[Federal Register Volume 88, Number 3 (Thursday, January 5, 2023)]
[Proposed Rules]
[Pages 790-805]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-27881]


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

  Federal Register / Vol. 88, No. 3 / Thursday, January 5, 2023 / 
Proposed Rules  

[[Page 790]]



DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2022-BT-TP-0005]
RIN 1904-AF11


Energy Conservation Program: Test Procedure for Uninterruptible 
Power Supplies

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

ACTION: Notice of proposed rulemaking and announcement of public 
meeting.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend its 
test procedure for uninterruptible power supplies (``UPSs'') to 
consider the latest revision of the industry standard that is 
incorporated by reference and to provide an optional test method for 
measuring power consumption of a UPS at no-load conditions. DOE is 
seeking comment from interested parties on the proposal.

DATES: DOE will accept comments, data, and information regarding this 
proposal no later than March 6, 2023. See section V, ``Public 
Participation,'' for details.
    DOE will hold a public meeting via webinar on Thursday, February 2, 
2023, from 1:00 p.m. to 4:00 p.m. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants.
    Interested persons are encouraged to submit comments using the 
Federal eRulemaking Portal at www.regulations.gov under docket number 
EERE-2022-BT-TP-0005. Follow the instructions for submitting comments. 
Alternatively, interested persons may submit comments, identified by 
docket number EERE-2022-BT-TP-0005, by any of the following methods:
    Email: [email protected]. Include the docket number EERE-
2022-BT-TP-0005 in the subject line of the message.
    Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1445. If possible, please submit all items on a compact disc 
(``CD''), in which case it is not necessary to include printed copies.
    Hand Delivery/Courier: Appliance and Equipment Standards Program, 
U.S. Department of Energy, Building Technologies Office, 950 L'Enfant 
Plaza SW, 6th Floor, Washington, DC 20024. Telephone: (202) 287-1445. 
If possible, please submit all items on a CD, in which case it is not 
necessary to include printed copies.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section V of this document.
    Docket: The docket for this activity, which includes Federal 
Register notices, public meeting attendee lists and transcripts (if a 
public meeting is held), comments, and other supporting documents/
materials, is available for review at www.regulations.gov. All 
documents in the docket are listed in the www.regulations.gov index. 
However, not all documents listed in the index may be publicly 
available, such as information that is exempt from public disclosure.
    The docket web page can be found at www.regulations.gov/docket/EERE-2022-BT-TP-0005. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket. See 
section [V] for information on how to submit comments through 
www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Mr. Jeremy Dommu, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-9870. Email [email protected].
    Ms. Kristin Koernig, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-3593. Email: 
[email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in a public meeting, 
contact the Appliance and Equipment Standards Program staff at (202) 
287-1445 or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the 
following industry standard into 10 CFR part 430:

IEC 62040-3, ``Uninterruptible power systems (UPS)--Part 3: Method of 
specifying the performance and test requirements,'' Edition 3.0, 
copyright April 2021

    Copies of IEC 62040-3 Ed. 3.0 are available from the International 
Electrotechnical Commission, 3 Rue de Varembe, Case Postale 131, 1211 
Geneva 20, Switzerland; webstore.iec.ch.
    For a further discussion of this standard, see section IV.M of this 
document.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Definitions
    C. Updates to Industry Standards
    D. Loading Conditions
    E. No-Load Test
    F. Reference Test Load
    G. Error Corrections
    H. Test Procedure Costs and Harmonization
    1. Test Procedure Costs and Impact
    2. Harmonization With Industry Standards
    I. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Orders 12866 and 13563
    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

[[Page 791]]

    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    UPSs are a class of battery chargers and fall among the consumer 
products for which DOE is authorized to establish and amend energy 
conservation standards and test procedures. (42 U.S.C. 6295(u)) DOE's 
energy conservation standards and test procedure for UPSs are currently 
prescribed at title 10 of the Code of Federal Regulations (``CFR''), 
part 430 section 32(z)(3); and 10 CFR part 430, subpart B, appendix Y 
(``appendix Y'') and appendix Y1 (``appendix Y1''). The following 
sections discuss DOE's authority to establish a test procedure for UPSs 
and relevant background information regarding DOE's consideration of 
the test procedure for this product.

A. Authority

    The Energy Policy and Conservation Act, Public Law 94-163, as 
amended (``EPCA''),\1\ authorizes DOE to regulate the energy efficiency 
of a number of consumer products and certain industrial equipment. (42 
U.S.C. 6291-6317) Title III, Part B of EPCA \2\ established the Energy 
Conservation Program for Consumer Products Other Than Automobiles, 
which sets forth a variety of provisions designed to improve energy 
efficiency. These products include UPSs, the subject of this document. 
(42 U.S.C. 6295(u))
---------------------------------------------------------------------------

    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020), which reflect the last statutory amendments that impact 
Parts A and A-1 of EPCA.
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
---------------------------------------------------------------------------

    The energy conservation program under EPCA consists essentially of 
four parts: (1) testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA specifically include definitions (42 U.S.C. 6291), 
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), 
energy conservation standards (42 U.S.C. 6295), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered products must use as the basis for: (1) 
certifying to DOE that their products comply with the applicable energy 
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)), 
and (2) making other representations about the efficiency of those 
consumer products (42 U.S.C. 6293(c)). Similarly, DOE must use these 
test procedures to determine whether the products comply with relevant 
standards promulgated under EPCA. (42 U.S.C. 6295(s))
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for 
particular State laws or regulations, in accordance with the procedures 
and other provisions of EPCA. (42 U.S.C. 6297(d))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA requires that any test procedures prescribed or 
amended under this section 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 not be unduly burdensome to conduct. (42 
U.S.C. 6293(b)(3))
    EPCA also requires that, at least once every seven years, DOE 
evaluate test procedures for each type of covered product, including 
UPSs, to determine whether amended test procedures would more 
accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle or period of use. (42 U.S.C. 6293(b)(1)(A))
    If the Secretary determines, on her own behalf or in response to a 
petition by any interested person, that a test procedure should be 
prescribed or amended, the Secretary shall promptly publish in the 
Federal Register the proposed test procedure and afford interested 
persons an opportunity to present oral and written data, views, and 
arguments with respect to such procedure. The comment period on a 
proposed rule to amend a test procedure shall be at least 60 days and 
may not exceed 270 days. In prescribing or amending a test procedure, 
the Secretary shall take into account such information as the Secretary 
determines relevant to such procedure, including technological 
developments relating to energy use or energy efficiency of the type 
(or class) of covered products involved. (42 U.S.C. 6293(b)(2)). If DOE 
determines that test procedure revisions are not appropriate, DOE must 
publish its determination not to amend the test procedure. (42 U.S.C. 
6293(b)(1)(A)(ii))
    In addition, EPCA requires that DOE amend its test procedures for 
all covered products to integrate measures of standby mode and off mode 
energy consumption. (42 U.S.C. 6295(gg)(2)(A)). Standby mode and off 
mode energy consumption must be incorporated into the overall energy 
efficiency, energy consumption, or other energy descriptor for each 
covered product unless the current test procedures already account for 
and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)). Any such 
amendment must consider the most current versions of the International 
Electrotechnical Commission (IEC) Standard 62301 \3\ and IEC Standard 
62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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    \3\ IEC 62301, Household electrical appliances--Measurement of 
standby power (Edition 2.0, 2011-01).
    \4\ IEC 62087, Audio, video and related equipment--Methods of 
measurement for power consumption (Edition 1.0, Parts 1-6: 2015, 
Part 7: 2018).
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    DOE is publishing this notice of proposed rulemaking (``NOPR'') in 
satisfaction of the 7-year review requirement specified in EPCA. (42 
U.S.C. 6293(b)(1)(A))

B. Background

    On December 12, 2016, DOE amended its battery charger test 
procedure by publishing a final rule in the Federal Register that added 
a discrete test procedure for UPSs. 81 FR 89806 (``December 2016 Final 
Rule''). The December 2016 Final Rule incorporated by reference 
specific sections of the relevant industry standard for UPSs, with 
additional instructions, into the current battery charger test 
procedure published at appendix Y. 81 FR 89806, 89810.
    On September 8, 2022, DOE published a final rule in the Federal 
Register amending the existing test procedure at appendix Y for battery 
chargers and creating a new test procedure at appendix Y1 that

[[Page 792]]

expanded the scope of the battery charger test method to include open 
placement and fixed-position wireless battery chargers and established 
separate metrics for active mode, standby mode, and off mode for all 
battery chargers other than UPSs. 87 FR 55090 (``September 2022 Final 
Rule''). Manufacturers will be required to continue to use the amended 
test procedure in appendix Y until the compliance date of any new final 
rule establishing amended energy conservation standards based on the 
newly established test procedure in appendix Y1. 87 FR 55090, 55122. At 
such time that DOE establishes new standards for battery chargers other 
than UPSs using these new metrics, manufacturers would no longer use 
appendix Y and instead would be required to determine compliance using 
the updated test procedure at Y1. Id. at 87 FR 55125. That final rule 
also replicated all aspects of testing UPSs from appendix Y to appendix 
Y1, ensuring that instructions for all battery chargers are 
consolidated in one location. Id. at 87 FR 55125-55132.
    On February 2, 2022, DOE initiated a rulemaking process to consider 
amendments to the UPS test procedure by publishing in the Federal 
Register a request for information (``RFI'') seeking data and 
information regarding the existing DOE test procedure for UPSs 
(``February 2022 RFI''). 87 FR 5742. On May 11, 2022, DOE issued a 
correcting amendment to address an error in describing input dependency 
modes in the regulatory text as it appeared in the December 2016 Final 
Rule. 87 FR 28755.
    DOE received comments in response to the February 2022 RFI from the 
interested parties listed in Table I.1.

           Table I.1--List of Commenters With Written Submissions in Response to the February 2022 RFI
----------------------------------------------------------------------------------------------------------------
                                                                      Comment No. in
              Commenter(s)                  Reference in this NOPR      the docket          Commenter type
----------------------------------------------------------------------------------------------------------------
National Electrical Manufacturers         NEMA......................               2  Trade Association.
 Association.
Appliance Standards Awareness Project,    Joint Commenters..........               3  Efficiency Organizations.
 American Council for an Energy-
 Efficient Economy, Natural Resources
 Defense Council, New York State Energy
 Research and Development Authority.
Pacific Gas and Electric Company, San     CA IOUs...................               4  Utility Association.
 Diego Gas & Electric Company, Southern
 California Edison; collectively, the
 California Investor-Owned Utilities.
Northwest Energy Efficiency Alliance....  NEEA......................               5  Efficiency Organization.
----------------------------------------------------------------------------------------------------------------

    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\5\

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to amend appendices Y and Y1 as follows:
    (1) Incorporate by reference the current revision to the applicable 
industry standard--IEC 62040-3 Ed. 3.0, ``Uninterruptible power systems 
(UPS)--Part 3: Method of specifying the performance and test 
requirements''--to reflect redesignated subsections in the latest 
version of that standard.
    (2) Provide an optional test method for measuring the power 
consumption of UPSs at no-load conditions.
    DOE's proposed actions are summarized in Table II.1 compared to the 
current test procedure, with the reason for the proposed change also 
provided.

  Table II.1--Summary of Changes in Proposed Test Procedure Relative to
                         Current Test Procedure
------------------------------------------------------------------------
                                     Proposed test
   Current DOE test procedure          procedure          Attribution
------------------------------------------------------------------------
References IEC 62040-3 Ed. 2.0..  Updates each        To harmonize with
                                   reference to IEC    the latest
                                   62040-3 Ed. 3.0.    industry
                                                       standard.
Provides definitions for UPS,     Harmonizes DOE      To harmonize with
 total harmonic distortion, and    definitions with    the latest
 certain types of UPSs that        definitions of      industry
 differ non-substantively from     UPS provided in     standard.
 the definitions in IEC 62040-3    IEC 62040-3 Ed.
 Ed. 3.0.                          3.0.
Does not provide a method for     Incorporates the    To respond to
 testing the power consumption     no-load test from   comments received
 of UPSs at no-load conditions.    Annex J of IEC      on the February
                                   62040-3, Ed. 3.0    2022 RFI.
                                   as an optional
                                   test method for
                                   voluntary
                                   representations
                                   of no-load power
                                   consumption.
------------------------------------------------------------------------

    Discussion of DOE's proposed actions are addressed in detail in 
section III of this NOPR.
---------------------------------------------------------------------------

    \5\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop a 
test procedure for UPSs. (Docket NO. EERE-2022-BT-TP-0005, which is 
maintained at www.regulations.gov). The references are arranged as 
follows: (commenter name, comment docket ID number, page of that 
document).
---------------------------------------------------------------------------

III. Discussion

    In the following sections, DOE proposes certain amendments to its 
test procedure for UPSs. For each proposed amendment, DOE provides 
relevant background information, explains why the amendment merits 
consideration, discusses relevant public comments, and proposes a 
potential approach.

A. Scope of Applicability

    The scope of the current test procedure at appendices Y and Y1, as 
applicable to UPSs, covers UPSs \6\ that utilize the standardized 
National

[[Page 793]]

Electrical Manufacturer Association (``NEMA'') plug, 1-15P or 5-15P,\7\ 
and have an alternating current (``AC'') output. Appendices Y and Y1, 
section 1.
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    \6\ As discussed further in section III.B of this document, DOE 
defines a UPS as a battery charger consisting of a combination of 
convertors, switches, and energy storage devices (such as 
batteries), constituting a power system for maintaining continuity 
of load power in case of input power failure. Appendices Y and Y1, 
section 2.27.
    \7\ Plug designations are as specified in American National 
Standards Institute (``ANSI'')/NEMA WD 6-2016, incorporated by 
reference at 10 CFR 430.2.
---------------------------------------------------------------------------

    In the February 2022 RFI, DOE sought comment on whether the scope 
of the test procedure as it pertains to UPSs is still appropriate or 
whether DOE should consider any changes in scope. 87 FR 5742, 5744.
    NEMA commented that it did not see any need for changes to the UPS 
test procedure with regards to scope. (NEMA, No. 2 at p. 2)
    Conversely, the Joint Commenters recommended that DOE investigate 
opportunities to expand the scope of the UPS test procedure to cover 
back-up battery chargers such as portable power systems. (Joint 
Commenters, No. 3 at p. 1) The Joint Commenters stated that portable 
power systems are an emerging class of products that are becoming 
increasingly common for homes given the need for back-up power in 
climate emergencies and power outage situations. (Id.) The Joint 
Commenters encouraged DOE to consider incorporating such products into 
the scope of the test procedure given the substantial potential for 
growth of these products in the market. (Id.)
    NEEA similarly encouraged DOE to expand the scope of the battery 
charger test procedure to include portable power stations that utilize 
batteries and to test them using the appendix Y battery charger test 
instructions. (NEEA, No. 5 at p. 7) NEEA stated that its research 
reveals that consumer portable power stations are experiencing rapid 
market adoption. (Id.) NEEA provided examples of products with a range 
of battery capacities and charge with a home wall outlet. (Id.) NEEA 
described the primary consumer use for such products as providing 
emergency home power--which NEEA asserted is a growing need due to the 
increased frequency of electrical power outages associated with extreme 
weather conditions--as well as outdoor recreation applications. (Id. at 
p. 8) NEEA stated that consumer portable power systems appear to be 
excluded by DOE's current test procedure, given that they are not 
strictly UPSs and may be considered within the definition of ``backup 
battery chargers,'' \8\ which are explicitly omitted from the scope of 
appendix Y.\9\ (Id.) Additionally, NEEA stated that it was not able to 
identify portable power stations listed in DOE's battery charger or UPS 
compliance certification database (``CCD''). (Id.)
---------------------------------------------------------------------------

    \8\ DOE defines a ``back-up battery charger'' as a battery 
charger excluding UPSs: (1) that is embedded in a separate end-use 
product that is designed to continuously operate using mains power 
(including end-use products that use external power supplies); and 
(2) whose sole purpose is to recharge a battery used to maintain 
continuity of power in order to provide normal or partial operation 
of a product in case of input power failure. 10 CFR 430.2. More 
broadly, DOE defines a ``battery charger'' as a device that charges 
batteries for consumer products, including battery chargers embedded 
in other consumer products. Id.
    \9\ Section 1 of appendix Y (``Scope'') states that the appendix 
does not provide a method for testing back-up battery chargers.
---------------------------------------------------------------------------

    However, NEEA stated that its technical research supported 
addressing consumer portable power stations within the non-UPS portion 
of the test procedure and not the UPS portion because (1) they supply 
loads when not connected to the grid, whereas the UPS test procedure 
focuses on the efficiency of a continuously grid-connected system; (2) 
they have a variety of duty cycles, such that the variety of use 
scenarios is like other consumer chargers covered by the non-UPS 
portion of the test procedure; and (3) they have different charge 
rates, and the battery charger test procedure already accommodates 
variations in charge rates. (Id. at pp. 8-9)
    Relevant to consideration of these comments, the scope of DOE's 
battery charger test procedure includes all battery chargers operating 
at either direct current (``DC'') or United States AC line voltage 
(115V at 60Hz). Appendix Y, section 1. To the extent that a portable 
power system meets the definition of a battery charger, operates on DC 
or United States AC line voltage, but does not meet the definition of a 
back-up battery charger as defined by DOE, such a product is currently 
covered within the scope of the non-UPS portion of the battery charger 
test procedure. Based on the descriptions of products described by 
NEEA, DOE tentatively concludes that such products may not meet the 
definition of ``back-up battery charger'' because they are not embedded 
in a separate end-use product. Rather, the power station itself is the 
end-use product and is not used to maintain power in the event of mains 
power failure. In contrast to NEEA's findings, DOE has identified--
based on a review of product literature--a wide range of portable power 
stations currently certified as non-UPS battery chargers and listed in 
the CCD,\10\ suggesting that manufacturers have determined that such 
products meet these criteria and are therefore covered within the scope 
of the non-UPS portion of the battery charger test procedure. Because 
such products are already included within the scope of the non-UPS 
battery charger test procedure, DOE has tentatively determined that no 
changes are warranted to the scope of the UPS test procedure with 
respect to such products.
---------------------------------------------------------------------------

    \10\ For example, DOE has identified the following inexhaustive 
list of portable power stations models in the battery charger CCD: 
Jackery 550, DEWALT DXAEPS14, STANLEY J5C09, Anker A1710, Duracell 
PPS1000-1050-120-01.
---------------------------------------------------------------------------

    To the extent that a portable power station meets DOE's definition 
of a back-up battery charger, such a product is currently outside the 
scope of appendices Y and Y1. As suggested by NEEA, DOE tentatively 
agrees that the operational characteristics of portable power stations 
that are not back-up battery chargers are in the scope of the non-UPS 
portion of the appendices Y and Y1 test procedure and not the UPS 
portion. Therefore, changes to the non-UPS portion of appendices Y and 
Y1 are outside the scope of this rulemaking and DOE is not proposing 
any changes to the UPS portion of appendices Y and Y1 to address such 
products.
    The CA IOUs noted that the current scope of the UPS test procedure 
is limited to UPSs that use standard NEMA 1-15P/5-15P wall plugs \11\ 
and recommended that DOE review current shipments of UPS and UPS-like 
products to determine if the current method for limiting scope still 
provides sufficient coverage for this product category. (CA IOUs, No. 4 
at pp. 1-2) The CA IOUs stated that they have identified a range of 
whole-home backup and portable outdoor power delivery devices that are 
UPS-like, which may offer the potential for energy savings. (Id. at p. 
2) According to the CA IOUs, shipments of these two products have 
rapidly expanded since DOE's previous rulemaking for the UPS product 
category. (Id.) The CA IOUs commented that these products are currently 
outside the scope of DOE's test procedure either because they cannot 
use NEMA 1-15P/5-15P wall plugs (e.g., whole-home backup products), or 
they typically do not use NEMA 1-15P/5-15P wall plugs when in service 
(e.g., portable power stations). (Id.)
---------------------------------------------------------------------------

    \11\ Section 1 of appendix Y specifies that this appendix 
provides the test requirements used to measure the energy efficiency 
of UPSs that utilize the standardized NEMA plug, 1-15P or 5-15P, as 
specified in ANSI/NEMA WD 6-2016 (incorporated by reference, see 
Sec.  430.3) and have an AC output.
---------------------------------------------------------------------------

    DOE's initial review of the market for the types of products 
discussed by the CA IOUs confirms the CA IOUs' findings that such 
products either do not appear to meet the definition of a UPS and/or do 
not use NEMA 1-15P/5-15P wall plugs. In addition, DOE tentatively 
determines that the test

[[Page 794]]

conditions specified by the current UPS test procedure would not 
provide a representative measure of energy use or energy efficiency for 
such products. However, DOE has tentatively determined that the markets 
for whole-home backup devices and portable outdoor power delivery 
devices are still nascent, albeit growing, and currently lack 
widespread use among consumers. DOE is concerned that defining such 
technologies and addressing them in the UPS test procedure at this time 
could potentially restrict the development of these less mature 
technologies. Furthermore, DOE does not have sufficient consumer usage 
data, nor have commenters provided any such information, that would be 
needed at this time to develop a test procedure that produces 
representative results for these products. For these reasons, DOE is 
not proposing to expand the scope of the UPS test procedure to include 
whole-home backup power systems or outdoor power delivery devices.

B. Definitions

    As discussed, DOE defines a UPS as a battery charger consisting of 
a combination of convertors, switches, and energy storage devices (such 
as batteries), constituting a power system for maintaining continuity 
of load power in case of input power failure. Appendices Y and Y1, 
section 2.27. This definition aligns with the definition of a UPS 
provided in IEC 62040-3 Ed. 2.0, which is currently incorporated by 
reference in appendices Y and Y1.
    In the February 2022 RFI, DOE sought comment on whether the current 
definition for a UPS is still appropriate or whether DOE should 
consider an amended definition. 87 FR 5742, 5744.
    NEMA commented that the definition of a UPS should be updated to 
align with IEC 62040-3 Ed. 3.0. (NEMA, No. 2 at p. 2) Specifically, 
NEMA recommended amending the UPS definition to read ``. . . 
maintaining continuity of AC load power in case of AC input power 
failure'' [emphasis added]. (Id.)
    DOE recognizes the benefit of harmonizing with the latest versions 
of industry standards where applicable and appropriate. DOE has 
tentatively determined that the addition of the term ``AC'' in the IEC 
62040-3 Ed. 3.0 definition is consistent with the range of products 
that meet the current definition of a UPS and would not change the 
scope of products subject to the test procedure.\12\ Therefore, DOE 
proposes to update its definition of a UPS to incorporate by reference 
the definition specified in IEC 62040-3 Ed. 3.0.
---------------------------------------------------------------------------

    \12\ DOE notes that use of NEMA 1-15P/5-15P wall plugs, as 
specified by the currently defined scope for UPSs, implies the use 
of AC input power.
---------------------------------------------------------------------------

    DOE requests comment on its proposal to harmonize its definition of 
a UPS with that of IEC 62040-3 Edition 3.0. Specifically, DOE requests 
comment on its tentative determination that such harmonization would 
not affect the current scope of the UPS test procedure.
    NEMA also suggested that DOE adopt or harmonize several other 
definitions from IEC 62040-3 Ed. 3.0, specifically, total harmonic 
distortion (``THD''), voltage independent (``VI'') UPS, and voltage and 
frequency independent (``VFI'') UPS.\13\ (NEMA, No. 2 at pp. 4-6)
---------------------------------------------------------------------------

    \13\ The comment from NEMA included a duplicate section 
regarding VFI UPS definitions. Based on the context of the 
discussion throughout NEMA's comments, DOE presumes that NEMA 
intended to also include voltage and frequency dependent (``VFD'') 
UPSs among the suggested definitions for harmonization with IEC 
62040-3 Ed. 3.0.
---------------------------------------------------------------------------

    Section 2.26 of appendices Y and Y1 defines THD, expressed as a 
percent, as the root mean square (``RMS'') value of an AC signal after 
the fundamental component is removed and interharmonic components are 
ignored, divided by the RMS value of the fundamental component. Section 
3.5.49 of IEC 62040-3 Ed. 3.0 defines THD as the ratio of the RMS value 
of the sum of the harmonic components Xh of orders 2 to 40 
to the RMS value of the fundamental component X1, and also 
includes a mathematical formula accompanying this descriptive 
definition. The key difference between the definitions is that DOE 
refers to the RMS value of the AC signal, whereas the IEC 62040-3 Ed. 
3.0 definition more narrowly specifies measuring the RMS value of 
harmonic components of order 2 through 40. DOE understands that, in 
measuring the RMS value of a signal, a laboratory would be required to 
determine the number of harmonics to include within the measurement. By 
specifying harmonic components of order 2 through 40, DOE tentatively 
concludes that the IEC definition may provide a more reproducible 
measurement among different laboratories compared to the current DOE 
definition, which requires a laboratory to determine which harmonic 
components to measure. For this reason, DOE proposes to update its 
definition of THD to incorporate by reference the definition specified 
in IEC 62040-3 Ed. 3.0.
    DOE has carefully reviewed its definitions of VFD UPS,\14\ VFI 
UPS,\15\ and VI UPS \16\ in comparison to the definitions provided in 
sections 5.3.4.2.2,\17\ 5.3.4.2.3,\18\ and 5.3.4.2.4,\19\

[[Page 795]]

respectively, of IEC 62040-3 Ed. 3.0. The IEC definitions closely align 
with the core capabilities described by the DOE definitions. However, 
DOE's definitions each include a ``Note'' that provides greater 
specificity regarding certain product characteristics than the 
definitions provided by IEC 62040-3 Ed. 3.0. For example, the Note to 
section 2.27.2 of appendices Y and Y1 (providing the definition for VFI 
UPS) specifies that, at a minimum, the VFI UPS produces an output 
voltage and frequency within the specified output range even when the 
input voltage is varied by 10 percent of the rated input 
voltage and the input frequency is varied by 2 percent of 
the rated input frequency. Whereas the definition of VFI UPS in IEC 
62040-3 Ed. 3.0 specifies the AC input power voltage tolerance bands to 
be the greater of 10 percent of the rated input voltage and 
what is declared by the manufacturer and the AC input power frequency 
to be the greater of 2 percent of the rated input frequency 
and what is declared by the manufacturer. Similarly, the Note to 
section 2.27.3 of appendices Y and Y1 (providing the definition for VI 
UPS) specifies an input voltage variation of 10 percent, 
whereas the corresponding definition in IEC 62040-3 Ed 3.0 specifies 
the voltage limits to be the greater of 10 percent of the 
rated input voltage and what is declared by the manufacturer.
---------------------------------------------------------------------------

    \14\ Section 2.27.1 of appendices Y and Y1 defines VFD UPS as a 
UPS that produces an AC output where the output voltage and 
frequency are dependent on the input voltage and frequency. This UPS 
architecture does not provide corrective functions like those in 
voltage independent and voltage and frequency independent systems. 
The definition also includes a Note specifying that VFD input 
dependency may be verified by performing the AC input failure test 
in section 6.2.2.7 of IEC 62040-3 Ed. 2.0 and observing that, at a 
minimum, the UPS switches from normal mode of operation to battery 
power while the input is interrupted.
    \15\ Section 2.27.2 of appendices Y andY1 defines VFI UPS as a 
UPS where the device remains in normal mode producing an AC output 
voltage and frequency that is independent of input voltage and 
frequency variations and protects the load against adverse effects 
from such variations without depleting the stored energy source. The 
definition also includes a Note specifying that VFI input dependency 
may be verified by performing the steady state input voltage 
tolerance test and the input frequency tolerance test in sections 
6.4.1.1 and 6.4.1.2 of IEC 62040-3 Ed. 2.0, respectively, and 
observing that, at a minimum, the UPS produces an output voltage and 
frequency within the specified output range when the input voltage 
is varied by 10 percent of the rated input voltage and 
the input frequency is varied by 2 percent of the rated 
input frequency.
    \16\ Section 2.27.3 of appendices Y and Y1 defines VI UPS as a 
UPS that produces an AC output within a specific tolerance band that 
is independent of under-voltage or over-voltage variations in the 
input voltage without depleting the stored energy source. The output 
frequency of a VI UPS is dependent on the input frequency, similar 
to a voltage and frequency dependent system. The definition also 
includes a Note specifying that VI input dependency may be verified 
by performing the steady state input voltage tolerance test in 
section 6.4.1.1 of IEC 62040-3 Ed. 2.0 and ensuring that the UPS 
remains in normal mode with the output voltage within the specified 
output range when the input voltage is varied by 10 
percent of the rated input voltage.
    \17\ Section 5.3.4.2.2 of IEC 62040-3 Ed. 3.0 specifies that a 
UPS classified as VFD shall protect the load from a complete loss of 
AC input power. The output of the VFD UPS is dependent on changes in 
voltage and frequency of the AC input power and is not intended to 
provide additional voltage corrective functions, such as those 
arising from the use of tapped transformers. VFD classification is 
verified when performing the test described in section 6.2.2.7.
    \18\ Section 5.3.4.2.3 of IEC 62040-3 Ed. 3.0 specifies that a 
UPS classified VI shall protect the load as required for VFD and 
also from under-voltage applied continuously to the input, and over-
voltage applied continuously to the input. The output voltage of the 
VI UPS shall remain within declared voltage limits (provided by 
voltage corrective functions, such as those arising from the use of 
active and/or passive circuits). The manufacturer shall declare an 
output voltage tolerance band narrower than the input voltage 
tolerance band. VI classification is verified when performing the 
tests described in section 6.4.1.2. The definition also includes a 
Note specifying that the energy storage device does not discharge 
when the AC input power is within the input voltage tolerance band.
    \19\ Section 5.3.4.2.4 of IEC 62040-3 Ed. 3.0 specifies that a 
UPS classified VFI is independent of AC input power voltage and 
frequency variations as specified and declared in section 5.2 and 
shall protect the load against adverse effects from such variations 
without discharging the energy storage device. VFI classification is 
verified when performing the tests described in section 6.4.1.3.
---------------------------------------------------------------------------

    DOE notes that there are scenarios where using the manufacturer 
declared limits may result in a different input dependency 
classification of a UPS when compared to that conducted using DOE's 
current input voltage tolerance limits. For example, a manufacturer 
that declares an input voltage tolerance limit of 15 
percent for a VI basic model but could have a unit that is unable to 
maintain the required output when the input voltage is adjusted by more 
than 13 percent in real world testing. Per the IEC definition, this 
unit would fail the VI input dependency at the manufactured declared 
limits of 15 percent and therefore be classified as a VFD 
UPS (the highest input dependent UPS topology). However, the same unit 
when tested per DOE's current input voltage limits of 10 
percent would continue to classify it as a VI.
    To avoid such discrepancies, DOE proposes to harmonize its 
definitions of VFD UPS, VI UPS, and VFI UPSs with IEC 62040-3 Ed 3.0 
but maintain the notes alongside each definition that currently 
establish the input voltage and frequency tolerance limits of 10 percent and 2 percent, respectively.
    DOE notes that the section numbers of IEC 62040-3 Ed. 2.0 currently 
referenced by DOE's definitions have been updated to different section 
numbers in IEC 62040-3 Ed. 3.0. DOE proposes to update its definitions 
of VFD UPS, VI UPS, and VFI UPS to reference the corresponding updated 
section numbers within IEC 62040-3 Ed. 3.0.
    DOE has initially determined that the proposed amended definitions 
would not substantively change the scope or applicability of the test 
procedure as compared to the current definitions.
    DOE requests comment on its proposal to update its definitions of 
THD, VFD UPS, VI UPS, and VFI UPC to harmonize with the IEC 62040-3 Ed 
3.0 definitions.

C. Updates to Industry Standards

    As discussed, the current UPS test procedure incorporates by 
reference certain sections of IEC 62040-3 Ed. 2.0 regarding test setup, 
input and output power measurement, and the optional determination of 
UPS architecture. Specifically:
     The definitions of VFD UPS, VFI UPS, and VI UPS in 
sections 2.27.1 through 2.27.3 of appendices Y and Y1 reference: (1) 
the AC input failure test in section 6.2.2.7 of IEC 62040-3 Ed. 2.0, 
which in turn references section 5.3.4 and Annex G of IEC 62040-3 Ed. 
2.0; (2) the steady state input voltage tolerance test in section 
6.4.1.1 of IEC 62040-3 Ed. 2.0, as a subsection to section 6.4.1, which 
in turn references sections 5.2.1 and 5.2.2.k of IEC 62040-3 Ed. 2.0; 
and (3) the input frequency tolerance test in section 6.4.1.2 of IEC 
62040-3 Ed. 2.0, which in turn references sections 5.3.2.d and 5.3.2.3 
of IEC 62040-3 Ed. 2.0.
     Section 4.2.1 of appendices Y and Y1 specifies configuring 
the UPS according to Annex J.2 [of Annex J] of IEC 62040-3 Ed. 2.0.
     Section 4.3.3 of appendices Y and Y1 specifies measuring 
input and output power according to section J.3 of Annex J of IEC 
62040-3 Ed. 2.0.
    Since publication of the December 2016 Final Rule, IEC has updated 
the IEC 62040-3 standard to its third edition (i.e., IEC 62040-3 Ed. 
3.0). The following paragraphs summarize the key changes from the 
second edition, based on DOE's initial review of the revised standard.
    Section 4 of IEC 62040-3 Ed. 3.0 includes updates to various 
environmental conditions, such as the general test environment and 
operating conditions when testing UPSs. Appendices Y and Y1, however, 
do not refer to section 4 of the IEC 62040-3 standard but instead 
provide their own environmental and operating conditions for testing 
purposes. DOE has therefore determined that its test procedure for 
measuring the efficiency of UPSs will remain unaffected by the updates 
to section 4 of the IEC 62040-3 Ed. 3.0.
    Section 5.2 of IEC 62040-3 Ed. 2.0 addresses UPS input 
specifications, such as the input voltage range, input frequency range, 
and total harmonic distortions during which the UPS under test must 
remain in the normal mode of operation. While an initial review of IEC 
62040-3 Ed. 3.0 shows significant editorial changes to the sections 
that define these parameters, the remainder of the parameters remain 
unchanged. Similarly, section 5.3 of IEC 62040-3 Ed. 3.0 provides the 
minimum output specifications for UPSs that must be declared by 
manufacturers, such as its input dependency, rated output voltage and 
RMS output voltage tolerance band, rated frequency tolerance band, 
rated output active and apparent power, total harmonic distortion, etc. 
As before, the majority of the changes to this section are editorial or 
a reorganization.
    Section 6 of IEC 62040-3 Ed. 2.0 previously provided instructions 
for performing the AC input failure test (section 6.2.2.7), the steady-
state input voltage tolerance test (section 6.4.1.1), and the input 
frequency tolerance test (section 6.4.1.2) that are used to classify 
the input dependency of a UPS as VI, VFD, or VFI. IEC 62040-3 Ed. 3.0 
has since updated these subsections with the following changes: 
subsection titles and numbering have been updated to specifically refer 
to them as VI, VFD, and VFI input dependency tests; additional criteria 
have been added for meeting the VI, VFD, and VFI classifications; and a 
new test load condition at 0 percent (i.e., no-load) has been added 
(see section III.E of this document for further discussion of a no-load 
test).
    Additional updates to Annex J to IEC 62040-3 Ed. 3.0 require multi-
mode UPSs to be tested at all dependency modes, whereas DOE's current 
test procedure explicitly requires UPSs to be tested at only their 
highest and lowest input dependency modes. Annex J has also been 
updated to allow manufacturers to test UPSs with functions or ports set 
to the lowest power-consuming mode or disconnected if they are not 
related to maintaining the energy storage device (i.e., batteries) at 
full charge, along with added reporting requirements for manufacturers 
to report these features,

[[Page 796]]

interfaces, or ports that have been turned off or set to the lowest 
power-consuming mode. This updated clarification regarding additional 
features is similar to DOE's current test procedure, which requires 
UPSs to be tested with such features off or disconnected; however, DOE 
currently does not require manufacturers to report these manually 
switched-off features.
    In the February 2022 RFI, DOE requested comment on the updates made 
to IEC 62040-3 Ed. 3.0 and on whether DOE should revise all or parts of 
its incorporation by reference to harmonize with these changes. 87 FR 
5742, 5745. DOE also requested feedback on whether any of the specific 
updates found in the new IEC standard has the potential to alter the 
recorded efficiency of UPSs as currently measured by appendix Y. Id.
    DOE received several comments regarding aligning its reporting 
requirements for UPSs with the requirements in the revised Annex J in 
IEC 62040-3 Ed. 3.0 in response to the February 2022 RFI. The Joint 
Commenters, NEEA, and NEMA all requested that DOE require manufacturers 
to report which (if any) additional functionality was switched off for 
testing. (Joint Commenters, No. 3 at p. 2; NEEA, No. 5 at p. 7; NEMA, 
No. 2 at p. 4). NEMA commented that adding free text fields in the 
certification database spreadsheet template would reduce the reporting 
burden of uploading additional supplementary documentation to provide 
this information. (NEMA, No. 2 at p. 4) Additionally, NEEA noted that 
collecting this information increases stakeholder transparency and 
provides DOE with useful information for future analyses. (NEEA, No. 5 
at p. 7)
    DOE is not proposing to amend the certification or reporting 
requirements for UPSs in this NOPR. Instead, DOE may consider proposals 
to amend the certification requirements and reporting for UPSs under a 
separate rulemaking regarding appliance and equipment certification.
    In response to the February 2022 RFI, NEMA suggested that DOE 
incorporate the 15-minute accumulated energy measurement method found 
in Annex J of IEC 62040-3 Ed. 3.0, commenting that it is the 
measurement method favored by DOE because DOE already includes such a 
method in appendices Y and Y1. (NEMA, No. 2 at p. 2) NEMA also 
recommended that DOE incorporate sections 5.2 and 5.3 of IEC 62040-3 or 
the entire standard and stated that doing so would not alter the 
measured efficiency of UPSs. (Id. at p. 3)
    DOE has carefully reviewed IEC 62040-3 Ed. 3.0 as it relates to 
measuring the efficiency of a UPS. DOE has tentatively determined that 
the relevant updates to IEC 62040-3 Ed. 3.0 compared to IEC 62040-3 Ed. 
2.0 are largely editorial, including renumbering of certain sections 
referenced by the DOE test procedure, and that updating DOE's existing 
references to IEC 62040-3 Ed. 3.0 would not alter the measured 
efficiency of basic models. As a result, DOE proposes to update its 
incorporation by reference of IEC 62040-3 Ed. 2.0 to IEC 62040-3 Ed. 
3.0 in 10 CFR 430.3 and to update its references in appendices Y and Y1 
accordingly to reflect the renumbering of sections in IEC 62040-3 Ed. 
3.0.
    As stated by NEMA in its written comment, DOE's existing test 
procedure for UPSs already allows recording of either instantaneous 
power or accumulated energy over a 15-minute period. DOE's review of 
Annex J in IEC 62040-3 Ed. 3.0 did not reveal any additional 
instructions that would further facilitate the use of the accumulated 
energy method. As such, DOE is not proposing any changes to its 
existing language in section 4.3.3 of appendices Y and Y1.
    DOE requests comment on its proposal to incorporate by reference 
IEC 62040-3 Ed 3.0 and to update references in appendices Y and Y1 
accordingly to reflect the renumbering of sections in IEC 62040-3 Ed 
3.0.

D. Loading Conditions

    Section 4.3.3 of appendices Y and Y1 requires that the efficiency 
of a UPS be measured at 100, 75, 50, and 25 percent of the device's 
rated output power. Each of these measured efficiencies is weighted 
according to values provided in Table 4.3.1 of appendices Y and Y1 and 
combined to determine a single weighted average output metric (i.e., 
the average load adjusted efficiency) representing the UPS's overall 
efficiency. These load conditions and weightings were established in 
the December 2016 Final Rule consistent with the load weightings 
specified in ENERGY STAR UPS Specification Version 1.0.\20\ 81 FR 
89806, 89816. The current ENERGY STAR UPS Specification Version 2.0 
\21\ maintains these same load conditions and weightings. These load 
conditions and weightings are also consistent with those specified in 
section 6.4.1.6 of IEC 62040-3 Ed. 2.0 and section 6.4.1.9 of IEC 
62040-3 Ed. 3.0.
---------------------------------------------------------------------------

    \20\ The ENERGY STAR UPS Specification Version 1.0 is available 
at www.energystar.gov/products/spec/uninterruptible_power_supplies_specification_version_1_0_pd.
    \21\ The ENERGY STAR UPS Specification Version 2.0 is available 
at www.energystar.gov/sites/default/files/asset/document/ENERGY%20STAR%20Uninterruptible%20Power%20Supplies%20Final%20Version%202.0%20Specification_1.pdf.
---------------------------------------------------------------------------

    In the February 2022 RFI, DOE requested comment on whether the UPS 
load weightings specified in Table 4.3.1 are representative of current 
UPS usage patterns. 87 FR 5742, 5746. DOE also requested data on the 
consumer usage profile of UPSs with respect to each architecture (i.e., 
VFD, VI, and VFI). Id.
    NEEA, the Joint Commenters, and the CA IOUs all recommended 
introducing a fifth loading test condition at 10 percent of the 
device's rated output power, asserting that such a loading condition is 
more representative of desktop computers and other loads typically 
protected by UPSs. They further asserted that adding a 10-percent 
loading condition to UPS testing, along with a revised load weighting, 
would provide a more accurate efficiency value. (NEEA, No. 5 at pp. 1-
4; Joint Commenters, No. 3 at pp. 1-2; CA IOUs, No. 4 at pp. 2-3)
    NEMA, however, advised against adding a 10-percent loading 
condition and adjusting the loading level weights without significant 
evidence to support making such adjustments, arguing that DOE should 
maintain harmonization with IEC 62040-3 Ed. 3.0. NEMA further asserted 
that additional load test points are mathematically unnecessary and 
would invalidate testing already performed, which would impose a 
significant burden on manufacturers with no tangible benefits. NEMA 
further commented that mathematical loss models can be used to 
accurately predict UPS efficiency at any load point based on the five 
measurements already required by the DOE test procedure. (NEMA, No. 2 
at p. 6)
    As discussed, EPCA requires that any test procedures prescribed or 
amended under this section be reasonably designed to produce test 
results that measure energy efficiency, energy use, or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use, and not be unduly burdensome to conduct. (42 
U.S.C. 6293(b)(3)) As such, DOE must weigh the representativeness of 
test results with the associated test burden in evaluating any 
amendments to its test procedures. Regarding the representativeness of 
the DOE test procedure, the commenters have not provided specific data, 
nor is DOE aware of any specific data, demonstrating that a 10-percent 
loading condition would produce a more representative measure of energy 
use or energy efficiency of UPSs. In addition,

[[Page 797]]

DOE's test procedure does not differentiate between specific end-use 
applications. Therefore, load profiles specific to certain applications 
(e.g., desktop computers) may not be representative of overall average 
use of UPSs across all end-use applications. Further, were DOE to 
consider a 10-percent load condition, DOE is not aware of any data to 
suggest what corresponding weighting factor should be used to combine 
this loading condition with the other defined loading conditions 
comprising the overall efficiency metric.
    Regarding test burden, as noted, the loading points currently 
specified in appendices Y and Y1 are consistent with the loading points 
defined by ENERGY STAR, as well as section 6.4.1.6 of IEC 62040-3 Ed. 
3.0. DOE also notes that the requirements of IEC 62040-3 Ed. 3.0 are 
referenced by the European Union Code of Conduct on Energy Efficiency 
and Quality of AC UPSs Version 2.0.\22\ Like many other types of 
consumer electronics, UPSs are manufactured and distributed globally by 
multi-national suppliers; as such, any differences between the DOE test 
procedure (applicable to products sold or imported into the United 
States) and internationally-recognized industry test methods impose a 
burden that is acutely impactful to the consumer electronics industry.
---------------------------------------------------------------------------

    \22\ The European Union Code of Conduct on Energy Efficiency and 
Quality of AC UPSs Version 2.0 is available at e3p.jrc.ec.europa.eu/
publications/code-conduct-energy-efficiency-and-quality-ac-
uninterruptible-power-systems-ups-0.
---------------------------------------------------------------------------

    Having weighed the potential improvement to representativeness 
against the potential for increased test burden associated with adding 
a required 10-percent loading condition that would be applicable to all 
UPSs, DOE has tentatively concluded--based on information currently 
available--that the potential burden would outweigh any potential 
improvement in representativeness; i.e., would introduce undue test 
burden. Consequently, DOE is not proposing to modify its existing 
loading points, weightings, or overall efficiency metric in this NOPR.
    DOE requests comment on its proposal to not modify the existing 
loading points, weighting, or the overall efficiency metric in the 
current UPS test procedure.

E. No-Load Test

    DOE's test procedure for UPSs does not currently specify a method 
for determining the energy consumption of a UPS at no-load (i.e., 0 
percent loading condition). As discussed in section III.C of this NOPR, 
IEC 62040-3 Ed. 3.0 adds a new test load condition at 0 percent (i.e., 
no-load) at section 6.4.1.10. In addition, ENERGY STAR UPS 
Specification Version 2.0 specifies testing at a 0-percent load 
condition, and the resulting power measurement (in Watts) is one of the 
required reported values. In the February 2021 RFI, DOE requested 
information on whether incorporating the additional no-load test has 
the potential to cause currently reported UPS input-dependency 
classifications to change.
    In response to the February 2022 RFI, the Joint Commenters 
recommended that DOE incorporate the no-load test condition into its 
UPS test procedure and establish a separate standby mode metric based 
on the no-load test condition. The Joint Commenters asserted that a 
standby mode measurement at the no-load test condition would provide 
consumers with a more accurate understanding of UPS energy consumption 
and would align DOE's UPS test procedure more closely with DOE's 
external power supply (``EPS'') and battery charger test procedures. 
The Joint Commenters asserted that the no-load condition of a UPS 
aligns closely with battery charger maintenance mode--in which a 
battery charger is connected to a battery and provides some limited 
charging in order to maintain the battery at full charge--and that 
because DOE determined that battery charge maintenance mode qualifies 
under EPCA's definition of standby mode,\23\ that it would be 
appropriate for DOE to establish a standby metric for UPSs based on the 
no-load test condition. (Joint Commenters, No. 3 at p. 3)
---------------------------------------------------------------------------

    \23\ The Joint Commenters cited DOE's battery charger test 
procedure NOPR published November 23, 2021. 86 FR 66878. DOE 
subsequently published a battery charger test procedure final rule 
on September 8, 2022, which includes a maintenance mode test for 
battery chargers. 87 FR 55090.
---------------------------------------------------------------------------

    NEEA also encouraged DOE to add a no-load test condition to the UPS 
test procedure. NEEA asserted that UPSs operate at no-load or low-load 
when attached equipment, such as desktop computers, are powered off or 
running in sleep or idle modes; that relevant studies suggest that 
desktop computers spend much of their time powered off or in sleep or 
idle modes; and that the substantial differences in no-load input power 
across UPS models suggest a significant energy savings opportunity. 
(NEEA, No. 5 at pp. 1-2) Based on its analysis of cited research, NEEA 
concluded that a no-load condition would effectively represent desktop 
computer off and sleep modes. (Id. at 2) NEEA encouraged DOE to require 
reporting of UPS no-load power draw separately from the current active 
mode efficiency because the no-load measurement would be a power value 
rather than a percent efficiency, and that such an approach would 
harmonize with DOE's no-load approach for EPSs, battery chargers, and 
ENERGY STAR's approach for UPSs. (NEEA, No. 5 at pp. 4-5)
    DOE recognizes the usefulness of a no-load power consumption metric 
to the industry and stakeholders, as evidenced by the inclusion of a 
no-load test in IEC 62040-3 Ed. 3.0, its inclusion as a reporting 
requirement for the ENERGY STAR UPS Specification Version 2.0, and 
comments from interested parties in response to the February 2021 RFI. 
For these reasons, DOE proposes to incorporate by reference the no-load 
test condition specified in section 6.4.1.10 of IEC 62040-3 Ed. 3.0 as 
a test in section 4.3.3 of appendices Y and Y1 that would be used as 
the basis for any representations of no-load power consumption. 
However, DOE notes that manufacturers will not be required to certify 
no-load power consumption to DOE as a result of this proposal because 
the energy conservation standards for UPSs do not have a no-load 
requirement at this time.
    DOE requests feedback on its proposal to add a method for measuring 
the power consumption of UPSs at no-load as a test to be used as the 
basis for any representations of no-load power consumption.

F. Reference Test Load

    DOE's test procedure refers to the 25, 50, 75, and 100-percent 
loads as ``reference test loads.'' In general, test loads for testing 
consumer electronics can be either linear \24\ or non-linear \25\ in 
nature.
---------------------------------------------------------------------------

    \24\ IEC 62040-3 Ed 3.0 defines a linear load as a load wherein 
the load impedance is a constant.
    \25\ IEC 62040-3 Ed 3.0 defines a non-linear load as a load 
wherein the load impedance is a variable dependent on other 
parameters, such as voltage or time.
---------------------------------------------------------------------------

    While IEC 62040-3 Ed. 2.0 provides a definition for reference test 
load,\26\ it does not explicitly address whether such a test load is 
linear or non-linear in nature. Section 2.24 of appendices Y and Y1 
defines ``reference test load'' as a load or condition with a power 
factor of greater than 0.99 in which the AC output socket of the UPS 
delivers the active power (W) for which the UPS is rated. By specifying 
a power factor requirement of greater than 0.99, DOE's

[[Page 798]]

current definition necessitates the use of a test load that is both 
linear and resistive.
---------------------------------------------------------------------------

    \26\ IEC 62040-3 Ed. 2.0 defines ``reference test load'' as a 
load or condition in which the output of the UPS delivers the active 
power (W) for which the UPS is rated.
---------------------------------------------------------------------------

    In response to the February 2022 RFI, NEEA recommended that to 
improve the representativeness of the UPS test procedure, DOE should 
require active mode testing employing the non-linear load specified in 
Annex E of IEC 62040-3 Ed. 3.0. NEEA stated that nearly all UPS loads 
are non-linear (i.e., non-resistive) and have a power factor of less 
than one. NEEA explained that these non-linear loads increase current 
flows through the UPS, resulting in more losses and producing more 
heat. NEEA stated that manufacturers design UPSs to account for these 
types of loads, but that DOE's test procedure does not currently 
require non-linear loads in its efficiency measurements. (NEEA, No. 5 
at p. 6)
    Section D.2 in Annex D of IEC 62040-3 Ed. 3.0 explains that the 
diversity of types of load equipment and their relevant characteristics 
are always changing with technology. For this reason, the UPS output 
performance is characterized by loading with passive reference loads to 
simulate, as far as practical, the expected load types, but it cannot 
be taken that these load types are totally representative of the actual 
load equipment in a given application. The UPS industry has generally 
specified UPS output characteristics under conditions of linear 
loading, i.e., resistive or resistive/inductive. The effect on the 
output of the UPS by non-linear loads both in steady state and dynamic 
is, in many cases, to cause deviation from the output characteristic 
specified by the manufacturer/supplier where these are quoted under 
linear load conditions.
    While DOE recognizes that loads protected by UPSs can be non-
linear, the use of non-linear loads for testing may create certain 
challenges or difficulties in meeting the specified test conditions, as 
described within section D.2 of IEC 62040-3 Ed. 3.0. This suggests that 
testing with non-linear loads may produce results that are less 
repeatable or reproducible than testing with linear loads. DOE has no 
information, nor have commenters provided any information, about how 
the use of non-linear loads for UPS testing may affect repeatability, 
reproducibility, or test burden. As a result, DOE is not proposing the 
use of non-linear test loads for testing UPSs at this time.

G. Error Corrections

    At the time of the February 2022 RFI, paragraph (a) of section 
4.2.1 of appendices Y and Y1, ``UPS Operating Mode Conditions,'' stated 
that 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 [emphasis added] possible input dependency, 
followed by VI and then VFI.
    NEMA stated that specifying the ``lowest'' possible input 
dependency is a typographical error, and that VFD represents the 
highest possible input dependency rather than the lowest. (NEMA, No. 2 
at p. 3) In a correcting amendment published May 11, 2022, DOE 
acknowledged that the text in paragraph (a) of section 4.2.1 of 
appendix Y erroneously identifies VFD as the lowest input dependency, 
whereas it is in fact the highest input dependency as identified in the 
referenced Annex J.2 of IEC 62040-3 Ed 2.0. 87 FR 28755, 28755. DOE 
corrected this error in the text by replacing the erroneous word 
``lowest'' with ``highest.'' Id. As a result, DOE is not proposing any 
changes to that corrected text in this NOPR.

H. Test Procedure Costs and Harmonization

1. Test Procedure Costs and Impact
    EPCA requires that test procedures proposed by DOE not be unduly 
burdensome to conduct. (42 U.S.C. 6293(b)(3)) In this NOPR, DOE 
proposes to amend the existing test procedure for UPSs by updating the 
industry standard incorporated by reference to its latest version, 
updating definitions consistent with the latest version of the industry 
standard, and introducing an optional test for measuring the power 
consumption of UPSs at no-load conditions. DOE has tentatively 
determined that these proposed amendments would not be unduly 
burdensome for manufacturers to conduct.
    The proposed update to the latest version of the industry standard 
would not change the method of testing UPSs, but rather would only make 
non-substantive changes, such as section renumbering. The proposed 
amendments to harmonize certain definitions with the industry standard 
would not change the scope of products currently subject to the DOE 
test procedure or energy conservation standards. And the proposed test 
procedure for measuring the power consumption of UPSs at no-load 
conditions would not be required for demonstrating compliance with 
standards. Therefore, the proposed amendments will not alter the 
measured energy efficiency or energy use of UPSs. Manufacturers will be 
able to rely on data generated under the current test procedure. 
Further, the proposed changes would not require the purchase of 
additional equipment or increase test burden, and consequently would 
not impact testing costs. If manufacturers elected to continue to make 
representations or begin making representations regarding UPS power 
consumption at no-load conditions, they may need to retest the standby 
power portion of the test procedure for their UPS model. DOE estimates 
that this retest would cost approximately $1,700 per unit if the test 
is conducted by a third-party lab and substantially less if done by the 
manufacturer themselves. However, as stated previously, any 
representations from such a retest would not be required for 
demonstrating compliance with standards.
2. Harmonization With Industry Standards
    DOE's established practice is to adopt relevant industry standards 
as DOE test procedures unless such methodology would be unduly 
burdensome to conduct or would not produce test results that reflect 
the energy efficiency, energy use, water use (as specified in EPCA), or 
estimated operating costs of that product during a representative 
average use cycle or period of use. Section 8(c) of appendix A of 10 
CFR part 430 subpart C. In cases where the industry standard does not 
meet EPCA statutory criteria for test procedures, DOE will make 
modifications through the rulemaking process to these standards as the 
DOE test procedure.
    The test procedure for UPSs at appendices Y and Y1 currently 
incorporates by reference IEC 62040-3 Ed. 2.0 regarding test setup, 
input and output power measurement, and the optional determination of 
UPS architecture. DOE is proposing to incorporate by reference the 
latest version of this industry standard (i.e., IEC 62040-3 Ed. 3.0). 
Additional discussion of this proposed update is provided in section 
III.B of this document.
    DOE requests comment on the benefits and burdens of the proposed 
updates and additions to the industry standard referenced in the test 
procedure for UPSs.

I. Compliance Date

    EPCA prescribes that, if DOE amends a test procedure, all 
representations of energy efficiency and energy use, including those 
made on marketing materials and product labels, must be

[[Page 799]]

made in accordance with that amended test procedure, beginning 180 days 
after publication of such a test procedure final rule in the Federal 
Register. (42 U.S.C. 6293(c)(2))
    If DOE were to publish an amended test procedure, EPCA provides an 
allowance for individual manufacturers to petition DOE for an extension 
of the 180-day period if the manufacturer may experience undue hardship 
in meeting the deadline. (42 U.S.C. 6293(c)(3)) To receive such an 
extension, petitions must be filed with DOE no later than 60 days 
before the end of the 180-day period and must detail how the 
manufacturer will experience undue hardship. (Id.)
    DOE also recognizes that the publication of two separate final 
rules (the September 2022 Final Rule amending the test procedure for 
battery chargers that are not UPSs and a potential future test 
procedure final rule for UPSs, if DOE were to publish an amended test 
procedure) amending the battery charger test procedures at appendix Y 
could cause confusion as to what version of these appendices is 
required to be used when making a representation. A further 
complication is that the September 2022 Final Rule created a new test 
procedure at appendix Y1 that expanded the scope of the battery charger 
test method and established a new multi-metric approach for all battery 
chargers other than UPSs. Manufacturers will be required to continue to 
use the amended test procedure in appendix Y until the compliance date 
of amended energy conservation standards for battery chargers 
established by an energy conservation standard final rule at some point 
in the future. Only upon the compliance date of amended energy 
conservation standards for battery chargers will manufacturers be 
required to begin using the test procedure in appendix Y1.
    The September 2022 Final Rule amended appendix Y requiring 
manufacturers of battery chargers to use this recently updated version 
beginning March 7, 2023. While the sections in appendix Y that apply to 
UPSs remained unchanged by the September 2022 Final Rule, UPS 
manufacturers are required to use the version of appendix Y, as 
modified by the September 2022 Final Rule, beginning on March 7, 2023. 
Because there are no differences in how a UPS is tested between the two 
versions of appendix Y, DOE tentatively concludes that it would be 
preferable to refer to the same version of the Appendix (as finalized 
by the September 2022 Final Rule) for testing both battery chargers and 
UPSs, even though the UPS testing provisions remain unchanged. DOE also 
concludes that presenting these various compliance dates and references 
to different versions of the appendices in a tabular format would be 
more effective. Accordingly, in this NOPR, DOE is proposing to update 
the notes section at the beginning of appendices Y and Y1 to include a 
table that clearly identifies the appropriate appendix reference and 
compliance dates for each product.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

    Executive Order (``E.O.'') 12866, ``Regulatory Planning and 
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving 
Regulation and Regulatory Review,'' 76 FR 3821 (Jan. 21, 2011), 
requires agencies, to the extent permitted by law, to (1) propose or 
adopt a regulation only upon a reasoned determination that its benefits 
justify its costs (recognizing that some benefits and costs are 
difficult to quantify); (2) tailor regulations to impose the least 
burden on society, consistent with obtaining regulatory objectives, 
taking into account, among other things, and to the extent practicable, 
the costs of cumulative regulations; (3) select, in choosing among 
alternative regulatory approaches, those approaches that maximize net 
benefits (including potential economic, environmental, public health 
and safety, and other advantages; distributive impacts; and equity); 
(4) to the extent feasible, specify performance objectives, rather than 
specifying the behavior or manner of compliance that regulated entities 
must adopt; and (5) identify and assess available alternatives to 
direct regulation, including providing economic incentives to encourage 
the desired behavior, such as user fees or marketable permits, or 
providing information upon which choices can be made by the public. DOE 
emphasizes as well that E.O. 13563 requires agencies to use the best 
available techniques to quantify anticipated present and future 
benefits and costs as accurately as possible. In its guidance, the 
Office of Information and Regulatory Affairs (``OIRA'') in the Office 
of Management and Budget (``OMB'') has emphasized that such techniques 
may include identifying changing future compliance costs that might 
result from technological innovation or anticipated behavioral changes. 
For the reasons stated in the preamble, this proposed regulatory action 
is consistent with these principles.
    Section 6(a) of E.O. 12866 also requires agencies to submit 
``significant regulatory actions'' to OIRA for review. OIRA has 
determined that this proposed regulatory action does not constitute a 
``significant regulatory action'' under section 3(f) of E.O. 12866. 
Accordingly, this action was not submitted to OIRA for review under 
E.O. 12866.

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 (``IRFA'') 
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 website: www.energy.gov/gc/office-general-counsel. DOE 
reviewed this proposed rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003.
    For manufacturers of UPSs, the Small Business Administration 
(``SBA'') has set a size threshold, which defines those entities 
classified as ``small businesses'' for the purposes of the statute. DOE 
used the SBA's small business size standards to determine whether any 
small entities would be subject to the requirements of the rule. See 13 
CFR part 121. The size standards are listed by the North American 
Industry Classification System (``NAICS'') code and industry 
description and are available at www.sba.gov/document/support--table-size-standards. Manufacturing of UPSs is classified under NAICS 335999, 
``All Other Miscellaneous Electrical Equipment and Component 
Manufacturing.'' The SBA sets a threshold of 500 employees or less for 
an entity to be considered as a small business for this category.
    To estimate the number small businesses that manufacture UPSs 
impacted by this rulemaking, DOE conducted a survey using information 
from DOE's Compliance Certification Database and previous rulemakings. 
DOE used information from these

[[Page 800]]

sources to create a list of companies that potentially manufacture or 
sell UPSs. DOE screened out companies that do not offer products 
covered by this rulemaking, do not meet the definition of a ``small 
business,'' or are foreign owned and operated. DOE identified five 
companies that are small businesses manufacturing UPSs covered by this 
rulemaking.
    However, DOE has tentatively concluded that the proposed updates to 
DOE's test procedure for UPSs do not involve substantive changes to the 
test setup and methodology and will not pose any additional test burden 
or additional test costs for any UPS manufacturers, large or small.
    Therefore, DOE tentatively concludes that the impacts of the test 
procedure amendments proposed in this NOPR would not have a 
``significant economic impact on a substantial number of small 
entities,'' and that the preparation of an IRFA is not warranted. DOE 
will transmit the certification and supporting statement of factual 
basis to the Chief Counsel for Advocacy of the Small Business 
Administration for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of UPSs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment, including UPSs. (See 
generally 10 CFR part 429.) The collection-of-information requirement 
for the certification and recordkeeping is subject to review and 
approval by OMB under the Paperwork Reduction Act (``PRA''). This 
requirement has been approved by OMB under OMB control number 1910-
1400. Public reporting burden for the certification is estimated to 
average 35 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    DOE is not proposing to amend the certification or reporting 
requirements for UPSs in this NOPR. Instead, DOE may consider proposals 
to amend the certification requirements and reporting for UPSs under a 
separate rulemaking regarding appliance and equipment certification. 
DOE will address changes to OMB Control Number 1910-1400 at that time, 
as necessary.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this NOPR, 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 proposed 
rule falls into a class of actions that are categorically excluded from 
review under the National Environmental Policy Act of 1969 (42 U.S.C. 
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021. 
Specifically, DOE has determined that adopting test procedures for 
measuring energy efficiency of consumer products and industrial 
equipment is consistent with activities identified in 10 CFR part 1021, 
appendix A to subpart D, A5 and A6. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 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.

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. Publc 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))

[[Page 801]]

The UMRA also requires a Federal agency to develop an effective process 
to permit timely input by elected officers of State, local, and Tribal 
governments on a proposed ``significant intergovernmental mandate,'' 
and requires an agency plan for giving notice and opportunity for 
timely input to potentially affected small governments before 
establishing any requirements that might significantly or uniquely 
affect small governments. On March 18, 1997, DOE published a statement 
of policy on its process for intergovernmental consultation under UMRA. 
62 FR 12820; also available at www.energy.gov/gc/office-general-counsel. DOE examined this 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 proposed 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 proposed 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). Pursuant 
to OMB Memorandum M-19-15, Improving Implementation of the Information 
Quality Act (April 24, 2019), DOE published updated guidelines which 
are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this 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.
    The proposed modifications to the test procedure for UPSs would 
incorporate testing methods contained in certain sections of the 
following commercial standard: IEC 62040-3 Ed. 3.0. DOE has evaluated 
this standard and is unable to conclude whether it fully complies with 
the requirements of section 32(b) of the FEAA (i.e., whether it was 
developed in a manner that fully provides for public participation, 
comment, and review.) DOE will consult with both the Attorney General 
and the Chairman of the FTC concerning the impact of this test 
procedure on competition, prior to prescribing a final rule.

M. Description of Materials Incorporated by Reference

    IEC 62040-3 Ed. 3.0, ``Uninterruptible power systems (UPS)--Part 3: 
Method of specifying the performance and test requirements'' is an 
industry-accepted test standard that specifies methods for measuring 
the efficiency of a UPS. The test procedure proposed in this NOPR 
updates all references from the previous edition (IEC 62040-3 Ed. 2.0) 
to this most current edition (IEC 62040-3 Ed. 3.0). IEC 62040-3 Ed. 3.0 
is readily available from ANSI at webstore.ansi.org.
    In this NOPR, DOE proposes to add a new section 0 (Incorporation by 
Reference) to both appendices Y and Y1 listing the applicable sections 
of IEC 62040-3 Ed. 3.0 that are referenced by the test procedure.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar meeting are listed in the DATES 
section at the beginning of this document. Webinar registration 
information, participant instructions, and information about the 
capabilities available to webinar participants will be published on 
DOE's website:www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines. 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 an interest in the topics addressed in this 
document, or

[[Page 802]]

who is representative of a group or class of persons that has an 
interest in these issues, may request an opportunity to make an oral 
presentation at the webinar. Such persons may submit to 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this proposed rulemaking and the topics 
they wish to discuss. Such persons should also provide a daytime 
telephone number where they can be reached.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar/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 webinar/public meeting. There shall not be 
discussion of proprietary information, costs or prices, market share, 
or other commercial matters regulated by U.S. anti-trust laws. After 
the webinar/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 webinar will be conducted in an informal, conference style. DOE 
will present a general overview of the topics addressed in this 
proposed rulemaking, allow time for prepared general statements by 
participants, and encourage all interested parties to share their views 
on issues affecting this proposed 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. 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 proposed 
rulemaking. The official conducting the webinar/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 webinar/public meeting.
    A transcript of the webinar will be included in the docket, which 
can be viewed as described in the Docket section at the beginning of 
this document. 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.\27\ Interested parties may submit comments, data, and other 
information using any of the methods described in the ADDRESSES section 
at the beginning of this document.
---------------------------------------------------------------------------

    \27\ DOE has historically provided a 75-day comment period for 
test procedure NOPRs pursuant to the North American Free Trade 
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M. 
289 (1993); the North American Free Trade Agreement Implementation 
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended 
at 10 U.S.C.A. 2576) (1993) (``NAFTA Implementation Act''); and 
Executive Order 12889, ``Implementation of the North American Free 
Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However, on July 1, 
2020, the Agreement between the United States of America, the United 
Mexican States, and the United Canadian States (``USMCA''), Nov. 30, 
2018, 134 Stat. 11 (i.e., the successor to NAFTA), went into effect, 
and Congress's action in replacing NAFTA through the USMCA 
Implementation Act, 19 U.S.C. 4501 et seq. (2020), implies the 
repeal of E.O. 12889 and its 75-day comment period requirement for 
technical regulations. Thus, the controlling laws are EPCA and the 
USMCA Implementation Act. Consistent with EPCA's public comment 
period requirements for consumer products, the USMCA only requires a 
minimum comment period of 60 days. Consequently, DOE now provides a 
60-day public comment period for test procedure NOPRs.
---------------------------------------------------------------------------

    Submitting comments via www.regulations.gov. The 
www.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 itself 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. Otherwise, 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 www.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 www.regulations.gov cannot be claimed as CBI. Comments received 
through the website 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 www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery/courier, or postal 
mail. Comments and documents submitted via email, hand delivery/
courier, or postal mail also will be posted to www.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 in 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 postal mail 
or hand delivery/courier, please provide all items on a CD, if 
feasible, in which case it is not necessary to submit printed copies. 
No telefacsimiles (``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

[[Page 803]]

format. Provide documents that are not secured, written in English, and 
that are 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. Pursuant 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 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. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    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 its proposal to harmonize its 
definition of a UPS with that of IEC 62040-3 Edition 3.0. Specifically, 
DOE requests comment on its tentative determination that such 
harmonization would not affect the current scope of the UPS test 
procedure.
    (2) DOE requests comment on its proposal to update its definitions 
of THD, VFD UPS, VI UPS, and VFI UPC to harmonize with the IEC 62040-3 
Ed 3.0 definitions.
    (3) DOE requests comment on its proposal to incorporate by 
reference IEC 62040-3 Ed 3.0 and to update references in appendices Y 
and Y1 accordingly to reflect the renumbering of sections in IEC 62040-
3 Ed 3.0.
    (4) DOE requests comment on its proposal to not modify the existing 
loading points, weighting, or the overall efficiency metric in the 
current UPS test procedure.
    (5) DOE requests feedback on its proposal to add a method for 
measuring the power consumption of UPSs at no-load as a test to be used 
as the basis for any representations of no-load power consumption.
    (6) DOE requests comment on the benefits and burdens of the 
proposed updates and additions to the industry standard referenced in 
the test procedure for UPSs.
    Additionally, DOE welcomes comments on other issues relevant to the 
conduct of this rulemaking that may not specifically be identified in 
this document.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking and announcement of public meeting.

List of Subjects in 10 CFR Part 430

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

Signing Authority

    This document of the Department of Energy was signed on December 
16, 2022, by Francisco Alejandro Moreno, Acting Assistant Secretary for 
Energy Efficiency and Renewable Energy, pursuant to delegated authority 
from the Secretary of Energy. That document with the original signature 
and date is maintained by DOE. For administrative purposes only, and in 
compliance with requirements of the Office of the Federal Register, the 
undersigned DOE Federal Register Liaison Officer has been authorized to 
sign and submit the document in electronic format for publication, as 
an official document of the Department of Energy. This administrative 
process in no way alters the legal effect of this document upon 
publication in the Federal Register.

    Signed in Washington, DC, on December 19, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
part 430 of Chapter II of Title 10, Code of Federal Regulations as set 
forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

0
2. Amend Sec.  430.3 by revising paragraph (p)(4) to read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (p) * * *
    (4) IEC Standard 62040-3 Ed. 3.0 (``IEC 62040-3 Ed. 3.0'') 
Uninterruptible power systems (UPS)--Part 3: Method of specifying the 
performance and test requirements, Edition 3.0, 2011-03; IBR approved 
for appendices Y and Y1 to subpart B.
* * * * *
0
3. Appendix Y to subpart B of part 430 is amended by:
0
a. Revising the introductory note;
0
b. Adding section 0;
0
c. Revising sections 2.26, 2.27, 2.27.1, 2.27.2, and 2.27.3;
0
d. Revising the introductory text of section 4.2.1;
0
e. Revising the introductory text of section 4.3.3; and
0
f. Adding section 4.3.3(c).
    The revisions and additions read as follows:

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

    Note 1: For all battery chargers, including UPSs, compliance 
with the relevant standard in Sec.  430.32(z) or any representation 
must be based upon results generated under the corresponding 
appendix listed in the table below:


------------------------------------------------------------------------
                                   Battery chargers
                                    other than UPSs           UPS
------------------------------------------------------------------------
Before March 7, 2023............  Use appendix Y as   Use appendix Y as
                                   codified on         codified on
                                   either January 1,   either January 1,
                                   2022, or October    2022, or October
                                   11, 2022.           11, 2022.
After March 7, 2023 and Before    Use appendix Y as   Use appendix Y as
 [date 30 days after UPS TP FR     codified on         codified on
 Publication].                     October 11, 2022.   October 11, 2022.

[[Page 804]]

 
After [date 30 days after UPS TP  Use appendix Y as   Use appendix Y as
 FR Publication] and Before        codified on         codified on
 [date 180 days after UPS TP FR    either October      either October
 publication].                     11, 2022, or        11, 2022, or
                                   [date 30 days       [date 30 days
                                   after UPS TP FR     after UPS TP FR
                                   publication].       publication].
After [date 180 days after UPS    Use appendix Y as   Use appendix Y as
 TP FR publication] and Before     codified on [date   codified on [date
 compliance date of any new or     30 days after UPS   30 days after UPS
 amended standards published any   TP FR               TP FR
 time after September 8, 2022.     publication].       publication].
After compliance date of any new  Use appendix Y1...  Use appendix Y1.
 or amended standards published
 any time after September 8,
 2022.
------------------------------------------------------------------------

0. Incorporation by Reference

    DOE incorporated by reference in Sec.  430.3 the entire test 
standard for IEC 62040-3 Ed. 3.0. However, only enumerated 
provisions of this standard are applicable to this appendix, as 
follows. In cases in which there is a conflict, the language of the 
test procedure in this appendix takes precedence over the referenced 
test standard.
    0.1 IEC 62040-3 Ed. 3.0:
    (a) Section 3.5 Specified values;
    (b) Section 3.5.49 total harmonic distortion
    (c) 5, Electrical conditions, performance and declared values;
    (d) Section 5, Electrical conditions, performance and declared 
values;
    (e) Section 5.2, UPS input specification, as specified in 
section 2.27.2 of this appendix;
    (f) Section 5.2.1--Conditions for normal mode of operation; 
Clause 5.2.1.a;
    (g) Clause 5.2.1.b;
    (h) Section 5.2.2--Conditions to be declared by the 
manufacturer; Clause 5.2.2.k;
    (i) Clause 5.2.2.l;
    (j) Clause 5.2.2.m;
    (k) Section 5.3, UPS output specification; Section 5.3.2, 
Characteristics to be declared by the manufacturer; Clause 5.3.2.b;
    (l) Clause 5.3.2.c;
    (m) Clause 5.3.2.d;
    (n) Clause 5.3.2.e;
    (o) Section 5.3.4.2, Input dependency AAA;
    (p) Section 6.2, Routine test procedure; Section 6.2.2, 
Electrical; Section 6.2.2.4, No load, as specified in section 
4.3.3(c) of this appendix;
    (q) Section 6.2.2.7, AC input failure, as specified in Note to 
section 2.27.1 of this appendix;
    (r) Section 6.4, Type test procedure (electrical); Section 
6.4.1, Input--AC input power compatibility; Section 6.4.1.2, Steady 
state input voltage tolerance and VI input independency, as 
specified in Note to section 2.27.3;
    (s) Section 6.4.1.3, Combined input voltage/frequency tolerance 
and VFI input independency, as specified in Note to section 2.27.2 
of this appendix;
    (t) Annex G--AC input power failure--Test method
    (u) Annex J--UPS efficiency and no load losses--Methods of 
measurement, as specified in sections 4.2.1, and 4.3.3 of this 
appendix.
    0.2 [Reserved]
* * * * *
    2.26. Total harmonic distortion (THD), expressed as a percent, 
is as defined in section 3.5.49 of IEC 62040-3 Ed. 3.0.
    2.27. Uninterruptible power supply or UPS means a battery 
charger consisting of a combination of convertors, switches and 
energy storage devices (such as batteries), constituting a power 
system for maintaining continuity of load power in case of AC input 
power failure.
    2.27.1. Voltage and frequency dependent UPS or VFD UPS means a 
UPS that protects the load from a complete loss of AC input power. 
The output of a VFD UPS is dependent on changes in voltage and 
frequency of the AC input power and is not intended to provide 
additional voltage corrective functions, such as those arising from 
the use of tapped transformers.

    Note to 2.27.1: VFD input dependency may be verified by 
performing the AC input failure test in section 6.2.2.7 of IEC 
62040-3 Ed. 3.0 and observing that, at a minimum, the UPS switches 
from normal mode of operation to battery power while the input is 
interrupted.

    2.27.2. Voltage and frequency independent UPS or VFI UPS means a 
UPS that is independent of AC input power voltage and frequency 
variations as specified and declared in section 5.2 of IEC 62040-3 
Ed. 3.0 and shall protect the load against adverse effects from such 
variations without discharging the energy storage device.

    Note to 2.27.2: VFI input dependency may be verified by 
performing the combined input voltage/frequency tolerance and VFI 
input independency test in section 6.4.1.3 of IEC 62040-3 Ed. 3.0 
respectively and observing that, at a minimum, the UPS produces an 
output voltage and frequency within the specified output range when 
the input voltage is varied by 10% of the rated input 
voltage and the input frequency is varied by 2% of the 
rated input frequency.

    2.27.3. Voltage independent UPS or VI UPS means a UPS that 
protects the load as required for VFD and also from (a) under-
voltage applied continuously to the input, and (b) over-voltage 
applied continuously to the input. The output voltage of a VI UPS 
shall remain within declared voltage limits (provided by voltage 
corrective functions, such as those arising from the use of active 
and/or passive circuits). The output voltage tolerance band shall be 
narrower than the input voltage tolerance band.

    Note to 2.27.3: VI input dependency may be verified by 
performing the steady state input voltage tolerance test in section 
6.4.1.2 of IEC 62040-3 Ed. 3.0 and ensuring that the UPS remains in 
normal mode with the output voltage within the specified output 
range when the input voltage is varied by 10% of the 
rated input voltage.

* * * * *
    4.2.1. General Setup
    Configure the UPS according to Annex J.2 of IEC 62040-3 Ed. 3.0 
with the following additional requirements:
* * * * *
    4.3.3. Power Measurements and Efficiency Calculations
    Measure input and output power of the UUT according to section 
J.3 of Annex J of IEC 62040-3 Ed. 3.0, or measure the input and 
output energy of the UUT for efficiency calculations with the 
following exceptions:
* * * * *
    (c) For voluntary representations of no-load losses, measure the 
active power at the UPS input port with no load applied in 
accordance with section 6.2.2.4 of IEC 62040-3 Ed. 3.0.
* * * * *
0
4. Appendix Y1 to subpart B of part 430 is amended by:
0
a. Revising the introductory note;
0
b. Adding section 0;
0
c. Revising sections 2.27, 2.28, 2.28.1, 2.28.2, and 2.28.3;
0
d. Revising the introductory text of section 4.2.1;
0
e. Revising the introductory text of section 4.3.3; and
0
f. Adding section 4.3.3(c).
    The revisions and additions read as follows:

Appendix Y1 to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Battery Chargers

    Note 1: For all battery chargers, including UPSs, compliance 
with the relevant standard in Sec.  430.32(z) or any representation 
must be based upon results generated under the corresponding 
appendix listed in the table below:


[[Page 805]]



------------------------------------------------------------------------
                                   Battery chargers
                                    other than UPSs           UPS
------------------------------------------------------------------------
Before March 7, 2023............  Use appendix Y as   Use appendix Y as
                                   codified on         codified on
                                   either January 1,   either January 1,
                                   2022, or October    2022, or October
                                   11, 2022.           11, 2022.
After March 7, 2023 and Before    Use appendix Y as   Use appendix Y as
 [date 30 days after UPS TP FR     codified on         codified on
 Publication].                     October 11, 2022.   October 11, 2022.
After [date 30 days after UPS TP  Use appendix Y as   Use appendix Y as
 FR Publication] and Before        codified on         codified on
 [date 180 days after UPS TP FR    either October      either October
 publication].                     11, 2022, or        11, 2022, or
                                   [date 30 days       [date 30 days
                                   after UPS TP FR     after UPS TP FR
                                   publication].       publication].
After [date 180 days after UPS    Use appendix Y as   Use appendix Y as
 TP FR publication] and Before     codified on [date   codified on [date
 compliance date of any new or     30 days after UPS   30 days after UPS
 amended standards published any   TP FR               TP FR
 time after September 8, 2022.     publication].       publication].
After compliance date of any new  Use appendix Y1...  Use appendix Y1.
 or amended standards published
 any time after September 8,
 2022.
------------------------------------------------------------------------
Manufacturers may begin to use appendix Y1 to certify compliance with
  any new or amended energy conservation standards, published after
  September 8, 2022, prior to the applicable compliance date for those
  standards.

0. Incorporation by Reference

    DOE incorporated by reference in Sec.  430.3 the entire test 
standard for IEC 62040-3 Ed. 3.0. However, only enumerated 
provisions of this standard are applicable to this appendix, as 
follows. In cases in which there is a conflict, the language of the 
test procedure in this appendix takes precedence over the referenced 
test standard.
    0.1 IEC 62040-3 Ed. 3.0:
    (a) Section 3.5 Specified values;
    (b) Section 3.5.49 total harmonic distortion;
    (c) 5, Electrical conditions, performance and declared values;
    (d) Section 5, Electrical conditions, performance and declared 
values;
    (e) Section 5.2, UPS input specification, as specified in 
section 2.28.2 of this appendix;
    (f) Section 5.2.1--Conditions for normal mode of operation; 
Clause 5.2.1.a;
    (g) Clause 5.2.1.b;
    (h) Section 5.2.2--Conditions to be declared by the 
manufacturer; Clause 5.2.2.k;
    (i) Clause 5.2.2.l;
    (j) Clause 5.2.2.m;
    (k) Section 5.3, UPS output specification; Section 5.3.2, 
Characteristics to be declared by the manufacturer; Clause 5.3.2.b;
    (l) Clause 5.3.2.c;
    (m) Clause 5.3.2.d;
    (n) Clause 5.3.2.e;
    (o) Section 5.3.4.2, Input dependency AAA;
    (p) Section 6.2, Routine test procedure; Section 6.2.2, 
Electrical; Section 6.2.2.4, No load, as specified in section 
4.3.3(c) of this appendix;
    (q) Section 6.2.2.7, AC input failure, as specified in Note to 
section 2.28.1 of this appendix;
    (r) Section 6.4, Type test procedure (electrical); Section 
6.4.1, Input--AC input power compatibility; Section 6.4.1.2, Steady 
state input voltage tolerance and VI input independency, as 
specified in Note to section 2.28.3 of this appendix;
    (s) Section 6.4.1.3, Combined input voltage/frequency tolerance 
and VFI input independency, as specified in Note to section 2.28.2 
of this appendix;
    (t) Annex G--AC input power failure--Test method
    (u) Annex J--UPS efficiency and no load losses--Methods of 
measurement, as specified in sections 4.2.1 and 4.3.2 of this 
appendix.
    0.2 [Reserved]
* * * * *
    2.27. Total harmonic distortion (THD), expressed as a percent, 
is as defined in section 3.5.49 of IEC 62040-3 Ed. 3.0.
    2.28. Uninterruptible power supply or UPS means a battery 
charger consisting of a combination of convertors, switches and 
energy storage devices (such as batteries), constituting a power 
system for maintaining continuity of load power in case of AC input 
power failure.
    2.28.1. Voltage and frequency dependent UPS or VFD UPS means a 
UPS that protects the load from a complete loss of AC input power. 
The output of a VFD UPS is dependent on changes in voltage and 
frequency of the AC input power and is not intended to provide 
additional voltage corrective functions, such as those arising from 
the use of tapped transformers.

    Note to 2.28.1: VFD input dependency may be verified by 
performing the AC input failure test in section 6.2.2.7 of IEC 
62040-3 Ed. 3.0 and observing that, at a minimum, the UPS switches 
from normal mode of operation to battery power while the input is 
interrupted.

    2.28.2. Voltage and frequency independent UPS or VFI UPS means a 
UPS that is independent of AC input power voltage and frequency 
variations as specified and declared in section 5.2 of IEC 62040-3 
Ed. 3.0 and shall protect the load against adverse effects from such 
variations without discharging the energy storage device.

    Note to 2.28.2: VFI input dependency may be verified by 
performing the combined input voltage/frequency tolerance and VFI 
input independency test in section 6.4.1.3 of IEC 62040-3 Ed. 3.0 
respectively and observing that, at a minimum, the UPS produces an 
output voltage and frequency within the specified output range when 
the input voltage is varied by 10% of the rated input 
voltage and the input frequency is varied by 2% of the 
rated input frequency.

    2.28.3. Voltage independent UPS or VI UPS means a UPS that 
protects the load as required for VFD and also from (a) under-
voltage applied continuously to the input, and (b) over-voltage 
applied continuously to the input. The output voltage of a VI UPS 
shall remain within declared voltage limits (provided by voltage 
corrective functions, such as those arising from the use of active 
and/or passive circuits). The output voltage tolerance band shall be 
narrower than the input voltage tolerance band.

    Note to 2.28.3: VI input dependency may be verified by 
performing the steady state input voltage tolerance test in section 
6.4.1.2 of IEC 62040-3 Ed. 3.0 and ensuring that the UPS remains in 
normal mode with the output voltage within the specified output 
range when the input voltage is varied by 10% of the 
rated input voltage.

* * * * *
    4.2.1. General Setup
    Configure the UPS according to Annex J.2 of IEC 62040-3 Ed. 3.0 
with the following additional requirements:
* * * * *
    4.3.3. Power Measurements and Efficiency Calculations
    Measure input and output power of the UUT according to section 
J.3 of Annex J of IEC 62040-3 Ed. 3.0, or measure the input and 
output energy of the UUT for efficiency calculations with the 
following exceptions:
* * * * *
    (c) For voluntary representations of no-load losses, measure the 
active power at the UPS input port with no load applied in 
accordance with section 6.2.2.4 of IEC 62040-3 Ed. 3.0.

[FR Doc. 2022-27881 Filed 1-4-23; 8:45 am]
BILLING CODE 6450-01-P