energy efficiency of the normal operation of a 
UPS, the test procedure should measure the energy consumption of 
maintaining a fully charged battery and the conversion losses 
associated with delivering load power.
    The following subsections discuss each mode of operation that is 
currently included within the DOE battery charger test procedure, and 
the rationale for why each mode is not applicable to UPSs.
    1. Active mode: Section 2.1 of appendix Y to subpart B of 10 CFR 
part 430 defines active mode or charge mode as a state in which the 
battery charger system is connected to the main electricity supply, and 
the battery charger is delivering current, equalizing cells, and 
performing other one-time or limited-time functions in order to bring 
the battery to a fully charged state. In active mode, the battery 
charger is charging a battery that is partially or fully discharged. 
However, unlike other battery chargers, UPSs seldom have a fully-
discharged battery. UPSs primarily maintain the fully-charged state of 
their internal batteries so that in the event of a power outage, the 
internal batteries are able to instantly provide backup power to a 
connected load. However, power outages are infrequent in the United 
States and therefore a UPS rarely switches to backup power and consumes 
its stored energy. Because the battery is maintained in a fully charged 
state during the majority of a UPS's service life, UPSs are almost 
never required to enter active mode to replenish a depleted battery. 
Consequently, it would not be appropriate to measure the active mode 
energy consumption of a UPS by the current battery charger test 
procedure because the resulting measured energy would not be 
representative for a UPS in typical use as required by 42 U.S.C. 
6293(b)(3). Two other outputs of the current test procedure, battery 
capacity and charge time, are related to measuring the energy 
consumption in active mode. Because the active mode is generally not 
common for a UPS, measuring battery capacity and charge time would 
typically not be representative.
    2. Maintenance mode: Once the batteries have been fully charged, a 
battery charger typically enters a maintenance mode intended to 
maintain the fully charged state of batteries with a finite self-
discharge rate, while protecting it from overcharging. Although UPSs 
spend the majority of their service life in this mode, UPSs also 
continuously provide power to a connected load. This aspect is missing 
from the current battery charger test procedure, which does not require 
a load to be connected to the battery charger--only to a battery. UPSs 
are

[[Page 31546]]

almost always connected to a load, such as a computer, because the 
primary purpose of a UPS is to provide power in the event of an 
unexpected power outage. Leaving the UPS unconnected to a load would 
not be representative of typical usage, and the resulting measured 
energy consumption would not be representative, as required by 42 
U.S.C. 6293(b)(3).
    3. Standby and off modes: The current battery charger test 
procedure requires that, in addition to active and maintenance mode, a 
battery charger's energy consumption be measured in two other modes of 
operation; standby and off mode. In standby mode, the battery charger 
remains connected to the main electricity supply with the battery 
itself disconnected and all manual on-off switches (if applicable) 
turned on. In off mode, the battery charger remains connected to the 
main electricity supply with the battery itself disconnected and all 
manual on-off switches (if applicable) turned off. UPSs never 
experience these modes of operation in typical use since they are 
always connected to mains power and have batteries attached in order to 
service their loads in the event of a power outage. Therefore, testing 
UPSs in standby and off modes would not be representative of typical 
usage, and the resulting measured energy consumption would not be 
representative, as required by 42 U.S.C. 6293(b)(3).
    As each of the modes of operation discussed above is not directly 
applicable to UPSs, DOE proposes to amend the current battery charger 
test procedure to add auxiliary instructions for testing a UPS that 
will better capture the device's real world energy performance. More 
specifically, DOE proposes to define ``normal mode'' as a mode of 
operation where the UPS maintains a battery while simultaneously 
powering a connected load.
    In order to measure energy consumption during normal mode, DOE 
proposes to incorporate by reference Section 6 and Annex J of IEC 
62040-3 Ed. 2.0 in the battery charger test procedure. This test method 
requires that power consumption of a UPS be measured in normal mode 
with reference test loads equal to 25%, 50%, 75%, and 100% of the 
unit's rated power. Each of these individual efficiency data points is 
then weighted by a coefficient that is specific for each UPS 
architecture and combined to determine the overall average efficiency 
of the unit. DOE is aware that the IEC standard is under revision and 
will consider amending this test procedure to further harmonize with 
any finalized revision of this industry test procedure. Furthermore, 
DOE proposes to include additional instructions, some of which are 
provided in the ENERGY STAR UPS V. 1.0 specification. Discussion of 
these additional instructions is found in sections III.C and III.D of 
this proposed rule.
    DOE requests stakeholder comments on the type of changes that are 
being considered for the revised IEC 62040-3 standard and how it may 
impact the test procedure proposed today.
    Because DOE is proposing to adopt testing requirements for UPSs 
from IEC 62040-2 Ed. 2.0 with additional instructions where 
appropriate, the following sections discuss these proposed requirements 
including definitions, test conditions, battery and product 
configuration, average power and efficiency calculations, output 
metric, effective date and compliance requirements, sampling plan and 
certification reports.

C. Definitions

    DOE proposes to include the following definitions, in alphabetical 
order, in section 2 of appendix Y to subpart B of 10 CFR part 430. DOE 
requests comment on all proposed definitions, particularly those that 
are not defined in existing industry standards.
1. Energy Storage System
    DOE proposes the following definition for an Energy Storage System 
of a UPS: ``Energy storage system is a system consisting of single or 
multiple devices designed to provide power to the UPS inverter 
circuitry.''
2. Normal Mode
    Normal mode for UPSs is similar to the maintenance mode of other 
battery chargers as defined in appendix Y to subpart B of 10 CFR part 
430 in that the UPS maintains the fully charged state of batteries with 
a finite self-discharge rate, while protecting it from overcharging. 
However, in addition to maintaining a battery, a UPS in normal mode 
also continuously provides power to a load. In order to highlight this 
distinction, DOE proposes the following definition for the normal mode 
of operation for a UPS.
    ``Normal mode is a mode of operation for a UPS in which:
    (i) The UPS provides required output power to the connected load 
without switching to battery power,
    (ii) the energy storage system is being maintained at full charge, 
and
    (iii) the load connected to the UPS is within the UPS's specified 
power rating.''
3. Reference Test Load
    To describe the load that is used for testing UPSs, DOE proposes 
the following definition for reference test load.
    ``Reference test load is a load or condition with a power factor of 
greater than 0.99 in which the AC output socket of the UPS delivers the 
active power (W) for which the UPS is rated.''
    While IEC 62040-3 Ed. 2.0 also provides a definition for reference 
test load, it does not explicitly address whether such a test load is 
linear or non-linear in nature. Similarly, section 4.2 of ENERGY STAR 
UPS V. 1.0 calls for the reference test load to be resistive without 
clearly defining the term `resistive'. DOE's proposed definition 
properly characterizes the test load to be used for UPS testing and 
removes ambiguity by requiring the test load to be linear and resistive 
through the power factor requirement.
4. Uninterruptible Power Supplies
    DOE proposes the following definition for a UPS:
    ``Uninterruptible power supply or UPS means a battery charger 
consisting of a combination of convertors, switches and energy storage 
devices, constituting a power system for maintaining continuity of load 
power in case of input power failure.''
    DOE is also proposing to include definitions for voltage 
independent, voltage and frequency dependent, and voltage and frequency 
independent UPS architectures based on the definitions from section 1.0 
of ENERGY STAR UPS V. 1.0 to differentiate between different UPS load 
ratings. The proposed definitions are as follows:
    ``Voltage and frequency dependent UPS or VFD UPS means a UPS that 
produces an alternating current (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.''
    A typical VFD UPS connects the protected load directly to the main 
electricity supply without performing any voltage or frequency 
conditioning. In the event the input voltage or frequency fails or 
simply falls outside a manufacturer-specified range, the VFD UPS shifts 
the source of the output power from the main electricity supply to the 
battery power by detecting the fault condition and turning on the 
internal DC to AC inverter circuitry. Because the detection of a fault 
condition and the subsequent turning

[[Page 31547]]

on of the DC to AC inverter circuitry requires a finite amount of time, 
the switchover process is not instantaneous and generally requires tens 
of milliseconds. This UPS architecture may therefore not be suitable 
for protecting loads that are sensitive to brief dips and surges in the 
input power supply.
    ``Voltage independent UPS or VI UPS means a UPS that produces an AC 
output within a specific tolerance band that is independent of under-
voltage or over-voltage variations in the input voltage. The output 
frequency of a VI UPS is dependent on the input frequency, similar to a 
voltage and frequency dependent system.''
    A VI UPS functions similarly to a VFD UPS in that it also powers 
the protected load using the main electricity supply. However, unlike a 
VFD UPS, a VI UPS is able to perform minor conditioning of the input 
voltage when it is marginally out of tolerance without switching to 
battery power. A VI UPS typically achieves this by using a Buck-boost 
transformer, a component that can detect dips and surges in the input 
voltage and adjust its winding ratio such that the output voltage 
remains constant. However, if the perturbation in the input voltage is 
greater than a predetermined range set by the manufacturer, the VI UPS 
will switch to the battery power similar to a VFD UPS. A VI UPS is 
unable to protect the load against fluctuations in the input frequency 
without switching to battery power.
    ``Voltage and frequency independent UPS or VFI UPS means a UPS 
where the device remains in normal mode producing an AC output voltage 
and frequency that is independent of input voltage and frequency 
variations and protects the load against adverse effects from such 
variations without depleting the stored energy source. The input 
voltage and frequency variations through which the UPS must remain in 
normal mode are as follows:
    i. 10% of the rated input voltage or the tolerance 
range specified by the manufacturer, whichever is greater; and
    ii. 2% of the rated input frequency or the tolerance 
range specified by the manufacturer, whichever is greater.''
    A VFI UPS consists of an AC to DC converter that charges the UPS 
battery and a DC to AC inverter that converts the DC battery voltage 
back to AC in order to power the connected load. However, unlike a VFD 
or a VI UPS where the DC to AC inverter is turned on only when a fault 
condition is detected, the inverter in a VFI UPS is always in operation 
ensuring that the connected load is always powered through the battery 
power, which is continuously charged using main electricity supply. The 
use of a VFI device is particularly important when the protected load 
is sensitive to the slightest change in input voltage and frequency.
    To help manufacturers determine whether a UPS is properly 
considered to be VFD, VI, or VFI, DOE is including tests to verify the 
input dependency of the UPS as follows: VI input dependency may be 
verified by performing the steady state input voltage tolerance test in 
section 6.4.1.1 of IEC 62040-3 Ed. 2.0 and observing that the output 
voltage remains within the specified limit during the test. VFD input 
dependency may be verified by performing the AC input failure test in 
section 6.2.2.7 of IEC 62040-3 Ed. 2.0 and observing that, at a 
minimum, the UPS switches from normal mode of operation to battery 
power while the input is interrupted. VFI input dependency may be 
verified by performing the steady state input voltage tolerance test 
and the input frequency tolerance test specified in sections 6.4.1.1 
and 6.4.1.2 of IEC 62040-3 Ed. 2.0 and observing that, at a minimum, 
the output voltage and frequency remain within the specified output 
tolerance band during the test. These tests may be performed to 
determine the input dependency supported by the test unit.

D. Test Conditions

    Although a majority of the test conditions are adopted from the IEC 
62040-3 Ed 2.0 standard, DOE proposes certain supplementary 
instructions for the test conditions in appendix Y to subpart B of 10 
CFR part 430 in order to eliminate the possibility of ambiguity. DOE 
requests comment on the proposed test conditions.
1. Accuracy and Precision of Measuring Equipment
    In this NOPR, DOE proposes that the power meter and other equipment 
used during the test procedure must provide true root mean square (r. 
m. s.) measurements of the active input and output power, with an 
uncertainty at full rated load of less than or equal to 0.5 percent at 
the 95 percent confidence level notwithstanding that voltage and 
current waveforms can include a harmonic component. Further, DOE 
proposes that the power meter and other equipment must measure input 
and output values simultaneously.
2. Environmental Conditions
    IEC 62040-3 Ed 2.0 requires that the ambient temperature must be in 
the range of 20 [deg]C to 30 [deg]C. In order to ensure repeatability, 
DOE proposes to increase the precision required for ambient temperature 
measurements, while keeping the same range. As a result, the ambient 
temperature must be 20.0 [deg]C to 30.0 [deg]C (i.e., increasing the 
required precision by one decimal place) and the measurement must 
include all uncertainties and inaccuracies introduced by the 
temperature measuring equipment. Extending the precision of IEC's 
ambient temperature range requirement by one decimal place allows DOE 
to minimize rounding errors and avoid scenarios where a temperature of 
19.6 [deg]C would be rounded to 20 [deg]C during testing and 
potentially provide higher efficiency usage values than those obtained 
at or above 20.0 [deg]C. The proposal also requires that the tests be 
carried out in a room with an air speed immediately surrounding the 
unit under test (UUT) of less than or equal to 0.5 m/s. There must be 
no intentional cooling of the UUT such as by use of separately powered 
fans, air conditioners, or heat sinks. The UUT must be tested on a 
thermally non-conductive surface.
3. Input Voltage and Frequency
    DOE proposes that the AC input voltage to the UUT be within 3 
percent of the highest rated voltage and the frequency be within 1 
percent of the highest rated frequency of the device.

E. Battery Configuration

    Section J.2.2 of the IEC 62040-3 Ed. 2.0 standard requires that the 
UPS operate in normal mode during testing and that the transfer of 
energy to and from the energy storage system be prevented during the 
test. Further, IEC recommends disconnecting the energy storage system 
to prevent such transfer of energy. While this approach is appropriate 
for measuring the losses within the inverter components, disconnecting 
the energy storage system prevents the capturing of losses in the 
battery charger components of the UPS. UPSs covered under today's 
proposed scope most commonly use lead acid batteries as their energy 
storage systems, and these batteries have a relatively high self-
discharge rate. Over time, these UPSs expend a considerable amount of 
cumulative energy countering the self-discharge of fully charged lead 
acid batteries in real life use under normal mode operation. 
Disconnecting the battery during testing as recommended by IEC will 
fail to account for this additional energy spent by the battery 
charging components. Because DOE intends to capture a

[[Page 31548]]

complete picture of the energy performance of UPSs as part of today's 
rulemaking, DOE proposes that the energy storage systems must remain 
connected throughout the test.
    Batteries in UPSs must remain fully charged, standing by to provide 
backup power in the event of a power failure. Battery charging 
requirements must therefore be standardized such that the batteries are 
fully charged during testing and representative of the state of a UPS 
in real life use. Therefore, DOE proposes to standardize battery 
charging requirements for UPSs by including the following instructions 
in section 4.2.1 of appendix Y to subpart B of 10 CFR part 430. These 
requirements, which ensure that the battery is fully charged prior to 
testing, specify charging the battery for an additional 5 hours after 
the UPS has indicated that it is fully charged, or, if the product does 
not have a battery indicator but the user manual specifies a time, 
charging the battery for 5 hours longer than the manufacturer's 
estimate. Finally, the proposal requires charging the battery for 24 
hours if the UPS does not have an indicator or an estimated charging 
time.

F. Product Configuration

    For configuring UPSs for testing, DOE proposes to incorporate by 
reference Appendix J.2 of IEC 62040-3 Ed 2.0 in section 4.2.1 of the 
proposed appendix Y to subpart B of the 10 CFR part 430. In addition to 
the IEC test method, DOE proposes to include additional requirements 
for UPS operating mode conditions and energy storage system derived 
from ENERGY STAR UPS V. 1.0. DOE is not considering including 
requirements for back-feeding, which are specified in ENERGY STAR UPS 
V. 1.0 because back-feeding will not apply to the UPSs that are in the 
proposed scope of this rulemaking.

G. Average Power and Efficiency Calculation

1. Average Power
    DOE proposes two different methods for calculating average power so 
that manufacturers have the option of using a method better suited to 
the testing equipment already available at their disposal without have 
to purchasing new equipment. DOE believes this will reduce testing 
burden. DOE proposes to specify these calculation methods in section 
4.3.1 of the proposed appendix Y to subpart B of 10 CFR part 430. The 
first proposed method of calculating average power is to divide 
accumulated energy (Ei) by the specified period for each 
test (Ti) and recording the accumulated energy 
(Ei) in kWh. For this method, the average power is 
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP19MY16.034

    Additionally, DOE proposes a second method to calculate average 
power by sampling the power at a rate of at least 1 sample per second 
and computing the arithmetic mean of all samples over the time period 
specified for each test (Ti). For this method, the average 
power (Pavg) is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP19MY16.035

    Where Pavg represents average power, Pi represents measured power 
during a single measurement (i), and n represents total number of 
measurements.
    DOE requests comment on the proposed two different methods of 
calculating average power. DOE requests comment on the comparability of 
the results from the two methods.
2. Efficiency
    DOE proposes to calculate the efficiency of UPSs at each loading 
point as specified in section J.3 of IEC 62040-3 Ed 2.0. DOE also 
proposes additional requirements from ENERGY STAR UPS V. 1.0 for the 
purpose of ensuring repeatable and reproducible tests. ENERGY STAR UPS 
V. 1.0 specifies requirements for ensuring the unit is at steady state 
and calculating the efficiency measurements. DOE also proposes to 
require that the input dependency of the UPS be determined as described 
in section III.C.4 of this NOPR. The proposed requirements are included 
in section 4.3 of the proposed appendix Y to subpart B of 10 CFR part 
430.

H. Output Metric

    To capture the energy efficiency of a UPS, DOE proposes that the 
device be tested in normal mode. DOE further proposes to use an average 
load adjusted efficiency metric, rounded to one tenth of a percentage 
point, as the final output of this UPS test procedure. DOE's proposed 
output metric for UPSs matches the output metric utilized by ENERGY 
STAR UPS V. 1.0. DOE is also proposing to adopt the load weightings 
specified in ENERGY STAR UPS V. 1.0 for calculating load adjusted 
average efficiency of UPSs. These load weightings vary based on the 
ratio of the reference test load to the full rated load of the device, 
the UPS architecture and the output power rating of a UPS.
    These weightings are widely used by manufacturers to certify their 
UPSs to ENERGY STAR specifications and indicate the typical amount of 
time a UPS spends at each loading point. Therefore, DOE believes the 
use of load weightings allow the proposed final metric to capture the 
real world energy performance of UPSs accurately and representatively. 
The requirements for calculating the final metric, shown in Table III-
3, are proposed to be incorporated in section 4.3.5 of appendix Y to 
subpart B of 10 CFR part 430. The proposed equation to calculate the 
average load adjusted efficiency of UPSs is as follows:

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

Where:

Effavg = average loading-adjusted efficiency
tn = proportion of time spent at the particular 
n% of the reference test load
Effn = efficiency at the particular n% of the 
reference test load


                       Table III-3--UPS Load Weightings for Calculating Average Efficiency
----------------------------------------------------------------------------------------------------------------
                                                              Portion of time spent at reference load
    Rated output power  (W)     Input dependency ---------------------------------------------------------------
                                 characteristic         25%             50%             75%            100%
----------------------------------------------------------------------------------------------------------------
P <= 1500 W...................  VFD.............             0.2             0.2             0.3             0.3
                                VI or VFI.......               0             0.3             0.4             0.3
P > 1500 W....................  VFD, VI, or VFI.               0             0.3             0.4             0.3
----------------------------------------------------------------------------------------------------------------

    EISA 2007 amended EPCA to require DOE to implement a standby and 
off mode energy consumption measurement, if technically feasible, in 
new or existing test procedures that do not have this measurement. (42 
U.S.C. 6295(gg)(2)(A)) EISA 2007 also requires any final rule 
establishing energy conservation standards for a covered

[[Page 31549]]

product, adopted after July 1, 2010, to incorporate standby mode and 
off mode energy use into a single amended or new standard, if feasible. 
(42 U.S.C. 6295(gg)(3)(A))
    EPCA defines the three modes that consumer products can be in as: 
(1) Active mode, (2) standby mode, and (3) off mode. (42 U.S.C. 
6295(gg)(1)) DOE incorporated EPCA's definitions for active, standby, 
and off modes into 10 CFR 430.2. Each of these definitions requires 
that the product be ``connected to a main power source.'' DOE is 
proposing a test procedure under which UPSs would be tested in normal 
mode, the only mode that a UPS is in when connected to a power source, 
except in the rare occasions that it is in ``charge mode.'' EPCA 
requires that any prescribed or amended test procedure shall be 
designed to produce test results which measure energy efficiency or 
energy use during a representative average use cycle or period of use. 
(42 U.S.C. 6293(b)(3)). As discussed in section III.B, a UPS is almost 
never in charge mode, and therefore measured energy for this mode would 
not be representative for a UPS in typical use as required by 42 U.S.C. 
6293(b)(3). Thus, measuring the energy use of a UPS in normal mode 
effectively captures the energy used during the entirety of the time 
that a UPS is connected to mains power. As such, the test procedure 
proposed here incorporates measurement of energy use during active, 
standby, and off modes, as EPCA defines those terms.
    DOE requests comment on the proposed output metric for UPSs.

I. Effective Date and Compliance of Test Procedure

    If adopted, the effective date for this UPS test procedure would be 
30 days after publication of the test procedure final rule in the 
Federal Register. At that time, the new metrics and any other measure 
of energy performance which depends on these metrics may be represented 
pursuant to the final rule. On or after 180 days after the date of 
publication of the test procedure final rule, any such representations, 
including those made on marketing materials and product labels would be 
required to be based upon results generated under the final test 
procedure.

J. Sampling Plan for Determination of Certified Rating

    For any covered product, manufacturers are required to determine 
the represented value, which includes the certified rating, for each 
basic model of the product in accordance with the DOE test procedure. 
Because today's proposed test procedure for UPSs and resulting metric 
differs from other battery chargers, DOE proposes that UPSs would 
certify the average load adjusted efficiency metric (Effavg) 
described in section III.H, as the representative value of efficiency 
for UPSs. In order to determine a rating for certifying compliance or 
making energy use representations, DOE typically requires manufacturers 
to test each basic model in accordance with the applicable DOE test 
procedure and apply the appropriate sampling plan. DOE proposes that 
the sampling provisions and certified rating requirements for battery 
chargers be applicable to UPSs.

K. Certification Reports

    In addition to the requirements specified in 10 CFR 429.12, which 
are applicable to each basic model of a covered product, DOE proposes 
the following additional product specific public information be 
included in the battery charger certification report for UPSs in 10 CFR 
429.39:

1. Active power, in Watts, and apparent power, in Volt-Amperes, of the 
UPS
2. Rated input and output voltage, in Volts, of the UPS
3. Efficiency at 25 percent, 50 percent, 75 percent, and 100 percent, 
and average normal mode loading efficiency of UPS

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed 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 Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed the test procedure considered in this proposed rule 
under the provisions of the Regulatory Flexibility Act (RFA) and the 
policies and procedures published on February 19, 2003. DOE has 
concluded that the proposed rule would not have a significant impact on 
a substantial number of small entities. The factual basis for this 
certification is as follows.
    The Small Business Administration (SBA) considers a business entity 
to be a small business, if, together with its affiliates, it employs 
less than a threshold number of workers specified in 13 CFR part 121. 
These size standards and codes are established by the North American 
Industry Classification System (NAICS). The threshold number for NAICS 
classification code 335999, which applies to ``all other miscellaneous 
electrical equipment and component manufacturing'' and includes UPSs, 
is 500 employees.
    To estimate the number of companies that could be small business 
manufacturers of the equipment affected by this rulemaking, DOE 
conducted a market survey using available public information to 
identify potential small manufacturers. DOE's research involved 
reviewing the SBA database, marketing research tools (i.e., Hoover's 
reports), and company profiles on public Web sites (i.e., LinkedIn and 
Glassdoor) to create a list of all domestic small business 
manufacturers of battery chargers affected by this rulemaking. DOE 
identified 12 manufacturers of battery chargers as domestic small 
business manufacturers.
    To determine the costs of the proposed test procedure on small 
manufacturers, DOE obtained quotations from two laboratories for 
testing UPSs and found the range to be from $1,400 to $2,000. While DOE 
performed the analysis using the highest quotation it received to 
estimate the maximum possible testing cost, DOE understands that a 
majority of UPS manufacturers are able to perform these tests with 
their own testing equipment. UPS manufacturers can significantly reduce 
testing costs by conducting their own testing instead of using third 
party labs to test their products. Under the proposed test procedure, 
manufacturers would be required to test each UPS basic model 
individually; that is, a

[[Page 31550]]

minimum of two units per basic model. DOE estimated the average number 
of basic models produced per manufacturer to be six. DOE determined the 
average number of basic models per manufacturer by examining product 
listings, product features, and model names from DOE's Compliance 
Database, EPA's ENERGY STAR,\3\ and retailer Web sites to estimate the 
total number of basic models in the industry. DOE then divided the 
estimation by the total number of UPS manufacturers identified to find 
an average number of basic models per manufacturer. Therefore, to test 
two units of each basic model at a cost of $2,000 per unit, the average 
total cost of testing is $24,000 per manufacturer. From Hoovers, DOE 
estimated the average revenue of a small business manufacturer of 
battery chargers to be $22.2M. That is, the total cost of testing is 
approximately 0.11 percent of the average annual revenue.
---------------------------------------------------------------------------

    \3\ ENERGY STAR. Energy Star Certified Products. Last accessed 
May 4, 2015. <http://www.energystar.gov/>.
---------------------------------------------------------------------------

    Based on this analysis, DOE concludes that this proposed rule would 
not have a significant economic impact on a substantial number of small 
entities. DOE will provide its certification and supporting statement 
of factual basis to the Chief Counsel for Advocacy of the SBA for 
review under 5 U.S.C. 605(b).
    DOE seeks comment on whether the proposed test procedure changes 
will have a significant impact on a substantial number of small 
entities.

C. Review Under the Paperwork Reduction Act of 1995

    If DOE adopts energy conservation standards for battery chargers, 
manufacturers will be required to certify that their products comply 
with those standards. In certifying compliance, manufacturers must test 
their products according to the applicable DOE test procedure, 
including any amendments adopted for that test procedure. DOE has 
established regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, and is proposing specific requirements for battery chargers 
in this rule. See 10 CFR part 429, subpart B. 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. This information collection was renewed in January 
2015 to include certification requirements for battery chargers. 80 FR 
5099 (January 30, 2015). Public reporting burden for the certification 
is estimated to average 30 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Manufacturers would not be required to 
submit a certification report until such time as compliance with an 
energy conservation standard is required.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this proposed 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, 
the proposed rule meets the relevant standards of Executive Order 
12988.

[[Page 31551]]

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 proposed regulatory action likely to result 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 http://energy.gov/gc/office-general-counsel. DOE examined this 
proposed 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 rule would 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 would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

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

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this proposed 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 proposed 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 proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of UPSs is not a significant regulatory 
action under Executive Order 12866. Moreover, it would not have a 
significant adverse effect on the supply, distribution, or use of 
energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    This proposed rule incorporates testing methods contained in 
Section 6 and Annex J of the IEC 62040-3 Ed. 2.0, ``Uninterruptible 
power systems (UPS)--Method of specifying the performance and test 
requirements'' standard. DOE has evaluated this standard and is unable 
to conclude whether it fully complies with the requirements of section 
32(b) of the FEAA, (i.e., that they were developed in a manner that 
fully provides for public participation, comment, and review). DOE will 
consult with the Attorney General and the Chairman of the FTC 
concerning the impact of these test procedures on competition, prior to 
prescribing a final rule.

M. Description of Material Incorporated by Reference

    The proposed rule incorporates Section 6 and Annex J of the IEC 
62040-3 Ed. 2.0, ``Uninterruptible power systems (UPS)--Method of 
specifying the performance and test requirements'' standard. This 
standard is used to specify the testing requirements for UPSs and is 
available from the American National Standards Institute, 25 W. 43rd 
Street, 4th Floor, New York, NY 10036 or at http://webstore.ansi.org/.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Brenda Edwards at 
(202) 586-2945 or [email protected].
    Please note that foreign nationals visiting DOE Headquarters are 
subject to

[[Page 31552]]

advance security screening procedures which require advance notice 
prior to attendance at the public meeting. If a foreign national wishes 
to participate in the public meeting, please inform DOE of this fact as 
soon as possible by contacting Ms. Regina Washington at (202) 586-1214 
or by email: [email protected] so that the necessary 
procedures can be completed.
    DOE requires visitors to have laptops and other devices, such as 
tablets, checked upon entry into the building. Any person wishing to 
bring these devices into the Forrestal Building will be required to 
obtain a property pass. Visitors should avoid bringing these devices, 
or allow an extra 45 minutes to check in. Please report to the 
visitor's desk to have devices checked before proceeding through 
security.
    Due to the REAL ID Act implemented by the Department of Homeland 
Security (DHS), there have been recent changes regarding ID 
requirements for individuals wishing to enter Federal buildings from 
specific states and U.S. territories. Driver's licenses from the 
following states or territory will not be accepted for building entry 
and one of the alternate forms of ID listed below will be required. DHS 
has determined that regular driver's licenses (and ID cards) from the 
following jurisdictions are not acceptable for entry into DOE 
facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, 
Massachusetts, Minnesota, New York, Oklahoma, and Washington. 
Acceptable alternate forms of Photo-ID include: U.S. Passport or 
Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued 
by the states of Minnesota, New York or Washington (Enhanced licenses 
issued by these states are clearly marked Enhanced or Enhanced Driver's 
License); a military ID or other Federal government issued Photo-ID 
card.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=26&action=viewlive. 
Participants are responsible for ensuring their systems are compatible 
with the webinar software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also use a professional facilitator to aid discussion. The 
meeting will not be a judicial or evidentiary-type public hearing, but 
DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). A court reporter will be present to record the proceedings and 
prepare a transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the public meeting. After the public meeting and until the end of the 
comment period, interested parties may submit further comments on the 
proceedings and any aspect of the rulemaking.
    The public meeting will be conducted in an informal, conference 
style. DOE will present summaries of comments received before the 
public meeting, allow time for prepared general statements by 
participants, and encourage all interested parties to share their views 
on issues affecting this rulemaking. Each participant will be allowed 
to make a general statement (within time limits determined by DOE), 
before the discussion of specific topics. DOE will permit, as time 
permits, other participants to comment briefly on any general 
statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions by DOE and by other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this proposed 
rule.
    Submitting comments via regulations.gov. The regulations.gov Web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments

[[Page 31553]]

are being processed simultaneously, your comment may not be viewable 
for up to several weeks. Please keep the comment tracking number that 
regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. DOE requests comment on the proposal to include specific test 
provisions for UPSs in the battery charger test procedure. See section 
III.A for further detail.
    2. DOE requests stakeholder comments on the type of changes that 
are being considered for the revised IEC 62040-3 standard and how it 
may impact the test procedure proposed today. See section III.B for 
further detail.
    3. DOE requests comment on all proposed definitions, particularly 
those that are not defined in existing industry standards. See section 
III.C for further detail.
    4. DOE requests comment on the proposed test conditions. See 
section III.D for further detail.
    5. DOE requests comment on the proposed two different methods of 
calculating average power. DOE requests comment on the comparability of 
the results from the two methods. See section III.G for further detail.
    6. DOE requests comment on the proposed output metric for UPSs. See 
section III.H for further detail.
    7. DOE seeks comment on whether the proposed test procedure changes 
will have a significant impact on a substantial number of small 
entities. See section IV.B for further detail.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Confidential business information, Energy conservation, Household 
appliances, Imports, Reporting and recordkeeping requirements.

10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on April 29, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of chapter II of title 10, subchapter D of the Code 
of Federal Regulations as set forth below:

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

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

    Authority:  42 U.S.C. 6291-6317.

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


Sec.  429.39  Battery chargers.

    (a) Determination of represented value. Manufacturers must 
determine a represented value, which includes the certified rating, for 
each basic model of battery charger in accordance with the following 
sampling provisions.
    (1) Represented values include: Battery discharge energy in watt 
hours (Wh), 24-hour energy consumption in watt hours (Wh), maintenance 
mode power in watts (W), standby mode power in watts (W), and off mode 
power in watts (W) for all battery chargers other than UPSs; and 
average load adjusted efficiency (Effavg) for UPSs.
    (2) Units to be tested. (i) The general requirements of Sec.  
429.11 are applicable to battery chargers; and
    (ii) For each basic model, a sample of sufficient size must be 
randomly selected and tested to ensure that--
    (A) Any represented value of annual energy consumption, power, or 
other

[[Page 31554]]

measure of energy use of a basic model for which consumers would favor 
lower values is greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP19MY16.036
    
    And, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (2) The upper 97.5-percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP19MY16.037

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.975 is the t-statistic for a 
97.5-percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A of this subpart). And,
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values is less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP19MY16.038
    
    And, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (2) The lower 97.5-percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP19MY16.039

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.975 is the t-statistic for a 
97.5-percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A of this subpart).
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to battery chargers.
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public product-specific information for all 
battery chargers other than UPSs: The manufacturer and model of the 
test battery, the nameplate battery voltage of the test battery in 
volts (V), the nameplate charge capacity of the test battery in ampere-
hours (Ah), the nameplate charge energy, if available, of the battery 
in watt hours (Wh), the manufacturer and model, when applicable, of the 
external power supply used for testing; the average duration of the 
charge and maintenance mode test in hours (hr) for the units sampled; 
battery discharge energy in watt hours (Wh); 24-hour energy consumption 
in watt hours (Wh); maintenance mode power in watts (W); standby mode 
power in watts (W); and off made power in watts (W). For UPSs, a 
certification report must include the following public product-specific 
information: active power in watts (W); apparent power in volt-amperes 
(VA); rated input and output voltages in volts (V); efficiencies at 25 
percent, 50 percent, 75 percent and 100 percent of the reference test 
load; and average normal mode efficiency.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
3. 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
4. Section 430.3 is amended, as amended at 81 FR 25600 (April 29, 
2016), effective May 31, 2016, by:
0
a. Redesignating paragraphs (p)(3) through (p)(5) as paragraphs (p)(4) 
through (p)(6) respectively; and
0
b. Adding new paragraph (p)(3) to read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (p) * * *
    (3) IEC Standard 62040-3 Ed. 2.0, (``IEC 62040-3 Ed. 2.0''), 
Uninterruptible Power Systems (UPS)--Part 3: Method of Specifying the 
Performance and Test Requirements, Edition 2.0, Section 6 ``UPS 
tests,'' and Annex J ``UPS efficiency,'' March 2011, IBR approved for 
appendix Y to subpart B.
* * * * *
0
5. Section 430.23(aa) is revised to read as follows:


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

* * * * *
    (aa) Battery chargers. Measure the energy consumption or energy 
efficiency of a battery charger in accordance with appendix Y to this 
subpart.
* * * * *
0
6. Appendix Y to subpart B of part 430 is amended by:
0
a. Revising section 1, Scope;
0
b. Amending section 2 as follows:
0
1. Redesignating section 2.24 as section 2.28;
0
2. Adding a new section 2.24;
0
3. Redesignating sections 2.22 and 2.23 as sections 2.25 and 2.26, 
respectively;
0
4. Adding sections 2.27, 2.27.1, 2.27.2, and 2.27.3;
0
5. Redesignating sections 2.18 through 2.21 as sections 2.20 through 
2.23, respectively;
0
6. Adding a new section 2.19;
0
7. Redesignating sections 2.12 through 2.17 as sections 2.13 through 
2.18, respectively;
0
8. Adding a new section 2.12;
0
c. Revising sections 3 and 4; and
0
d. Removing section 5.
    The additions and revisions read as follows:

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

* * * * *

1. Scope

    This appendix covers the testing requirements used to measure 
the energy consumption for battery chargers operating at either DC 
or United States AC line voltage (115V at 60Hz). This appendix also 
covers the testing requirements used to measure the energy 
efficiency for uninterruptible power supplies as defined in section 
2 of this appendix with an AC output.
* * * * *

2. Definitions

* * * * *
    2.12. Energy storage system is a system consisting of single or 
multiple devices designed to provide power to the UPS inverter 
circuitry.
* * * * *
    2.19. Normal mode is a mode of operation for a UPS in which:
    (1) The UPS provides required output power to the connected load 
without switching to battery power,
    (2) The energy storage system is being maintained at full 
charge, and
    (3) The load connected to the UPS is within the UPS's specified 
power rating.
* * * * *
    2.24. Reference test load is a load or a condition with a power 
factor of greater than 0.99 in which the AC output socket of the UPS 
delivers the active power (W) for which the UPS is rated.
* * * * *
    2.27. Uninterruptible power supply or UPS means a battery 
charger consisting of a combination of convertors, switches and 
energy storage devices, constituting a power system for maintaining 
continuity of load power in case of input power failure.
    2.27.1. Voltage and frequency dependent UPS or VFD UPS means a 
UPS that produces an AC output where the output voltage and 
frequency are dependent on the input voltage and frequency. This UPS 
architecture does not provide corrective functions like those in 
voltage independent and voltage and frequency independent systems.

[[Page 31555]]

    Note to 2.27.1: VFD input dependency may be verified by 
performing the AC input failure test in section 6.2.2.7 of IEC 
62040-3 Ed. 2.0 (incorporated by reference, see Sec.  430.3 of this 
chapter) and observing that, at a minimum, the UPS switches from 
normal mode of operation to battery power while the input is 
interrupted.
    2.27.2. Voltage and frequency independent UPS or VFI UPS means a 
UPS where the device remains in normal mode producing an AC output 
voltage and frequency that is independent of input voltage and 
frequency variations and protects the load against adverse effects 
from such variations without depleting the stored energy source. The 
input voltage and frequency variations through which the UPS must 
remain in normal mode is as follows:
    (1) 10% of the rated input voltage or the tolerance 
range specified by the manufacturer, whichever is greater; and
    (2) 2% of the rated input frequency or the tolerance 
range specified by the manufacturer, whichever is greater.''
    Note to 2.27.2: VFI input dependency may be verified by 
performing the steady state input voltage tolerance test and the 
input frequency tolerance test in sections 6.4.1.1 and 6.4.1.2 of 
IEC 62040-3 Ed. 2.0 (incorporated by reference, see Sec.  430.3 of 
this chapter) respectively and observing that, at a minimum, the 
output voltage and frequency remain within the specified output 
tolerance band during the test.
    2.27.3. Voltage independent UPS or VI UPS means a UPS that 
produces an AC output within a specific tolerance band that is 
independent of under-voltage or over-voltage variations in the input 
voltage. The output frequency of a VI UPS is dependent on the input 
frequency, similar to a voltage and frequency dependent system.
    Note to 2.27.3: VI input dependency may be verified by 
performing the steady state input voltage tolerance test in section 
6.4.1.1 of IEC 62040-3 Ed. 2.0 (incorporated by reference, see Sec.  
430.3 of this chapter) and observing that the output voltage remains 
within the specified limit during the test.
* * * * *

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

3.1. Standard Test Conditions

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

           Table 3.1.1--List of Measured or Calculated Values
------------------------------------------------------------------------
  Name of measured or calculated value              Reference
------------------------------------------------------------------------
1. Duration of the charge and            Section 3.3.2.
 maintenance mode test.
2. Battery Discharge Energy............  Section 3.2.6.
3. Initial time and power (W) of the     Section 3.3.8.
 input current of connected battery.
4. Active and Maintenance Mode Energy    Section 3.3.8.
 Consumption.
5. Maintenance Mode Power..............  Section 3.3.9.
6. 24 Hour Energy Consumption..........  Section 3.3.10.
7. Standby Mode Power..................  Section 3.3.11.
8. Off Mode Power......................  Section 3.3.12.
------------------------------------------------------------------------

    3.1.2. Verifying Accuracy and Precision of Measuring Equipment
    (a) Measurements of active power of 0.5 W or greater shall be 
made with an uncertainty of <=2 percent at the 95 percent confidence 
level. Measurements of active power of less than 0.5 W shall be made 
with an uncertainty of <=0.01 W at the 95 percent confidence level. 
The power measurement instrument shall, as applicable, have a 
resolution of:
    (1) 0.01 W or better for measurements up to 10 W;
    (2) 0.1 W or better for measurements of 10 to 100 W; or
    (3) 1 W or better for measurements over 100 W.
    (b) Measurements of energy (Wh) shall be made with an 
uncertainty of <=2 percent at the 95 percent confidence level. 
Measurements of voltage and current shall be made with an 
uncertainty of <=1 percent at the 95 percent confidence level. 
Measurements of temperature shall be made with an uncertainty of <=2 
[deg]C at the 95 percent confidence level.
    (c) All equipment used to conduct the tests must be selected and 
calibrated to ensure that measurements will meet the above 
uncertainty requirements. For suggestions on measuring low power 
levels, see IEC 62301, (Reference for guidance only, see Sec.  430.4 
of this chapter) especially section 5.3.2 and Annexes B and D.
    3.1.3. Setting Up the Test Room. All tests, battery 
conditioning, and battery rest periods shall be carried out in a 
room with an air speed immediately surrounding the UUT of <=0.5 m/s. 
The ambient temperature shall be maintained at 20 [deg]C 5 [deg]C throughout the test. There shall be no intentional 
cooling of the UUT such as by use of separately powered fans, air 
conditioners, or heat sinks. The UUT shall be conditioned, rested, 
and tested on a thermally non-conductive surface. When not 
undergoing active testing, batteries shall be stored at 20 [deg]C 
5 [deg]C.
    3.1.4. Verifying the UUT's Input Voltage and Input Frequency
    (a) If the UUT is intended for operation on AC line-voltage 
input in the United States, it shall be tested at 115 V at 60 Hz. If 
the UUT is intended for operation on AC line-voltage input but 
cannot be operated at 115 V at 60 Hz, it shall not be tested.
    (b) If a charger is powered by a low-voltage DC or AC input, and 
the manufacturer packages the charger with a wall adapter, sells, or 
recommends an optional wall adapter capable of providing that low 
voltage input, then the charger shall be tested using that wall 
adapter and the input reference source shall be 115 V at 60 Hz. If 
the wall adapter cannot be operated with AC input voltage at 115 V 
at 60 Hz, the charger shall not be tested.
    (c) If the UUT is designed for operation only on DC input 
voltage and the provisions of section 3.1.4(b) of this appendix do 
not apply, it shall be tested with one of the following input 
voltages: 5.0 V DC for products drawing power from a computer USB 
port or the midpoint of the rated input voltage range for all other 
products. The input voltage shall be within 1 percent of 
the above specified voltage.
    (d) If the input voltage is AC, the input frequency shall be 
within 1 percent of the specified frequency. The THD of 
the input voltage shall be <=2 percent, up to and including the 13th 
harmonic. The crest factor of the input voltage shall be between 
1.34 and 1.49.
    (e) If the input voltage is DC, the AC ripple voltage (RMS) 
shall be:
    (1) <=0.2 V for DC voltages up to 10 V; or
    (2) <=2 percent of the DC voltage for DC voltages over 10 V.

3.2. Unit Under Test Setup Requirements

    3.2.1. General Setup
    (a) The battery charger system shall be prepared and set up in 
accordance with the manufacturer's instructions, except where those 
instructions conflict with the requirements of this test procedure. 
If no instructions are given, then factory or ``default'' settings 
shall be used, or where there are no indications of such settings, 
the UUT shall be tested in the condition as it would be supplied to 
an end user.
    (b) If the battery charger has user controls to select from two 
or more charge rates (such as regular or fast charge) or different 
charge currents, the test shall be conducted at the fastest charge 
rate that is recommended by the manufacturer for everyday use, or, 
failing any explicit recommendation, the factory-default charge 
rate. If the charger has user controls for selecting special charge 
cycles that are recommended only for occasional use to preserve 
battery health, such as equalization charge, removing memory, or 
battery conditioning, these modes are not required to be tested. The 
settings of the controls shall be listed in the report for each 
test.
    3.2.2. Selection and Treatment of the Battery Charger. The UUT, 
including the battery charger and its associated battery, shall be 
new products of the type and condition that would be sold to a 
customer. If the battery is lead-acid chemistry and the battery is 
to be stored for more than 24 hours between its initial acquisition 
and testing, the battery shall be charged before such storage.
    3.2.3. Selection of Batteries To Use for Testing
    (a) For chargers with integral batteries, the battery packaged 
with the charger shall be used for testing. For chargers with 
detachable batteries, the battery or batteries to be used for 
testing will vary depending on whether there are any batteries 
packaged with the battery charger.
    (1) If batteries are packaged with the charger, batteries for 
testing shall be selected

[[Page 31556]]

from the batteries packaged with the battery charger, according to 
the procedure in section 3.2.3(b) of this appendix.
    (2) If no batteries are packaged with the charger, but the 
instructions specify or recommend batteries for use with the 
charger, batteries for testing shall be selected from those 
recommended or specified in the instructions, according to the 
procedure in section 3.2.3(b) of this appendix.
    (3) If no batteries are packaged with the charger and the 
instructions do not specify or recommend batteries for use with the 
charger, batteries for testing shall be selected from any that are 
suitable for use with the charger, according to the procedure in 
section 3.2.3(b) of this appendix.
    (b) From the detachable batteries specified in section 3.2.3(a), 
the technician shall use Table 3.2.1 of this appendix to select the 
batteries to be used for testing depending on the type of charger 
being tested. Each row in the table represents a mutually exclusive 
charger type. The technician shall find the single applicable row 
for the UUT, and test according to those requirements.
    (c) A charger is considered as:
    (1) Single-capacity if all associated batteries have the same 
rated charge capacity (see section 2.22) and, if it is a batch 
charger, all configurations of the batteries have the same rated 
charge capacity.
    (2) Multi-capacity if there are associated batteries or 
configurations of batteries that have different rated charge 
capacities.
    (d) The selected battery or batteries will be referred to as the 
``test battery'' and will be used through the remainder of this test 
procedure.

                                   Table 3.2.1--Battery Selection for Testing
----------------------------------------------------------------------------------------------------------------
                              Type of charger                                         Tests to perform
----------------------------------------------------------------------------------------------------------------
                                                                                              Battery selection
                                                                                                  (from all
      Multi-voltage              Multi-port             Multi-capacity         Number of      configurations of
                                                                                 tests         all  associated
                                                                                                 batteries)
----------------------------------------------------------------------------------------------------------------
No......................  No.....................  No.....................               1  Any associated
                                                                                             battery.
No......................  No.....................  Yes....................               2  Lowest charge
                                                                                             capacity battery.
                                                                                            Highest charge
                                                                                             capacity battery.
No......................  Yes....................  Yes or No..............               2  Use only one port
                                                                                             and use the minimum
                                                                                             number of batteries
                                                                                             with the lowest
                                                                                             rated charge
                                                                                             capacity that the
                                                                                             charger can charge.
                                                                                            Use all ports and
                                                                                             use the maximum
                                                                                             number of identical
                                                                                             batteries of the
                                                                                             highest rated
                                                                                             charge capacity the
                                                                                             charger can
                                                                                             accommodate.
Yes.....................  No.....................  No.....................               2  Lowest voltage
                                                                                             battery.
                                                                                            Highest voltage
                                                                                             battery.
                         --------------------------------------------------
Yes.....................                Yes to either or both                            3  Of the batteries
                                                                                             with the lowest
                                                                                             voltage, use the
                                                                                             one with the lowest
                                                                                             charge capacity.
                                                                                             Use only one port.
                                                                                            Of the batteries
                                                                                             with the highest
                                                                                             voltage, use the
                                                                                             one with the lowest
                                                                                             charge capacity.
                                                                                             Use only one port.
                                                                                            Use all ports and
                                                                                             use the battery or
                                                                                             the configuration
                                                                                             of batteries with
                                                                                             the highest total
                                                                                             rated energy
                                                                                             capacity.
----------------------------------------------------------------------------------------------------------------

    3.2.4. Limiting Other Non-Battery-Charger Functions
    (a) If the battery charger or product containing the battery 
charger does not have any additional functions unrelated to battery 
charging, this subsection may be skipped.
    (b) Any optional functions controlled by the user and not 
associated with the battery charging process (e.g., the answering 
machine in a cordless telephone charging base) shall be switched 
off. If it is not possible to switch such functions off, they shall 
be set to their lowest power-consuming mode during the test.
    (c) If the battery charger takes any physically separate 
connectors or cables not required for battery charging but 
associated with its other functionality (such as phone lines, serial 
or USB connections, Ethernet, cable TV lines, etc.), these 
connectors or cables shall be left disconnected during the testing.
    (d) Any manual on-off switches specifically associated with the 
battery charging process shall be switched on for the duration of 
the charge, maintenance, and no-battery mode tests, and switched off 
for the off mode test.
    3.2.5. Accessing the Battery for the Test
    (a) The technician may need to disassemble the end-use product 
or battery charger to gain access to the battery terminals for the 
Battery Discharge Energy Test in section 3.3.6 of this appendix. If 
the battery terminals are not clearly labeled, the technician shall 
use a voltmeter to identify the positive and negative terminals. 
These terminals will be the ones that give the largest voltage 
difference and are able to deliver significant current (0.2 C or 1/
hr) into a load.
    (b) All conductors used for contacting the battery must be 
cleaned and burnished prior to connecting in order to decrease 
voltage drops and achieve consistent results.
    (c) Manufacturer's instructions for disassembly shall be 
followed, except those instructions that:
    (1) Lead to any permanent alteration of the battery charger 
circuitry or function;
    (2) Could alter the energy consumption of the battery charger 
compared to that experienced by a user during typical use, e.g., due 
to changes in the airflow through the enclosure of the UUT; or
    (3) Conflict requirements of this test procedure.
    (d) Care shall be taken by the technician during disassembly to 
follow appropriate safety precautions. If the functionality of the 
device or its safety features is compromised, the product shall be 
discarded after testing.
    (e) Some products may include protective circuitry between the 
battery cells and the remainder of the device. If the manufacturer 
provides a description for accessing the connections at the output 
of the protective circuitry, these connections shall be used to 
discharge the battery and measure the discharge energy. The energy 
consumed by the protective circuitry during discharge shall not be 
measured or credited as battery energy.
    (f) If the technician, despite diligent effort and use of the 
manufacturer's instructions, encounters any of the following 
conditions noted immediately below, the Battery Discharge Energy and 
the Charging and Maintenance Mode Energy shall be reported as ``Not 
Applicable'':
    (1) Inability to access the battery terminals;
    (2) Access to the battery terminals destroys charger 
functionality; or
    (3) Inability to draw current from the test battery.
    3.2.6. Determining Charge Capacity for Batteries With No Rating.
    (a) If there is no rating for the battery charge capacity on the 
battery or in the instructions, then the technician shall determine 
a discharge current that meets the following requirements. The 
battery shall be fully charged and then discharged at this constant-
current rate until it reaches the end-of-discharge voltage specified 
in Table 3.3.2 of this appendix. The discharge time must be not less 
than 4.5 hours nor more than 5 hours. In addition, the discharge 
test (section 3.3.6 of this appendix) (which may not be starting 
with a fully-charged battery) shall reach the end-of-discharge 
voltage within 5 hours. The same discharge current shall be used for 
both the preparations step (section 3.3.4 of this appendix) and the 
discharge test (section 3.3.6 of this appendix). The test

[[Page 31557]]

report shall include the discharge current used and the resulting 
discharge times for both a fully-charged battery and for the 
discharge test.
    (b) For this section, the battery is considered as ``fully 
charged'' when either: It has been charged by the UUT until an 
indicator on the UUT shows that the charge is complete; or it has 
been charged by a battery analyzer at a current not greater than the 
discharge current until the battery analyzer indicates that the 
battery is fully charged.
    (c) When there is no capacity rating, a suitable discharge 
current must generally be determined by trial and error. Since the 
conditioning step does not require constant-current discharges, the 
trials themselves may also be counted as part of battery 
conditioning.

3.3. Test Measurement

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

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

    3.3.1. Recording General Data on the UUT. The technician shall 
record:
    (a) The manufacturer and model of the battery charger;
    (b) The presence and status of any additional functions 
unrelated to battery charging;
    (c) The manufacturer, model, and number of batteries in the test 
battery;
    (d) The rated battery voltage of the test battery;
    (e) The rated charge capacity of the test battery; and
    (f) The rated charge energy of the test battery.
    (g) The settings of the controls, if battery charger has user 
controls to select from two or more charge rates.
    3.3.2. Determining the Duration of the Charge and Maintenance 
Mode Test.
    (a) The charging and maintenance mode test, described in detail 
in section 3.3.8 of this appendix, shall be 24 hours in length or 
longer, as determined by the items below. Proceed in order until a 
test duration is determined.
    (1) If the battery charger has an indicator to show that the 
battery is fully charged, that indicator shall be used as follows: 
If the indicator shows that the battery is charged after 19 hours of 
charging, the test shall be terminated at 24 hours. Conversely, if 
the full-charge indication is not yet present after 19 hours of 
charging, the test shall continue until 5 hours after the indication 
is present.
    (2) If there is no indicator, but the manufacturer's 
instructions indicate that charging this battery or this capacity of 
battery should be complete within 19 hours, the test shall be for 24 
hours. If the instructions indicate that charging may take longer 
than 19 hours, the test shall be run for the longest estimated 
charge time plus 5 hours.
    (3) If there is no indicator and no time estimate in the 
instructions, but the charging current is stated on the charger or 
in the instructions, calculate the test duration as the longer of 24 
hours or:
[GRAPHIC] [TIFF OMITTED] TP19MY16.040

    (b) If none of the above applies, the duration of the test shall 
be 24 hours.
    3.3.3. Battery Conditioning.
    (a) No conditioning is to be done on lead-acid or lithium-ion 
batteries. The test technician shall proceed directly to battery 
preparation, section 3.3.4 of this appendix, when testing chargers 
for these batteries.
    (b) Products with integral batteries will have to be 
disassembled per the instructions

[[Page 31558]]

in section 3.2.5 of this appendix, and the battery disconnected from 
the charger for discharging.
    (c) Batteries of other chemistries that have not been previously 
cycled are to be conditioned by performing two charges and two 
discharges, followed by a charge, as below. No data need be recorded 
during battery conditioning.
    (1) The test battery shall be fully charged for the duration 
specified in section 3.3.2 of this appendix or longer using the UUT.
    (2) The test battery shall then be fully discharged using 
either:
    (i) A battery analyzer at a rate not to exceed 1 C, until its 
average cell voltage under load reaches the end-of-discharge voltage 
specified in Table 3.3.2 of this appendix for the relevant battery 
chemistry; or
    (ii) The UUT, until the UUT ceases operation due to low battery 
voltage.
    (3) The test battery shall again be fully charged as in step 
(c)(1) of this section.
    (4) The test battery shall again be fully discharged as per step 
(c)(2) of this section.
    (5) The test battery shall be again fully charged as in step 
(c)(1) of this section.
    (d) Batteries of chemistries other than lead-acid or lithium-ion 
that are known to have been through at least two previous full 
charge/discharge cycles shall only be charged once per step (c)(5), 
of this section.
    3.3.4. Preparing the Battery for Charge Testing. Following any 
conditioning prior to beginning the battery charge test (section 
3.3.6 of this appendix), the test battery shall be fully discharged 
for the duration specified in section 3.3.2 of this appendix, or 
longer using a battery analyzer.
    3.3.5. Resting the Battery. The test battery shall be rested 
between preparation and the battery charge test. The rest period 
shall be at least one hour and not exceed 24 hours. For batteries 
with flooded cells, the electrolyte temperature shall be less than 
30 [deg]C before charging, even if the rest period must be extended 
longer than 24 hours.
    3.3.6. Testing Charge Mode and Battery Maintenance Mode
    (a) The Charge and Battery Maintenance Mode test measures the 
energy consumed during charge mode and some time spent in the 
maintenance mode of the UUT. Functions required for battery 
conditioning that happen only with some user-selected switch or 
other control shall not be included in this measurement. (The 
technician shall manually turn off any battery conditioning cycle or 
setting.) Regularly occurring battery conditioning or maintenance 
functions that are not controlled by the user will, by default, be 
incorporated into this measurement.
    (b) During the measurement period, input power values to the UUT 
shall be recorded at least once every minute.
    (1) If possible, the technician shall set the data logging 
system to record the average power during the sample interval. The 
total energy is computed as the sum of power samples (in watts) 
multiplied by the sample interval (in hours).
    (2) If this setting is not possible, then the power analyzer 
shall be set to integrate or accumulate the input power over the 
measurement period and this result shall be used as the total 
energy.
    (c) The technician shall follow these steps:
    (1) Ensure that the user-controllable device functionality not 
associated with battery charging and any battery conditioning cycle 
or setting are turned off, as instructed in section 3.2.4 of this 
appendix;
    (2) Ensure that the test battery used in this test has been 
conditioned, prepared, discharged, and rested as described in 
sections 3.3.3 through 3.3.7 of this appendix;
    (3) Connect the data logging equipment to the battery charger;
    (4) Record the start time of the measurement period, and begin 
logging the input power;
    (5) Connect the test battery to the battery charger within 3 
minutes of beginning logging. For integral battery products, connect 
the product to a cradle or wall adapter within 3 minutes of 
beginning logging;
    (6) After the test battery is connected, record the initial time 
and power (W) of the input current to the UUT. These measurements 
shall be taken within the first 10 minutes of active charging;
    (7) Record the input power for the duration of the ``Charging 
and Maintenance Mode Test'' period, as determined by section 3.3.2 
of this appendix. The actual time that power is connected to the UUT 
shall be within 5 minutes of the specified period; and
    (8) Disconnect power to the UUT, terminate data logging, and 
record the final time.
    3.3.7. Resting the Battery. The test battery shall be rested 
between charging and discharging. The rest period shall be at least 
1 hour and not more than 4 hours, with an exception for flooded 
cells. For batteries with flooded cells, the electrolyte temperature 
shall be less than 30 [deg]C before charging, even if the rest 
period must be extended beyond 4 hours.
    3.3.8. Battery Discharge Energy Test
    (a) If multiple batteries were charged simultaneously, the 
discharge energy is the sum of the discharge energies of all the 
batteries.
    (1) For a multi-port charger, batteries that were charged in 
separate ports shall be discharged independently.
    (2) For a batch charger, batteries that were charged as a group 
may be discharged individually, as a group, or in sub-groups 
connected in series and/or parallel. The position of each battery 
with respect to the other batteries need not be maintained.
    (b) During discharge, the battery voltage and discharge current 
shall be sampled and recorded at least once per minute. The values 
recorded may be average or instantaneous values.
    (c) For this test, the technician shall follow these steps:
    (1) Ensure that the test battery has been charged by the UUT and 
rested according to the procedures above.
    (2) Set the battery analyzer for a constant discharge current of 
0.2 [deg]C and the end-of-discharge voltage in Table 3.3.2 of this 
appendix for the relevant battery chemistry.
    (3) Connect the test battery to the analyzer and begin recording 
the voltage, current, and wattage, if available from the battery 
analyzer. When the end-of-discharge voltage is reached or the UUT 
circuitry terminates the discharge, the test battery shall be 
returned to an open-circuit condition. If current continues to be 
drawn from the test battery after the end-of-discharge condition is 
first reached, this additional energy is not to be counted in the 
battery discharge energy.
    (d) If not available from the battery analyzer, the battery 
discharge energy (in watt-hours) is calculated by multiplying the 
voltage (in volts), current (in amperes), and sample period (in 
hours) for each sample, and then summing over all sample periods 
until the end-of-discharge voltage is reached.
    3.3.9. Determining the Maintenance Mode Power. After the 
measurement period is complete, the technician shall determine the 
average maintenance mode power consumption by examining the power-
versus-time data from the charge and maintenance test and:
    (a) If the maintenance mode power is cyclic or shows periodic 
pulses, compute the average power over a time period that spans a 
whole number of cycles and includes at least the last 4 hours.
    (b) Otherwise, calculate the average power value over the last 4 
hours.
    3.3.10. Determining the 24-Hour Energy Consumption. The 
accumulated energy or the average input power, integrated over the 
test period from the charge and maintenance mode test, shall be used 
to calculate 24-hour energy consumption.

   Table 3.3.2--Required Battery Discharge Rates and End-of-Discharge
                            Battery Voltages
------------------------------------------------------------------------
                                                               End-of-
                                                              discharge
              Battery chemistry                 Discharge      voltage
                                                  rate C      volts per
                                                                cell
------------------------------------------------------------------------
Valve-Regulated Lead Acid (VRLA).............          0.2          1.75
Flooded Lead Acid............................          0.2          1.70
Nickel Cadmium (NiCd)........................          0.2          1.0
Nickel Metal Hydride (NiMH)..................          0.2          1.0
Lithium Ion (Li-Ion).........................          0.2          2.5

[[Page 31559]]

 
Lithium Polymer..............................          0.2          2.5
Rechargeable Alkaline........................          0.2          0.9
Nanophosphate Lithium Ion....................          0.2          2.0
Silver Zinc..................................          0.2          1.2
------------------------------------------------------------------------

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

4. Testing Requirements for Uninterruptible Power Supplies

4.1. Standard Test Conditions

    4.1.1. Measuring Equipment.
    (a) The power meter must provide true root mean square (r.m.s.) 
measurements of the active input and output power, with an 
uncertainty at full rated load of less than or equal to 0.5% at the 
95% confidence level notwithstanding that voltage and current 
waveforms can include harmonic components. The power meter must 
measure input and output values simultaneously.
    (b) All measurement equipment used to conduct the tests must be 
calibrated within the past year of the test date by a standard 
traceable to International System of Units such that measurements 
meet the above uncertainty requirements.
    4.1.2. Test Room Requirements. All portions of the test must be 
carried out in a room with an air speed immediately surrounding the 
UUT of <=0.5 m/s. Maintain the ambient temperature in the range of 
20.0 [deg]C to 30.0 [deg]C, including all inaccuracies and 
uncertainties introduced by the temperature measurement equipment, 
throughout the test. No intentional cooling of the UUT, such as by 
use of separately powered fans, air conditioners, or heat sinks, is 
permitted. Test the UUT on a thermally non-conductive surface.
    4.1.3. Input Voltage and Input Frequency. The AC input voltage 
and frequency to the UPS during testing must be within 3 percent of 
the highest rated voltage and within 1 percent of the highest rated 
frequency of the device.

4.2. Unit Under Test Setup Requirements

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

4.3. Test Measurement and Calculation.

    4.3.1. Average Power Calculations. Perform all average power 
measurements and calculations in this section using one of the 
following methods:
    (a) Record the accumulated energy (Ei) in kilowatt 
hours (kWh) consumed over the time period specified for each test 
(Ti). Calculate the average power consumption as follows:
[GRAPHIC] [TIFF OMITTED] TP19MY16.041

Where:

Pavg = average power
Ei = accumulated energy measured during time period of test
Ti = time period of test

    (b) Record the average power consumption (Pavg) by 
sampling the power at a rate of at least 1 sample per second and 
computing the arithmetic mean of all samples over the time period 
specified for each test as follows:

[[Page 31560]]

[GRAPHIC] [TIFF OMITTED] TP19MY16.042

Where:

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

    4.3.2. Steady State. Operate the UUT and the load for a sufficient 
length of time to reach steady state conditions. To determine if steady 
state conditions have been attained, perform the following steady state 
check, in which the difference between the two efficiency calculations 
must be less than 1 percent:
    (a) Simultaneously measure the UUT's input and output power for at 
least 5 minutes, as specified in section 4.3.1 of this appendix, and 
record the average of each over the duration as PAVG_IN and 
PAVG_OUT, respectively.
    (b) Calculate the UUT's efficiency, Eff1, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP19MY16.043

Where:

Eff is the UUT efficiency
PAVG\OUT is the average output power in watts
PAVG\IN is the average input power in watts

    (c) Wait a minimum of 10 minutes.
    (d) Repeat the steps listed in paragraphs (a) and (b) of section 
4.3.1 of this appendix to calculate another efficiency value, Eff2.
    (e) Determine if the product is at steady state using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP19MY16.044

    If the percentage difference of Eff1 and Eff2 as described in the 
above equation, is less than 1 percent, the product is at steady state.
    (f) If the percentage difference is greater than or equal to 1 
percent, the product is not at steady state. Repeat the steps listed in 
paragraphs (c) to (e) of section 4.3.1 of this appendix until the 
product is at steady state.
    4.3.3. Power measurements and efficiency calculations. Measure 
input and output power of the UUT for efficiency calculations according 
to Section J.3 of IEC 62040-3 Ed. 2.0 (incorporated by reference, see 
Sec.  430.3 of this chapter), with the following exceptions:
    (a) Test the UUT at the following reference test load conditions, 
in the following order: 100 percent, 75 percent, 50 percent, and 25 
percent of the rated output power.
    (b) Perform the test at each of the reference test loads by 
simultaneously measuring the UUT's total input and output energy in 
watt-hours (Wh) over a 15 minute test period with a total energy 
accumulation rate of at least 1 Hz. Calculate the UUT's average input 
power and output power for the period using the method in section 4.3.1 
of this appendix, and the efficiency for that reference load using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TP19MY16.045

Where:

Effn = the efficiency at reference test load n%
PavgOut n = the average output power at reference load 
n
PavgIn n = the average input power at reference load 
n

    4.3.4. UUT Classification. Determine the UPS architecture by 
performing the tests specified in the definitions of VI, VFD, and VFI 
(sections 2.27.1 through 2.27.3 of this appendix).
    4.3.5. Output Efficiency Calculation.
    (a) Use the load weightings from Table 4.3.1 of this appendix to 
determine the average normal mode loading efficiency as follows:

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

Where:

Effavg = the average normal mode loading efficiency
tn = the portion of time spent at reference test 
load n% as specified in Table 4.3.1 of this appendix
Eff[verbar]n% = the measured efficiency at reference test load n%

                                          Table 4.3.1--Load Weightings
----------------------------------------------------------------------------------------------------------------
                                                              Portion of time spent at reference load
    Rated output power (W)      UPS architecture ---------------------------------------------------------------
                                                        25%             50%             75%            100%
----------------------------------------------------------------------------------------------------------------
P <=1500 W....................  VFD.............             0.2             0.2             0.3             0.3
                                VI or VFI.......               0             0.3             0.4             0.3
P >1500 W.....................  VFD, VI, or VFI.               0             0.3             0.4             0.3
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    (b) Round the calculated efficiency value to one tenth of a 
percentage point.

[FR Doc. 2016-11205 Filed 5-18-16; 8:45 am]
BILLING CODE 6450-01-P