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Energy Storage Systems:

UL-1973 Certification and
Battery Components
Energy Storage Systems: UL-1973 Certification and Battery Components

Contents
03 Introduction

04 ESS Components

06 Evaluating Safety of Battery Management Systems

07 UL-1973

08 Evaluation Triggers

10 The Cost of Noncompliance

11 Field Evaluations/Special Inspections

11 Regional and State Differences

11 Expanding to EU Markets

11 How TÜV SÜD Can Help

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 Energy Storage Systems: UL-1973 Certification and Battery Components

Energy Storage Systems: UL-1973

Certification and Battery

Thinking about Introduction

A broad range of safety requirements apply to potentially
meeting ESS volatile energy storage systems (ESS). These regulations can
requirements early in affect both an ESS in its entirety and the different
components from which it is assembled, including hardware
the design phase can and software.
prevent costly Thinking about meeting ESS requirements early in the design
phase can prevent costly redesigns and product launch
redesigns and delays in the future. Designing for a standard instead of trying
to fix inconsistencies later is always ideal for saving time and
product launch effort.
delays in the future. UL-1973 is one of the main standards governing a wide range
of ESS solutions used across numerous use cases. A key
component of this standard is the functional safety analysis
and testing of battery systems and components for energy
storage hardware and software.

What is ESS?
There is increasing pressure globally to expand the availability
of energy from renewable sources such as wind and solar
power. This, in turn, has led to a rise in demand for ESS like
long-term, large-volume batteries, which can reliably store
such energy for later use.
ESS deployment is gaining ground as the cost of lithium-ion
batteries continues decreasing due to newer designs and
more efficient manufacturing. Silicon and lead acid batteries
also continue to be options for ESS deployment.
Increases in new designs and storage capability mean that
the safety aspects of batteries and battery systems must be
evaluated to reduce the risk of product failure and associated
dangerous consequences. Even with integrated safety
features in place, unanticipated breaches in material or
failures in software regulating battery management systems
can be hazardous.

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Energy Storage Systems: UL-1973 Certification and Battery Components

ESS Components
Some of the most important components involved in an ESS are the battery management
system (BMS), the power conversion system (PCS) and the energy management system
(EMS).

The battery bank

Individual battery cells are basically electrochemical devices, converting stored chemical energy
into electrical energy. Each battery cell contains a positive terminal (cathode) and a negative
terminal (anode.) Ions are prompted to move between the electrodes and terminals by an
electrolyte, allowing the current to flow out of the cell.
Because a single battery cell is not enough to meet the needs of an ESS, a fixed number of
multiple battery cells are typically combined in a frame and connected in either parallel or series
format to form a battery module or pack. Multiple modules can be combined to form a tray, and
multiple trays can be stacked into a rack. A complete battery assembly is commonly referred to
as a battery system.

The battery management system

A battery management system can be integrated at different stages, depending on the
expandability of the battery pack and the requirements of the intended installation. Its primary
function is to protect the battery from damage across a comprehensive range of operating
conditions.
The BMS constantly monitors critical information about the status of the battery bank by
obtaining data from individual cells, modules, trays and/or racks. This information is analyzed,
stored and used to direct maintenance and provide runtime estimates for a battery asset.
The system ensures that the battery cells are operating within their prescribed windows, and
tracks conditions such as charge levels, internal cell temperature and ambient battery enclosure
temperature. It may even help coordinate external mechanical measures such as HVAC settings.
Additionally, the BMS keeps battery cells balanced at the same state of charge. Imbalances
across terminals can cause individual cells to become stressed, leading to a reduction in the
battery’s overall life cycle.
BMS software is typically designed by each manufacturer to apply directly to their own products,
and won’t be able to follow a standardized programming language or communicate with external
devices. This lack of universalization makes UL-1973 and other standards even more important.

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 Energy Storage Systems: UL-1973 Certification and Battery Components

The power conversion system

The power conversion system, also known as a power conditioning system or battery hybrid
inverter, operates bidirectionally to convert power from DC to AC and vice versa. This allows an
ESS to charge or discharge as needed at any given moment.
To operate correctly, the PCS must be informed of the available battery capacity in real time to
avoid overcharging. This data can be delivered via metered information on-site or through
external signals, so the hybrid inverter knows when to charge and discharge the system for
optimal results and safety.

The energy management system

The energy management system is responsible for determining when and how to enable system
outputs. It handles the controls and coordination of all ESS dispatch activity by communicating in
real time with the PCS and BMS.
To deliver high-level coordination of multiple on-site components, the EMS often references
external data points. This enables it to stay aware of BMS and PCS limitations and recognize
when and how the ESS can be used most effectively. The EMS weighs long-term cycling and
capacity degradation and employs algorithms to optimize system management.

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Energy Storage Systems: UL-1973 Certification and Battery Components

Evaluating Safety of Battery

Management Systems
The achievement of ANSI/CAN/UL-1973 certification can demonstrate a company’s commitment to
providing safe products and solutions in the energy management space. This specific UL certification
confirms that the product(s) in question have been tested per applicable safety standards, in
compliance with regulations governing the North American market.

Safety has a primary focus for batteries and its relation to different components involved, such
as the:
• Battery pack
• Battery module
• Battery cell
• Battery Management System, and its safety protection features

The BMS is of particular interest, given its role in monitoring and controlling the battery’s state
and performance across parameters such as:
• Voltage and undervoltage protection
• High and low temperature protection
• Over current protection
• Design faults
• Human Error
• Software related failures
• Faults due to environmental stress
Various components are used to control these processes, and each one must comply with
UL-1973 in order to be used in the end product.
Ultimately, manufacturers must perform validation on the BMS hardware and software, as well as
any additional components serving critical safety protection purposes. This can require multiple
levels of testing, such as:
• Abuse testing
• Electrical testing
• Mechanical testing
• Environmental testing
• Reliability of Monitoring functions
• Single Fault Conditions
• Battery Over-Temperature
• Battery Under-Temperature
• Battery Over-Current (Charge)
• Battery Over-Current (Discharge)

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 Energy Storage Systems: UL-1973 Certification and Battery Components

UL-1973

The ANSI/CAN/UL-1973 standard covers battery systems used as energy storage for:
• Stationary applications (such as photovoltaics and wind turbine storage)
• Uninterruptible power supply (UPS) applications
• Light electric rail (LER) applications
• Stationary rail applications (e.g., rail substations)
UL-1973 is the ultimate standard for certification of stationary systems as well as the various
component packs and modules for stationary system installations.
This standard requires a safety analysis, such as a failure modes and effects (FMEA) assessment, and
includes functional safety requirements for electronics and software components identified as
critical to the battery system’s safety.
Additionally, UL-1973 requires a propagation test in some cases: A good example of this stipulation in
action is lithium-ion technologies, because of the potential for defects in production that can cause
catastrophic failures in the field.
These requirements were developed based on historical understanding of battery safety, data from
the prior evaluation of unique stationary battery systems and various inputs from the standard’s
technical panel members, including:
• Manufacturers
• Users of the technologies
• Government entities
• Authorities with jurisdiction
• Other stakeholder organizations

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Energy Storage Systems: UL-1973 Certification and Battery Components

Evaluation Triggers
Depending on the design and the complexity of the product, existing safety requirements may require
manufacturers to evaluate the safety systems of their battery products to specific standards and
regulations.
Depending how much work has the manufacturer done prior to testing and certification of the actual
battery pack or battery system, challenges may arise in relation to untested or uncertified
components that were used to create the BMS or safety protection system. This can trigger an
evaluation. During that process, multiple components may be revealed to need individual testing and
certification. An evaluation for software or hardware may require documentation from the
manufacturers that fabricated the individual components.
Below is the comparison between different functional safety standards referenced by UL 1973:

IEC 61508 IEC/UL/CSA 60730-1 UL 991 / UL 1998

Annex H

Functional Safety Safety Integrity Level

Control Class A, B, C Software Class 1, 2
Rating (SIL)

Systematic Integrity Processes, methods,

Processes, methods, Processes, methods,
(Addressing techniques required
techniques required techniques required
Systematic Faults) depending on SIL

Architectural
Single or dual Single or dual
Requirements Hardware fault
channel depending channel depending
(Addressing Random tolerance (HFT)
on Control Class on Software Class
Faults)
Measures and
Fault Detection Periodic self-test or Periodic self-test or
techniques provide
Requirements functional test can functional test can
diagnostic coverage
(Addressing Random be used depending be used depending
(Safe Failure
Faults) on Control Class on Software Class
Fraction)
SIL achieved
Reliability Computational
by leveraging Qualitative analysis
(Addressing Random or Demonstrated
component failure only
Faults) method
rates, HFT, and SFF

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 Energy Storage Systems: UL-1973 Certification and Battery Components

Evaluation Triggers (cont.)

If some of the requirements cannot be met according to the standard because component
documentation is lacking, it can create serious issues for manufacturers. They may even be forced to
consider redesigning the system.
Here are some Functional Safety Documentation Requirements that manufacturers should have:

Product & Operational description System configurations that apply to the

certification
• Description of all modes of operation

Safety Analysis List of ‘identified’ hazard(s) to be included in

Safety Requirements
System Architecture and Safety Design
Software Safety Requirement and Software
Design
System Testing
Software Development Procedures
the safety design.
• Result of Fault Tree analysis
• Failure modes for any safety-critical I/O
operation (FMEA)
Safety Requirements that apply to the
product (combined hardware and software)
as derived from the safety functions and from
the hazard analysis.
Functional block diagram
• All major equipment components.
• Safety design
• Fault reaction time(s)
• Schematic and wiring diagrams
List of safety requirements that apply to the
software
• Details showing how the software design
covers all software safety requirements
and design requirements from the
standard
Test results covering each of the main test
areas
• Test plan covering all software with test
procedures and test cases
Procedures for software development

Software Tools List of software tools

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Energy Storage Systems: UL-1973 Certification and Battery Components

The Cost of Noncompliance

If UL-1973 requirements aren’t met by product(s) falling under the regulation’s purview, such items
cannot go on the market in North America. This can lead to a loss of trust from consumers and
stakeholders, who perceive the lack of attention to safety as a significant failure by the manufacturer.
Additionally, testing might need to be performed to validate safety protection circuit.

Hardware Assessment UL 991 Example Test Plan

Section Requirement
7 Failure-Mode and Effect Analysis

8 Electrical Supervision

9 Operational Verification

10 Overvoltage and Undervoltage Tests

11 Power Supply Voltage Dips & Short Interruption Test

12 Transient Overvoltage Test

13 Voltage Variation Test

Environmental Stress Tests 14.2-7 Electrical Fast Transient/Burst Test

• Electronics undergo a series of
environmental stress tests 14.8 Radiated EMI Test

• Safety functions are verified for 14.10 Keying Interference Test

correct operation before, during, and
after each of the environmnetal 15.1-4 Electrostatic Discharge Test
stress tests
15.5 Electric Field Test
• Only of the safety function still works
correctly, or the product transitions 15.6 Magnetic Field Test
to a safe state, are the test results
considered compliant 16 Composite Operational and Thermal Cycling Test

18 Thermal Cycling Test

19 Humidity Test

20 Dust Test

21 Vibration Test

22 Jarring Test

24 Computational Investigation

26 Power Cycling Tests - General

27 Overload Test

28 Endurance Tests

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 Energy Storage Systems: UL-1973 Certification and Battery Components

Field Evaluations/Special Inspections

For larger installations, field evaluations or on-site testing may be required. This field evaluation or
special certification stands in for full UL-1973 standardization when there is no way to complete a
regular certification.
This is common when a large energy storage system is already installed in a location already but
must be evaluated. A qualified inspector must examine that specific system in the field and place the
certification safety mark on the system once it’s deemed to have met UL-1973 requirements.

Regional and State Differences

There are also variances in ESS certification depending on region. An inspector in New York might
certify a system according to UL-1973 while also taking local regulations into account. In California,
the same system might not pass - even if it meets the basic UL-1973 standard - due to California’s
more stringent local regulations.
This is why it’s critical for manufacturers planning to market their products in regions other than North
America to understand local regulations when designing, or they may run into major delays and need
to start from scratch in mid-production.

Expanding to EU Markets
There is additional testing and certification required for ESS intended to be marked in the EU. While
some of the mandatory testing related to functional safety is similar to what North American
manufacturers will have encountered, European regulations tend to be more complex overall.
For example, the European Functional Safety standard IEC 61508 is considerably more complicated
than similar North American regulations. Organizations hoping to enter the EU market must design
with such standards in mind.

How TÜV SÜD Can Help

TÜV SÜD provides a range of ESS testing and certification services. These services benefit ESS end
users, such as electrical utility companies and commercial businesses, ESS producers, and supply
chain companies that provide producers with components and systems such as inverters, solar
panels, and batteries.
Our team of ESS technical professionals bring decades of relevant experience to help you meet your
ESS challenges. They are knowledgeable about the latest developments in regulations and standards
relevant to ESS and will work with you to successfully navigate the applicable testing and
certification process.
TÜV SÜD’s testing laboratories are A2LA andISO/IEC 17025-accredited and are fully equipped to
evaluate your ESS against the requirements of all applicable standards, including NFPA 70, NFPA 855,
UL 9540, UL 9540A, UL 1973, UL 1642, and IEC 62619.
TÜV SÜD’s broad expertise, combined with global support, provides a single-source solution to ESS
producers, suppliers, and end users.

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TÜV SÜD in North America

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