[Federal Register Volume 78, Number 15 (Wednesday, January 23, 2013)]
[Proposed Rules]
[Pages 5075-5113]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-01065]



[[Page 5075]]

Vol. 78

Wednesday,

No. 15

January 23, 2013

Part V





 Department of Energy





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10 CFR Parts 429 and 430





 Energy Conservation Program: Test Procedure for Set-Top Boxes; 
Proposed Rule

Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / 
Proposed Rules

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2012-BT-TP-0046]
RIN 1904-AC52


Energy Conservation Program: Test Procedure for Set-Top Boxes

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

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to establish a 
new test procedure for set-top boxes (STBs). The proposed test 
procedure describes the methods for measuring the power consumption of 
STBs in the on, sleep (commonly known as standby mode), and off modes. 
Further, an annual energy consumption (AEC) metric is proposed to 
calculate the annualized energy consumption of the STB based on its 
power consumption in the different modes of operation. DOE has 
tentatively identified that the test methods described in the draft 
Consumer Electronics Association (CEA) standard, CEA-2043, ``Set-top 
Box (STB) Power Measurement'' are appropriate to use as a basis for 
developing the test procedure for STBs. The draft CEA-2043 standard 
specifies the test methods for determining the power consumption of a 
STB in the on, sleep, and off modes. The proposed test procedure in 
this rulemaking is primarily based on the draft CEA-2043 standard, 
which was issued as an email ballot to the members of the CEA working 
group developing the standard for a vote on November 27, 2012.

DATES: DOE will hold a public meeting on Wednesday, February 27, 2013, 
from 9 a.m. to 4 p.m., in Washington, DC. The meeting will also be 
broadcast as a webinar. See section V, ``Public Participation,'' for 
webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants.
    DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking (NOPR) before and after the public 
meeting, but no later than April 8, 2013. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., 
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at 
(202) 586-2945. Please note that foreign nationals visiting DOE 
Headquarters are subject to advance security screening procedures. Any 
foreign national wishing to participate in the meeting should advise 
DOE as soon as possible by contacting Ms. Edwards to initiate the 
necessary procedures. Please also note that those wishing to bring 
laptops into the Forrestal Building will be required to obtain a 
property pass. Visitors should avoid bringing laptops, or allow an 
extra 45 minutes. Persons can attend the public meeting via webinar. 
For more information, refer to the Public Participation section near 
the end of this notice.
    Any comments submitted must identify the NOPR for the Test 
Procedure for Set-top Boxes, and provide docket number EERE-2012-BT-TP-
0046 and/or regulatory information number (RIN) number 1904-AC52. 
Comments may be submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: SetTopBox2012TP0046@ee.doe.gov. Include the docket number 
and/or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
CD. It is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD. It is not necessary to include printed 
copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document 
(Public Participation).
    Docket: The docket is available for review at regulations.gov, 
including Federal Register notices, framework documents, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials. All documents in the docket are listed in the 
regulations.gov index. However, not all documents listed in the index 
may be publicly available, such as information that is exempt from 
public disclosure.
    A link to the docket Web page can be found at: http://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/33. This Web page will contain a link to the docket for this 
notice on the regulations.gov site. The regulations.gov Web page will 
contain simple instructions on how to access all documents, including 
public comments, in the docket. See section V for information on how to 
submit comments through regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: Mr. Jeremy Dommu, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 586-9870. Email: 
Jeremy.Dommu@ee.doe.gov.
    Ms. Celia Sher, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6122. Email: Celia.Sher@hq.doe.gov.

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion
    A. Effective Date and Compliance Date of Test Procedure
    B. Products Covered by This Rulemaking
    C. Industry Set-Top Box Test Procedures
    D. Definitions
    1. Definition of Set-Top Boxes
    2. Basic Model of an STB
    3. Manufacturer of a Set-Top Box
    4. Other Definitions
    5. Definitions of Power Modes
    E. Test Conditions
    1. Set-Top Box Settings
    2. Test Room
    F. Test Setup
    1. Test Voltage
    2. Measurement Accuracy
    3. Test Equipment
    4. True Power Wattmeter
    5. Calibration
    6. Network Setup
    G. Test Method and Measurements
    1. Set-Top Box Warm-Up
    2. Test Configuration Information
    3. Test Conduct
    4. Calculation of Average Power Consumption
    5. On Mode Power Measurement
    6. Sleep Mode Power Measurement
    7. Off Mode Power Measurement
    8. Sleep to On Mode Transition Time Measurement
    H. Sampling Plan
    I. Method To Calculate the Energy Consumption of a Set-Top Box
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act

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    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
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 
6291, et seq.; ``EPCA'' or, ``the Act'') sets forth a variety of 
provisions designed to improve energy efficiency. (All references to 
EPCA refer to the statute as amended through the Energy Independence 
and Security Act of 2007 (EISA 2007), Public Law 110-140 (Dec. 19, 
2007)). Part A of Title III of EPCA (42 U.S.C. 6291-6309) established 
the ``Energy Conservation Program for Consumer Products Other Than 
Automobiles,'' which covers consumer products and certain commercial 
products (hereafter referred to as ``covered products'').\1\ In 
addition to specifying a list of covered residential and commercial 
products, EPCA contains provisions that enable the Secretary of Energy 
to classify additional types of consumer products as covered products. 
(42 U.S.C. 6292(a)(20)) For a given product to be classified as a 
covered product, the Secretary must determine that:
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    \1\ For editorial reasons, upon codification in the U.S. code, 
Part B was re-designated Part A.
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    Classifying the product as a covered product is necessary or 
appropriate to carry out the purposes of EPCA; and
    The average annual per-household energy use by products of such 
type is likely to exceed 100kWh per year. (42 U.S.C. 6292(b)(1))
    Under this authority, DOE published a notice of proposed 
determination (the 2011 proposed determination), that tentatively 
determined that STBs and network equipment qualify as a covered product 
because classifying products of such type as a covered product is 
necessary or appropriate to carry out the purposes of EPCA, and the 
average U.S. household energy use for STBs and network equipment is 
likely to exceed 100 kilowatt-hours (kWh) per year. 76 FR at 34914 
(June 15, 2011).
    DOE may prescribe test procedures for any product it classifies as 
a ``covered product.'' (42 U.S.C. 6293(b)) Under EPCA, the ``Energy 
Conservation Program for Consumer Products Other Than Automobiles'' 
consists essentially of four parts: (1) Testing, (2) labeling, (3) 
Federal energy conservation standards, and (4) certification and 
enforcement procedures. The testing requirements consist of test 
procedures that manufacturers of covered products must use (1) as the 
basis for certifying to DOE that their products comply with the 
applicable energy conservation standards adopted under EPCA, and (2) 
for making representations about the efficiency of those products. 
Similarly, DOE must use these test requirements to determine whether 
the products comply with any relevant standards promulgated under EPCA.

General Test Procedure Rulemaking Process

    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending a test procedure for 
covered products. EPCA provides in relevant part that any test 
procedure prescribed or amended under this section shall be reasonably 
designed to produce test results which measure energy efficiency, 
energy use or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use and shall 
not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish a proposed test procedure and offer the 
public an opportunity to present oral and written comments on it. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1)) If DOE determines that the amended test procedure would 
alter the measured efficiency of a covered product, DOE must amend the 
applicable energy conservation standard accordingly. (42 U.S.C. 
6293(e)(2))
    EPCA specifies that if the Secretary determines that a test 
procedure should be prescribed for a covered product, a proposed test 
procedure should be published in the Federal Register and interested 
persons should be provided an opportunity to present oral and written 
data, views, and arguments with respect to the proposed procedure. (42 
U.S.C. 6293(b)(2)) Since DOE has tentatively determined that STBs are a 
covered product and a test procedure is required to determine the 
energy conservation standard for this product, a test procedure 
rulemaking is being undertaken to provide a test procedure to measure 
the energy consumption of STBs.
    In addition to proposing a test procedure to measure the energy 
consumption of STBs in on mode, DOE is proposing test procedures to 
measure the energy consumption of STBs in sleep mode (an industry term 
that refers to standby mode) and off mode. This is consistent with EISA 
2007, which amended EPCA to require DOE to implement a standby and off 
mode energy consumption measurement, if technically feasible, in new or 
existing test procedures that do not have this measurement. Otherwise, 
DOE must prescribe a separate standby and off mode energy test 
procedure, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) EISA 
2007 also requires any final rule establishing or revising energy 
conservation standards for a covered product, adopted after July 1, 
2010, to incorporate standby mode and off mode energy use into a single 
amended or new standard, if feasible. (42 U.S.C. 6295(gg)(3)(A)) DOE 
recognizes that the standby and off mode conditions of operation apply 
to STBs, the product covered by this proposed rule. Therefore, in 
response to this requirement, DOE proposes to adopt provisions in the 
test procedure to measure the energy use in standby and off mode for 
STBs. Because `sleep' is the term used by industry for indicating that 
a STB is in standby mode, DOE is using the term `sleep mode' to refer 
to standby mode in today's NOPR. The proposed approach for measuring 
the power consumption in sleep and off modes is discussed in sections 
III.G.6 and III.G.7, respectively.
    In June 2011, DOE published the 2011 proposed determination that 
tentatively determined that STBs and network equipment meet the 
criteria for covered products. 76 FR at 34914 (June 15, 2011). If DOE 
issues a final determination that STBs are a covered product, it may 
establish a test procedure and energy conservation standard for STBs. 
To initiate this rulemaking process, DOE published a request for 
information (RFI) document on December 16, 2011 (the 2011 RFI), 
requesting stakeholders to provide technical information regarding 
various test procedures used by industry to measure the energy 
consumption of

[[Page 5078]]

STBs and network equipment. 76 FR at 78174. Such industry test 
procedures included the ENERGY STAR[supreg] program's specification, 
ENERGY STAR Program Requirements for Set-top Boxes, Version 3.0 (ENERGY 
STAR specification),\2\ Consumer Electronics Association's (CEA) 
standards ANSI \3\/CEA-2013-A \4\ and ANSI/CEA-2022,\5\ Canadian 
Standards Association's (CSA) test procedure C380-08,\6\ as well as 
International Electrochemical Commission's (IEC) standard IEC 
62087.\7\. Id. In the 2011 RFI, DOE also solicited comments on the key 
issues affecting the development of a new test procedure. Today's NOPR 
has been developed based on DOE's research and analysis of existing and 
draft versions of industry standards, that prescribe test procedures 
for testing STBs, as well as stakeholder responses to the key issues 
discussed in the 2011 RFI.
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    \2\ ENERGY STAR[supreg] Program Requirements for Set-top Box 
Service Providers. Version 3.0. www.energystar.gov/ia/partners/product_specs/program_reqs/STB_Version_3_Program_Requirements_Service_Providers.pdf?38d7-750d.
    \3\ American National Standards Institute.
    \4\ ANSI/CEA Standard. ``Digital STB Background Power 
Consumption.'' ANSI/CEA-2013-A. July 2007.
    \5\ ANSI/CEA Standard. ``Digital STB Active Power Consumption 
Measurement.'' ANSI/CEA-2022. July 2007.
    \6\ Canadian Standards Association. ``Test Procedure for the 
Measurement of Energy Consumption of Set-top Boxes (STBs).'' C380-
08. August 2008.
    \7\ International Standard. ``Methods of measurement for the 
power consumption of audio, video and related equipment.'' Edition 
3.0 2011-04. Section 8.
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    In this NOPR, DOE proposes measurement tests to determine the power 
consumption of STBs in the on, sleep, and off modes. Pursuant to the 
National Technology Transfer and Advancement Act of 1995 (Pub. L. 104-
113), which directs Federal agencies to use voluntary consensus 
standards in lieu of Government standards whenever possible, DOE 
proposes a STB test procedure that has primarily been developed from 
the draft CEA-2043 \8\ standard, currently under development by a CEA 
working group that includes representatives of the STB industry. This 
draft standard provides the definitions, measurement criteria, and test 
procedures for testing the specific modes of STBs. DOE also proposes a 
method for determining the ratings of power consumption in the on, 
sleep, and off modes for a given basic model of STB, which includes the 
number of units that must be tested and the statistical tolerances. 
Finally, DOE proposes a metric to calculate the annual energy 
consumption (AEC) of the STB. DOE's proposed metric combines the rated 
values of STB power consumption in each mode of operation with the 
expected time spent in the respective mode. The time weightings used to 
calculate the typical energy consumption (TEC) in the ENERGY STAR 
specification were used as a starting point to develop the time 
weightings for the AEC metric proposed in today's NOPR.
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    \8\ Draft CEA-2043. ``Set-top Box (STB) Power Measurement.'' The 
version referenced in today's NOPR was issued as an email ballot, 
for vote, to the R04WG13 working group on November 27, 2012.
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II. Summary of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes: (1) A test procedure for determining 
the energy consumption of STBs in the on, sleep, and off modes; (2) a 
method for determining the ratings of power consumption in the on, 
sleep, and off modes for a given basic model of STB; and, (3) a metric 
to calculate the AEC of the STB. DOE also proposes to exclude network 
equipment from the scope of this rulemaking, which is discussed in 
further detail in section III.B of this NOPR.
    DOE's proposed test procedure for determining the energy 
consumption of the STB is largely developed from the draft CEA-2043 
standard. The draft CEA-2043 standard was issued as an email ballot to 
CEA's working group members for vote on November 27, 2012. The standard 
specifies the definitions, measurement criteria, and the test methods 
for determining the power consumption of the STB in different modes of 
operation. DOE reviewed several approaches for testing the power 
consumption of STBs and determined that the test procedure specified in 
the draft CEA-2043 standard is representative and generates repeatable 
power consumption values. This determination was made based on 
discussions with industry experts as well as through DOE's internal 
research and analysis. Additionally, DOE has proposed some 
modifications to the test procedure specified in the draft CEA-2043 
standard as discussed in sections III.D through III.G.
    DOE's proposed test procedure for determining the power consumption 
of a STB in on mode is comprised of two main tests: (1) An on (watch 
television (TV)) test that records the power consumption when a channel 
is viewed; and, (2) a multi-stream test that evaluates different 
functions of multi-streaming STBs depending on its capabilities, such 
as channel viewing, recording, and playback. The proposed tests for on 
mode are discussed in further detail in section III.G.5 of the NOPR. 
For testing the power consumption of the STB in sleep mode, DOE 
developed the test procedure from the sleep mode test procedure 
specified in the draft CEA-2043 standard. Sleep mode as defined in the 
CEA standard meets the definition of standby mode as outlined in EISA 
2007. (42 U.S.C. 6295(gg)) As discussed in Authority and Background, 
section I of this NOPR, DOE proposes to use the industry term `sleep' 
mode in place of standby for this test. For the sleep mode test, DOE 
proposes two tests: (1) a manual sleep test in which the STB enters 
sleep mode through a user action on the remote control; and, (2) an 
auto power down (APD) test in which the STB automatically enters sleep 
mode after a period of user inaction. For both sleep mode tests, an 
average power measurement over a period of at least 4 hours and up to a 
maximum of 8 hours is recorded as discussed in section III.G.6. For 
testing the power consumption of the STB in off mode, DOE proposes an 
average measurement over 2 minutes after the STB has been placed in off 
mode. The proposed off mode measurement test is discussed in further 
detail in section III.G.7.
    In addition to proposing measurement tests to measure the power 
consumption of the STB in the different modes of operation, DOE is 
proposing a sampling plan that requires testing of at least two STBs 
for each basic model, to determine the power consumption in each mode 
of operation and the application of tolerances for determining the 
rating of a given basic model, as discussed in further detail in 
section III.H.
    Finally, DOE is proposing a metric to calculate the AEC of the STB 
from the rated power consumption in the on, sleep, and off modes of 
operation. The proposed metric combines the rated power consumption 
values of the STB in the different modes of operation into a single 
metric based on the expected time spent in each mode of operation such 
that it is representative of the STB's annual energy use. The time 
weightings used to calculate TEC in the ENERGY STAR specification were 
used as the starting point to develop the time weightings that are 
proposed for the AEC metric. DOE believes that the proposed test 
procedure will accurately represent the energy consumption of STBs by 
capturing the AEC in on, sleep, and off modes. The AEC metric is 
discussed in further detail in section III.I.

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III. Discussion

A. Effective Date and Compliance Date of Test Procedure

    If adopted, the effective date for this test procedure would be 30 
days after publication of the test procedure final rule in the Federal 
Register. At that time, the new metrics and any other measure of energy 
consumption which depends on these metrics may be represented pursuant 
to the final rule. Compliance with the new test procedure and sampling 
plans for representation purposes would be required 180 days after the 
date of publication of the test procedure final rule. On or after that 
date, any such representations, including those made on marketing 
materials, Web sites (including qualification with a voluntary or State 
program), and product labels shall be based upon results generated 
under the final test procedure proposed to be included in Appendix AA 
to Subpart B of 10 CFR Part 430 as well as the sampling plan in 10 CFR 
Part 429.
    The final DOE test procedure shall be utilized or referenced by all 
other organizations, such as U.S. Environmental Protection Agency (EPA) 
for its ENERGY STAR specification for STBs, the California Energy 
Commission (CEC) and any other state regulation providing for the 
disclosure of information with respect to any measure of STB energy 
consumption once the test procedure becomes effective 30 days after the 
test procedure final rule publication. The final rule will supersede 
any existing state test procedure for STBs to the extent the state 
regulation requires testing in a manner other than that required by the 
final DOE test procedure. (42 U.S.C. 6297(a)(1))

B. Products Covered by This Rulemaking

    In the 2011 RFI, DOE requested comment on the scope of the STB and 
network equipment test procedure rulemaking. DOE received some comments 
that network equipment should not be included in the scope of the 
rulemaking, and received some comments in favor of developing a Federal 
test procedure for STBs. Verizon commented that DOE should not identify 
network equipment as a covered product and should clarify that only 
``traditional, dedicated'' STBs would be subject to any test procedure 
or energy conservation standard. (Verizon, No. 0032 at p. 5) \9\ The 
Consortium for Energy Efficiency (CEE) commented that they support the 
development of a test procedure for STBs that accurately measures STB 
energy consumption by simulating actual usage by consumers. (CEE, No. 
0028 at p. 1) Further, the joint response of DISH Network L.L.C. 
(DISH), EchoStar Technologies L.L.C. (EchoStar), and DIRECTV L.L.C. 
(DIRECTV), commented that this rulemaking should be limited to STBs and 
should not include network equipment. (DISH, EchoStar, DIRECTV, No. 
0030 at p. 1) The National Cable & Telecommunications Association 
(NCTA) commented that if DOE proceeded with a rulemaking, the scope of 
this rulemaking should include STBs that are defined as any non-gateway 
devices. (NCTA, No. 0034 at p. 43) DOE also received a comment in 
support of a test procedure for network equipment. The joint comment 
response of Appliance Standards Awareness Project (ASAP), American 
Council for an Energy-Efficient Economy (ACEEE), and Consumer 
Federation of America (CFA) encouraged DOE to continue investigating 
both network equipment and STBs in order to realize energy savings for 
consumers as well as other economic and environmental benefits. (ASAP, 
ACEEE, CFA, No. 0025 at p. 1-5) These commenters did not recommend any 
specific test method for testing network equipment but suggested that 
DOE should look into existing test methods that were identified during 
the development of the ENERGY STAR specification for small network 
equipment.\10\ (ASAP, ACEEE, CFA, No. 0025 at p. 3)
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    \9\ A notation in this form provides a reference for information 
that is in the docket of DOE's rulemaking to develop a test 
procedure for STBs (Docket No. EERE-2011-BT-NOA-0067), which is 
maintained at www.regulations.gov. This notation indicates that the 
statement preceding the reference is document number [0032 as 
assigned in regulations.gov] in the docket for the STB test 
procedure rulemaking, and appears at page 5 of that document.
    \10\ ENERGY STAR Small Network Equipment. ``Draft Specification 
Framework Document.'' October 2009. www.energystar.gov/ia/partners/prod_development/new_specs/downloads/small_network_equip/SNE_Draft_Framework_V1_0.pdf?ecf4-2f7e.
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    Based on stakeholder feedback, DOE proposes to exclude network 
equipment from the scope of this NOPR and focus exclusively on STBs. 
DOE proposes that the scope of today's proposed rulemaking is to 
capture the energy consumption of STBs that primarily receive and 
output video content. DOE proposes to define STBs as described in 
section III.D.1 below. DOE will continue to evaluate the need for a 
test procedure for network equipment.
    In addition to receiving comments on the overall scope of coverage 
of today's NOPR, DOE received comments about the exclusion of specific 
models of STBs. Sidley Austin LLP (Sidley Austin) commented that during 
a meeting between DOE, AT&T, and Sidley Austin on March 7, 2012, AT&T 
representatives suggested that AT&T's U-verse[supreg] receivers should 
not be covered under any test procedure or energy conversation standard 
rulemaking because the product already uses less power than other STBs 
and does not meet the annual 100 kWh statutory threshold set by EPCA 
for covered products to be regulated. (Sidley Austin LLP, No. 0024 at 
p. 2) Sidley Austin further commented that AT&T's U-verse[supreg] is 
one of the most energy efficient STBs on the market and is continuing 
to improve its efficiency. (Sidley Austin LLP, No. 0024 at p. 2) Next, 
AT&T commented that DOE should refrain from promulgating a test 
procedure or energy efficiency standard for Internet Protocol TV (IPTV) 
receivers because the energy use of IPTV STBs does not meet the 
statutory threshold for these boxes to be regulated. (AT&T, No. 0032 at 
p. 5) DOE considers that today's test procedure NOPR is applicable to 
any STB, including IPTV, as defined in section III.D.1 and will address 
the scope of coverage for any energy conservation standard during that 
rulemaking, if required.
    DOE also received several comments on the coverage of low noise 
block-downconverters (LNBs), auxiliary boxes, optical network terminals 
(ONTs), and standalone digital video recorders (DVRs). The Natural 
Resources Defense Council (NRDC) recommended including all of these 
products in the scope of this rulemaking. (NRDC, No. 0017 at p. 2) NRDC 
further commented that once ONTs are installed, they are not removed 
when service is terminated. If a customer switches to a service 
provider that does not require an ONT, this unit could continue drawing 
power without being used. (NRDC, No. 0017 at p. 2) Conversely, DISH, 
EchoStar, and DIRECTV commented that LNBs should not be included in the 
scope of this rulemaking. They commented that LNBs can consume varied 
power in different configurations. (DISH, EchoStar, DIRECTV, No. 0030 
at p. 5) Further, the outdoor unit (ODU) that consists of a receiving 
dish, LNB, and radio frequency (RF) switch would need to be specified 
in detail to test these units in a repeatable fashion. Finally, the 
power consumption of the ODU devices varies with weather and location. 
(DISH, EchoStar, DIRECTV, No. 0030 at p. 11)
    Because of the complexity associated with these equipment and the

[[Page 5080]]

significant operational differences from STBs, DOE does not propose to 
include LNBs, ONTs, ODUs, or other infrastructure devices that do not 
directly deliver TV signals to a consumer display to be in the scope of 
this rulemaking.
    DOE requests comment on focusing the scope of today's rulemaking to 
STBs and excluding network equipment. Further, DOE seeks additional 
information and comment related to the development of a test procedure 
for LNBs, ONTs, ODUs, or other infrastructure devices and the standard 
configuration in which these products should be tested.

C. Industry Set-Top Box Test Procedures

    While developing the proposed test procedure for STBs, DOE 
researched existing and draft test procedures that measure STB energy 
consumption, as discussed in the 2011 RFI. DOE received a comment from 
CEA stating that it should not duplicate the private sector's 
development of a consensus standard test procedure for measuring the 
power consumption of STBs. (CEA, No. 0031 at p. 3) DOE agrees with CEA 
and is proposing a test procedure for STBs that is largely based on 
standards accepted and developed by industry. The standards that were 
reviewed to develop this test procedure NOPR include the ENERGY STAR 
specification, CEA standards ANSI/CEA-2013A, ANSI/CEA-2022, the draft 
CEA-2043 standard, CSA test procedure C380-08, as well as IEC standard 
IEC 62087.
    The ENERGY STAR specification includes a test method for 
determining the power consumption of the STB in different modes of 
operation. The ENERGY STAR test method provides the test setup, test 
conduct, initialization requirements, and test procedures for testing 
the STB in many different modes of operation. These include, in the on 
mode: watching TV, recording to a DVR and removable media, and playing 
back recorded content from a DVR and removable media. In the sleep 
mode, the test procedures include: sleep mode, APD, and deep sleep. 
Finally, the ENERGY STAR test method also includes a method for testing 
a STB that has multi-room capability. The ENERGY STAR test method was 
developed based on the CSA test procedure, C380-08. DOE referred to 
some sections of the ENERGY STAR specification to develop today's NOPR, 
which are discussed in detail in sections III.D to III.I.
    The ANSI/CEA-2022 and ANSI/CEA-2013A provide an overview to 
determine the power consumption of STBs in the on, sleep and off modes, 
respectively. The standards do not contain detailed information about 
testing and setup for the different modes of operation. As discussed, 
CEA is also developing a new standard, CEA-2043, that is currently in 
draft form but will supersede CEA standards ANSI/CEA-2013A and ANSI/
CEA-2022 once it is published. Therefore, DOE did not refer to ANSI/
CEA-2013A and ANSI/CEA-2022 to develop today's proposed rule; instead 
it refers to the draft CEA-2043 standard.
    The CSA test procedure, C380-08, specifies test conditions and 
setup requirements that are also referenced in the ENERGY STAR 
specification and are the same as those specified in the draft CEA-2043 
standard. The C380-08 standard specifies test procedures for 
determining energy consumption in the on and sleep modes of operation, 
from which the ENERGY STAR specification was developed. Therefore, DOE 
does not reference this CSA test procedure in the NOPR because the 
information specified in the CSA test procedure is also included in the 
ENERGY STAR specification.
    IEC 62087 provides specification for testing the STB at different 
input signal levels and different input terminals depending on the type 
of the STB. The standard provides test procedures for determining power 
consumption in the on and sleep modes. In the on mode, IEC 62087 
specifies tests in the play, record, and multi-function (with single 
and multiple tuners) modes. In sleep mode, it specifies tests at the 
active high, active low, and passive modes. DOE refers to IEC 62087 to 
support some of its proposed requirements.
    DOE primarily focused on the draft CEA-2043 standard to develop the 
test procedure for STBs that is proposed in this NOPR. The draft CEA-
2043 standard specifies the test conditions and test setup at which 
power consumption of the STB should be measured. These include the 
modes of operation of the STB, test room and equipment requirements, 
and measurement tests for determining the power consumption in each 
mode of operation. DOE also referred to the ENERGY STAR specification 
to develop some of the proposed requirements, such as the AEC metric, 
that are not specified in the draft CEA-2043 standard. In review of 
CEA-2043, DOE found that CEA is a leading organization that connects 
consumer electronics manufacturers, retailers, and other interested 
parties to develop industry accepted electronics test procedures. The 
CEA Technology & Standards program is CEA's standards making body that 
is accredited by ANSI.\11\ CEA-2043 is being developed under the CEA 
R04 WG13 STB Energy Consumption working group, which falls under the 
CEA Technology & Standards program. DOE representatives have observed 
the development of CEA-2043, attended conference call meetings between 
STB manufacturers and energy advocates during draft revisions, and have 
been included on all notes and documentation from the CEA R04 WG13 STB 
Energy Consumption working group. Today's NOPR has primarily been 
developed using the draft version of the CEA-2043 standard that was 
issued as an email ballot to members of the working group for a vote on 
November 27, 2012. However, DOE is proposing some modifications, which 
are discussed in sections III.D through III.G.
---------------------------------------------------------------------------

    \11\ ``ANSI-Accredited Standard Developers.'' www.ansi.org/about_ansi/accredited_programs/overview.aspx?menuid=1.
---------------------------------------------------------------------------

    The draft version of the CEA-2043 standard was in a 30 day voting 
period that ended on December 28, 2012. Once the final CEA-2043 
standard is published, it will be available on CEA's Web site at http://www.ce.org/Standards/Standard-Listings.aspx. DOE requests comment on 
using the draft CEA-2043 standard as the basis for today's proposed 
test procedure for STBs.

D. Definitions

1. Definition of Set-Top Boxes
    Because there are no statutory definitions for STBs under EPCA 
currently, DOE proposes to develop a definition for STBs. Cisco 
commented that defining STBs as traditional STBs would capture only 
some of the ways in which video program is delivered and a broader 
definition that is designed to encompass all means by which a consumer 
could receive video signals from multichannel video programming 
distributors (MVPD) could inadvertently bring tablet computers, 
computers, gaming consoles, and smartphones under this regulation. 
(Cisco Systems, Inc., No. 0027 at p. 11) DOE understands these concerns 
and is proposing a definition that captures more than just traditional 
STBs, while mitigating the issues associated with a broader definition 
of STBs. The proposed definition would be included in 10 CFR Part 430.2 
and would define STBs as ``a device combining hardware components with 
software programming designed for the primary purpose of receiving 
television and related services from terrestrial, cable, satellite, 
broadband, or local networks, providing

[[Page 5081]]

video output using at least one direct video connection.''
    DOE also proposes to include a definition for direct video 
connection, in 10 CFR Part 430.2, as ``any connection type that is one 
of the following: High-Definition Multimedia Interface (HDMI), 
Component Video, S-Video, Composite Video, or any other video interface 
that may be used to output video content.''
    DOE's proposed definition of STBs is different from the definition 
specified in section 4 of the draft CEA-2043 standard. That standard 
defines a STB as ``a device that receives video content which is then 
delivered to a display device, recording device, or client''. DOE did 
not adopt CEA's definition in the NOPR because DOE believes the 
definition is vague and can include such devices in the scope of this 
rulemaking that are not, in fact, STBs. According to the definition 
specified in the draft CEA-2043 standard, any device that can receive 
video content and can deliver it to display device, recording device, 
or client is a STB. Under this definition, devices such as a smartphone 
could potentially be included under the scope. DOE believes these 
devices should not be included because the scope of today's rulemaking 
is to capture the energy use for those devices that primarily receive 
and output video content. Because the primary use of a device such as a 
smartphone or gaming console is not to output video content, today's 
test procedure would not make adequate energy representations of these 
products. DOE believes that smartphones do not meet the definition of a 
STB under today's proposed definition.
    DOE does not propose to use the definition specified in the draft 
CEA-2043 standard. Instead, DOE developed a definition for STBs that 
includes specific detail about the types of networks the device can 
receive video content from and the allowable output connections for 
delivering the video content. The types of networks from which content 
could be received--terrestrial, cable, satellite, broadband, or local 
networks--are all networks that are commonly used for STBs. In fact, 
STBs are often defined by their base type functionality, which 
generally includes the network type used. This information was also 
included in the definition for STBs in an older draft of the CEA-2043 
standard and DOE proposes to include it to add specificity to the STB 
definition. Additionally, DOE's proposed definition refers to a device 
that is manufactured when both the hardware components and the software 
is loaded on the device such that its primary purpose is receiving and 
outputting video. DOE believes it is important for the definition of a 
STB to include both software and hardware because the underlying 
hardware for a STB could look much like a general purpose computer, but 
the software added to such hardware distinguishes the unit allowing it 
to function as a STB. Further, the proposed DOE definition does not 
include specific devices to which the content is delivered, while the 
draft CEA-2043 definition specifies that the content is delivered to a 
display device, recording device, or client. In lieu of specifying the 
types of devices to which the content may be delivered, DOE's proposal 
specifies the types of video connections that may be used, since, at a 
minimum, a STB must deliver content to a video device. Including detail 
about the direct video connections that are permissible ensures that 
devices that do not primarily deliver content to a video device do not 
meet the proposed definition. For example, devices that receive and 
transmit information solely through a network interface and do not have 
a video output would not be considered a STB under DOE's proposed 
regulatory definition, but would be considered a STB if the draft CEA-
2043 standard's definition were adopted. DOE believes that today's 
proposed test procedure would not make appropriate representations of 
energy consumption for devices that do not provide a direct video 
output, and therefore, has proposed this definition to narrow the scope 
compared to the CEA-2043 standard.
    Finally, to further aid in defining the scope of coverage of this 
rulemaking, DOE proposes to include definitions for Component Video, 
Composite Video, HDMI, and S-Video in the test procedure. These terms 
are all used in the definition for direct video connection, which is 
used to define STBs. DOE proposes to define these terms in section 
430.2 of subpart A of 10 CFR part 430 as follows:
    Component Video: Component Video is a video display interface that 
meets the specification in CEA-770.3-D.
    Composite Video: Composite Video is a video display interface that 
uses a Radio Corporation of America (RCA) connection to transmit 
National Television System Committee (NTSC) analog video.
    HDMI: High-Definition Multimedia Interface or HDMI is an audio/
video interface that meets the specification in HDMI Specification 
Version 1.0.
    S-Video: S-Video is a video display interface that transmits analog 
video over two channels: luminance and color.
    For the definitions of Component Video and HDMI, DOE proposes to 
incorporate by reference two industry standards that are used to define 
these terms. Specifically, DOE proposes to define Component Video as a 
connection that meets the requirements found in CEA-770.3-D.\12\ For 
HDMI, DOE is proposing to define it as a connection that meets the 
requirements found in the HDMI Specification Version 1.0.\13\ DOE 
believes these industry standards provide the appropriate information 
for defining the Component Video and HDMI connections and has therefore 
incorporated these standards by reference in section 430.3 of Subpart A 
of 10 CFR Part 430.
---------------------------------------------------------------------------

    \12\ CEA Standard. ``High Definition TV Analog Component Video 
Interface.'' CEA-770.3-D. Approved February 2008.
    \13\ ``High-Definition Multimedia Interface Specification.'' 
Informational Version 1.0. Approved September 4, 2003.
---------------------------------------------------------------------------

    In the 2011 proposed determination, DOE proposed a definition for 
STBs and network equipment as ``a device whose principal function(s) 
are to receive television signals (including, but not limited to, over-
the-air, cable distribution system, and satellite signals) and deliver 
them to another consumer device, or to pass Internet Protocol traffic 
among various network interfaces.'' 76 FR at 34915 (June 15, 2011). DOE 
received several comments about this definition from stakeholders. The 
Northwest Energy Efficiency Alliance (NEEA) suggested a new definition 
for STBs that accounts for the fact that these devices serve a broader 
function than to simply relay TV signals. (EERE-2010-BT-DET-0040, NEEA, 
No. 0006 at p. 2) AT&T and the California Investor Owned Utilities (CA 
IOUs) commented that DOE should adopt the definition of STB that has 
been developed by the ENERGY STAR program because it is well known by 
industry. (EERE-2010-BT-DET-0040, AT&T, No. 0008 at p. 9) (EERE-2010-
BT-DET-0040, CA IOUs, No. 0011 at p. 2) Further, the Northeast Energy 
Efficiency Partnerships (NEEP) commented that STBs and network 
equipment should have a single definition because they perform similar 
functions. (EERE-2010-BT-DET-0040, NEEP, No. 0010 at p. 2) In contrast, 
the CA IOUs commented that separated definitions should be adopted for 
STBs and network equipment to explicitly describe the products covered. 
(EERE-2010-BT-DET-0040, CA IOUs, No. 0011 at p. 2) NCTA commented that 
STBs and network equipment vary too

[[Page 5082]]

much to fit under one definition and that network equipment should be 
dropped from the rulemaking. (EERE-2010-BT-DET-0040, NCTA, No. 0017 at 
p. 8, 22) NRDC commented that the part of the definition that states 
``the principal function(s) are to receive TV signals'' should be 
expanded because STBs receive more types of signals than TV signals. 
(EERE-2010-BT-DET-0040, NRDC, No. 0012 at p. 5) CEA commented that DOE 
should adopt the definition that will be specified in the new CEA 
standard and should compare the proposed STB definition to the Federal 
Communications Commission's (FCC) definition of ``navigation device'' 
to avoid defining the same product category differently. (EERE-2010-BT-
DET-0040, CEA, No. 0014 at p. 3) CEA also commented that the definition 
of STBs should not include a device with gateway functionality, such as 
devices that terminate the service provider or IP network for multiple 
devices in a home, because such a definition would combine video and 
non-video related devices and would include many different products 
such as networking switch, hub, Wireless-Fidelity (Wi-Fi) \14\ access 
point, Ethernet extending devices, and possibly the entire category of 
home automation, security and smart grid products. (EERE-2010-BT-DET-
0040, CEA, No. 0014 at p. 4) Finally, CEA, Verizon, and the 
Telecommunications Industry Association (TIA) commented that the phrase 
``to pass Internet Protocol traffic among various network interfaces'' 
should be excluded from the proposed definition as they believe the 
scope of the rulemaking is to only cover video related devices. (EERE-
2010-BT-DET-0040, Verizon, No. 0015 at p. 4) (EERE-2010-BT-DET-0040, 
TIA, No. 0040 at p. 4)
---------------------------------------------------------------------------

    \14\ Wi-Fi technology allows electronic devices to use radio 
waves to exchange data wirelessly over a computer network using the 
Institute of Electrical and Electronics Engineers (IEEE) 802.11 
standards.
---------------------------------------------------------------------------

    DOE reviewed the comments it received on the 2011 proposed 
determination and preliminarily concluded that it will not continue 
with the definition proposed for STBs and network equipment in the 2011 
proposed determination, for the following reasons. First, the intent of 
the proposed definition in the 2011 proposed determination was that it 
be broad enough so that it covered both STBs and network equipment. 
However, as discussed in section III.B, today's proposed rule narrows 
the scope of the rulemaking to cover only STBs and not network 
equipment. Second, DOE believes that the definition in the 2011 
proposed determination may be too broad for the purposes of the STB 
test procedure rulemaking. The definition of ``principal function'' 
could be ambiguous; it is not explicit whether the principal function 
is based on how the device is used by the consumer or how the 
manufacturer intends the device to be used. Further, the definition in 
the 2011 proposed determination does not explicitly state that video 
content should be delivered using a direct video connection, which is 
included in the definition proposed in today's NOPR. As discussed 
previously, specifying that the device should deliver video content 
using a direct video connection ensures that devices that do not use 
this connection are excluded from the proposed definition of STB. 
Therefore, DOE has proposed a new definition solely for STBs as 
discussed in the above paragraph.
    DOE also considered defining a STB using the base types included in 
the ENERGY STAR specification. However, the ENERGY STAR definition is 
more suited to differentiating product types for the purposes of 
efficiency levels, which is not necessary when it comes to defining 
scope of coverage for DOE's regulatory program.
    In conclusion, DOE proposes to define STBs as ``a device combining 
hardware components with software programming designed for the primary 
purpose of receiving television and related services from terrestrial, 
cable, satellite, broadband, or local networks, providing video output 
using at least one direct video connection.'' DOE invites comment on 
this proposed definition of STBs. In particular, DOE requests comment 
about whether the proposed definition is specific enough to exclude 
non-STB devices such as gaming consoles and smartphones, yet broad 
enough to cover traditional STBs as well as newer STBs. DOE also 
requests comment on the proposed definitions for direct video 
connection, Component Video, Composite Video, HDMI, and S-Video.
2. Basic Model of an STB
    In March 2011, DOE published a final rule for `Certification, 
Compliance, and Enforcement for Consumer Products and Commercial and 
Industrial Equipment'. 76 FR at 12422 (March 7, 2011). In this rule, 
DOE codified a definition for basic model in 10 CFR Part 430.2 as 
follows:
    ``Basic model means all units of a given type of covered product 
(or class thereof) manufactured by one manufacturer, having the same 
primary energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency; and
    (1) With respect to general service fluorescent lamps, general 
service incandescent lamps, and incandescent reflector lamps: Lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt (lm/W) and color rendering 
index (CRI).
    (2) With respect to faucets and showerheads: Have the identical 
flow control mechanism attached to or installed within the fixture 
fittings, or the identical water-passage design features that use the 
same path of water in the highest flow mode.''
    For today's NOPR, DOE reviewed this definition of a basic model and 
has determined that the definition of basic model codified in 10 CFR 
Part 430.2 is applicable to STBs. For STBs, the `identical electrical, 
physical, and functional characteristics' that identify two units as 
being the same basic model would also cover software download or 
hardware integration. This is because hardware components and software 
programming can change the functional or physical characteristics of 
the box that affect energy consumption and/or energy efficiency. Thus, 
in order for multiple STBs to be in the same basic model they must have 
essentially the same software downloads and hardware integration. 
Additionally, for today's proposed rule, DOE also believes that two STB 
units are considered to be the same basic model if they have the same 
multi-streaming and DVR functionality as described in section III.D.4.
    DOE invites comment on the discussion of basic model as it pertains 
to the STB rulemaking.
3. Manufacturer of a Set-Top Box
    DOE considers today's proposed test procedure applicable to any 
person that meets the definition of manufacturer under EPCA as it 
relates to STBs. EPCA defines the term ``manufacture'' as ``to 
manufacture, produce, assemble, or import.'' (42 U.S.C. 6291(10)) The 
proposed definition of a STB itself is discussed in section III.D.1 of 
the NOPR.
4. Other Definitions
    For the STB test procedure NOPR, DOE proposes to define terms that 
are relevant for the test procedure based on the definitions specified 
in section 4 of the draft CEA-2043 standard. Of these definitions, DOE 
proposes clarifying information, beyond what is provided in the draft 
CEA-2043 standard, for the definitions of DVR, display device, and home 
network interface (HNI). Additionally, DOE is including new

[[Page 5083]]

definitions for content provider and multi-stream. The proposed 
definitions are included in section 2 (Definitions) of the proposed 
Appendix AA to Subpart B of 10 CFR Part 430. All proposed definitions 
are listed below, followed by a discussion of any differences from the 
draft CEA-2043 standard.
    Auto power down (APD): A STB feature that monitors parameters 
correlated with user activity or viewing. If the parameters 
collectively indicate that no user activity or viewing is occurring, 
the APD feature enables the STB to transition to sleep or off mode.
    Client: Any device (example: STB, thin-client STB, smart TV,\15\ 
mobile phone, tablet, or personal computer) that can receive content 
over a home network interface (HNI).
---------------------------------------------------------------------------

    \15\ A smart TV is a hybrid TV that combines internet features 
into modern TVs and STBs.
---------------------------------------------------------------------------

    Content provider: An entity that provides video programming 
content.
    Crest factor: The ratio of the peak current to the root-mean-square 
(rms) \16\ current.
---------------------------------------------------------------------------

    \16\ Rms current is a statistical measure of the magnitude of a 
current signal. Rms current is equal to the square root of the mean 
of all squared instantaneous currents over one complete cycle of the 
current signal.
---------------------------------------------------------------------------

    Digital video recorder (DVR): A STB feature that records TV signals 
on a hard disk drive (HDD) or other non-volatile storage device 
integrated into the STB. A DVR often includes features such as: Play, 
Record, Pause, Fast Forward (FF), and Fast Rewind (FR). STBs that 
support a service provider delivery network based ``DVR'' service are 
not considered DVR STBs for the purposes of this test procedure. The 
presence of DVR functionality does not mean the device is defined to be 
a STB.
    Display device: A device (example: TV, Computer Monitor, or 
Portable TV) that receives its content directly from a STB through a 
video interface (example: HDMI, Component Video, Composite Video, or S-
Video), not through a home network interface (HNI), and displays it for 
viewing.
    Harmonic: A component of order n of the Fourier series \17\ that 
describes the periodic current or voltage (where n is an integer 
greater than 1).
---------------------------------------------------------------------------

    \17\ A Fourier series decomposes period functions or period 
signals in terms of an infinite sum of simple oscillating functions, 
such as sines and cosines.
---------------------------------------------------------------------------

    High definition test stream (HD): Video content delivered to the 
STB by the content provider to produce a minimum output resolution of 
1280 x 720 pixels in progressive scan mode \18\ at a minimum frame rate 
of 59.94 frames per second (fps) (abbreviated 720p60) or a minimum 
output resolution of 1920 x 1080 pixels in interlaced scan mode at 
29.97 fps (abbreviated 1080i30).
---------------------------------------------------------------------------

    \18\ Progressive scan mode is a method of displaying, storing, 
or transmitting moving images such that all lines in each frame are 
drawn in sequence.
---------------------------------------------------------------------------

    Home network interface (HNI): An interface with external devices 
over a local area network (example: IEEE 802.11 (Wi-Fi), Multimedia 
over Coax Alliance (MoCA) \19\, HomePNA Alliance (HPNA),\20\ IEEE 
802.3,\21\ or HomePlug AV \22\) that is capable of transmitting video 
content.
---------------------------------------------------------------------------

    \19\ MoCA is a trade group that promotes a standard that uses 
coaxial cables to connect consumer electronic products and home 
networking devices. The connection allows both data communication 
and the transfer of audio and video streams. It is the only home 
entertainment networking standard used by all three pay TV segments, 
such as, cable, satellite, and IPTV.
    \20\ HPNA is an incorporated non-profit industry association of 
companies that develops home networking specifications for 
distributing entertainment and data over existing coaxial cables and 
telephone wiring within homes.
    \21\ IEEE 802.3 is a working group that develops standards for 
Ethernet based local area networks.
    \22\ HomePlug is an industry alliance that provides 
specifications that support networking over existing home electrical 
wiring. HomePlug AV is a specification that provides sufficient 
bandwidth for applications such as high definition TV (HDTV) and 
voice over IP (VoIP).
---------------------------------------------------------------------------

    Low noise block-downconverter (LNB): A combination of low-noise 
amplifier, block-downconverter and intermediate frequencies (IF) 
amplifier. It takes the received microwave transmission, amplifies it, 
down-converts the block of frequencies to a lower block of IF where the 
signal can be amplified and fed to the indoor satellite TV STB using 
coaxial cable.
    Multi-stream: A STB feature that may provide independent video 
content to one or more clients, one or more directly connected TVs, or 
a DVR.
    Outdoor unit (ODU): Satellite signal reception components 
including: a receiving dish, one or more LNBs, and imbedded or 
independent radio frequency (RF) switches, used to distribute a 
satellite service provider network to consumer satellite STBs.
    Point of deployment (POD) module: A plug-in card that complies with 
the ANSI/SCTE \23\ 28 \24\ interface and is inserted into a digital-
cable-ready device to enable the decryption of services and provide 
other network control functions.
---------------------------------------------------------------------------

    \23\ The Society of Cable Telecommunications Engineers, Inc.
    \24\ Society of Cable Telecommunications Engineers. Engineering 
Committee. Digital Video Subcommittee. ``HOST-POD Interface 
Standard.'' American National Standard.
---------------------------------------------------------------------------

    Power mode: A condition or state of a device that broadly 
characterizes its capabilities, power consumption, power indicator 
coding, and responsiveness to input.
    Principal STB function: Functions necessary for selecting, 
receiving, decoding, decompressing, or delivering video content to a 
display device, DVR, or client. Monitoring for user or network requests 
is not considered a principal STB function.
    Satellite STB: a STB that receives and decodes video content as 
delivered from a service provider satellite network.
    Service provider: A business entity that provides video content, a 
delivery network, and associated installation and support services to 
subscribers with whom it has an ongoing contractual relationship.
    Smart Card: A plug-in card that complies with ISO \25\/IEC 7816-12 
\26\ and is inserted into a satellite STB to enable the decryption of 
services and provide other network control functions.
---------------------------------------------------------------------------

    \25\ International Organization for Standardization.
    \26\ International Standard. ``Identification cards--Integrated 
circuit cards--Part 12: Cards with contacts--USB electrical 
interface and operating procedures.''
---------------------------------------------------------------------------

    Standard definition test stream (SD): Video content delivered to 
the STB by the content provider to produce an output resolution of 640 
x 480 pixels in interlaced scan mode at minimum frame rate of 29.97 fps 
(abbreviated 480i30).
    Thin-client STB: A STB that can receive content over an HNI from 
another STB, but is unable to interface directly to the service 
provider network.
    DOE proposes to incorporate by reference the industry standards 
that are used in the definitions of POD and smart card. These standards 
are: ANSI/SCTE 28 for the definition of POD and ISO/IEC 7816-12 for the 
definition of Smart Card. These industry standards are part of the 
definition provided in the draft CEA-2043 standard, and DOE believes 
the standards provide necessary information to define the POD and Smart 
Card plug-in cards.
    The definition of DVR in the draft CEA-2043 standard is, ``a STB 
feature that records TV signals on a hard disk drive (HDD) or other 
non-volatile storage device. A DVR often includes features such as: 
Play, Record, Pause, Fast Forward (FF), and Fast Rewind (FR). STBs that 
support a service provider delivery network based ``DVR'' service are 
not considered DVR STBs for the purposes of this test procedure. The 
presence of DVR functionality does not mean the device is defined to be 
a STB.'' The definition of DVR in the draft CEA-2043 standard does not 
explicitly state that the HDD should be integrated into the STB, while 
DOE's proposed definition adds the specification that the HDD or other 
non-volatile storage

[[Page 5084]]

device shall be integrated into the STB. DOE has included this 
information to explicitly state that this proposed rule does not 
consider STBs with an external HDD as STBs with DVR capability. This 
requirement is similar to the ENERGY STAR specification and has been 
included in today's proposed DVR definition because external storage 
devices are usually optional, and existing test procedures do not 
address how to test STBs with the external HDD attached.
    In today's NOPR, DOE is proposing only to test STBs with integrated 
storage as a DVR. For STBs that support DVR only through an external 
storage device, DOE is proposing to test these basic models as a STB 
without DVR. There are currently a wide selection of external storage 
devices that can be paired with a STB to support DVR functionality, and 
DOE believes the choice of external storage device paired with the unit 
could impact the energy consumption of the STB itself. While DOE's 
preferred approach is to test the STB without DVR capabilities if they 
use an external storage device, DOE did consider an alternative that 
would capture this use. For testing purposes, DOE could specify the 
external storage device such as the storage device that is shipped with 
the STB or specifying a standard storage device that is for testing all 
applicable STBs across the board. DOE requests comment on the proposed 
approach of not testing STBs with external storage as a DVR. If DOE 
does consider testing the STB with an external storage device as a DVR 
in response to comments, DOE specifically requests comments on the 
proper external storage device to use.
    The definition of display device in the draft CEA-2043 standard is, 
``a display device (example: TV, Computer Monitor, or Portable TV) 
receives its content directly from a STB through a video interface 
(example: HDMI, Component Video, Composite Video, or S-Video), and not 
through a home network interface (HNI).'' DOE's proposed definition of 
a display device adds clarification that the content that is received 
from the STB through a video interface is displayed for viewing. DOE 
proposes to include this clarification to the definition of display 
device, because the definition specified in the draft CEA-2043 standard 
explains the functionality of a display device but does not explicitly 
define the device itself.
    The definition of HNI in the draft CEA-2043 standard is, ``the 
interface with external devices over a local area network (example: 
IEEE 802.11 (Wi-Fi), MoCA, HPNA, IEEE 802.3, or HomePlug AV).'' DOE 
proposes to include clarifying information in the definition of HNI to 
explain that the interface is capable of transmitting video content. 
DOE believes that the definition in the draft CEA-2043 standard, which 
specifies that HNI is the interface with external devices over a local 
area network, is vague and could potentially include other interfaces 
that may not be capable of transmitting video content, and therefore, 
not applicable for connecting with a STB. Therefore, DOE is proposing 
to clarify that the HNI connection should be such that is capable of 
transmitting video content.
    Finally, DOE proposes to include a definition for content provider 
and multi-stream that is not included in the draft CEA-2043 standard. 
DOE is proposing a definition for content provider because the term is 
used in today's proposed test procedure to explain the type of content 
that should be streamed to a connected display device or client. DOE's 
proposed definition for multi-stream was adopted from an older version 
of the draft CEA standard, which included this definition. While CEA 
has removed the definition for multi-stream from the most recent 
version of the draft, DOE proposes to include it in this NOPR because 
DOE uses the definition to describe STBs that have multi-streaming 
capability and also proposes a multi-stream test to determine the power 
consumption of such STBs (section III.G.5.b).
    In addition to the definitions adopted from the draft CEA-2043 
standard, DOE proposes to include the terms ANSI, IEC, ISO, and SCTE in 
the definition section of the proposed Appendix AA to Subpart B of 10 
CFR Part 430. These terms are used in the definitions of POD and Smart 
Card and therefore, DOE has included the full forms of these terms.
    DOE invites interested parties to comment on the proposed 
definitions for the STB test procedure NOPR, and, in particular, the 
clarifying information included for the definitions of DVR, display 
device, HNI, and the definitions included for content provider and 
multi-stream.
5. Definitions of Power Modes
    While power mode is defined in section III.D.4 above, DOE proposes 
to define the different modes of operation for the STB in further 
detail similar to those provided in section 6 of the draft CEA-2043 
standard. The draft CEA-2043 standard describes the on, sleep, and off 
modes of STB operation, which are defined and discussed below. The 
proposed power mode definitions would be included in section 2.25 
(Definition of Power Modes) of the proposed Appendix AA to Subpart B of 
10 CFR Part 430. DOE invites interested parties to comment on the 
proposed definitions for each mode of operation of the STB.
    On mode: The STB is connected to a mains power source. At least one 
principal STB function is activated and all principal STB functions are 
provisioned for use. The power consumption in on mode may vary based on 
specific use and configuration.
    DOE's view is that a STB has ``all principal STB functions 
provisioned for use'' if all principal STB functions are prepared or 
equipped for use by the consumer. This description of on mode aligns 
with the consumer's expectation of what a STB should do when it is 
turned on, or when it is ``in-use''. The proposed definition also 
aligns with the definition in the ENERGY STAR specification for on mode 
operation.
    Sleep mode: A range of reduced power states where the STB is 
connected to a mains power source and is not providing any principal 
STB function. The STB may transition to on or off mode due to user 
action, internal signal, or external signal. The power consumed in this 
mode may vary based on specific use or configuration. If any principal 
STB function is activated while operating in this mode, the STB is 
assumed to transition to on mode. Monitoring for user or network 
requests is not considered a principal STB function. The STB shall be 
able to transition from this mode to on mode within 30 seconds, to be 
considered in sleep mode.
    The proposed definition for sleep mode is similar to the definition 
for sleep mode in the draft CEA-2043 standard with one key addition. 
The proposal that the STB should transition to on mode within 30 
seconds has been included to ensure that a valid sleep mode includes 
the ability to resume full functionality in a timely manner. DOE 
received a comment from AT&T in response to the 2011 RFI that 
referenced consumer studies to indicate strong consumer resistance to 
any recovery time from ``minimum power'' mode longer than 1 minute. 
(AT&T, No. 0032 at p. 16) AT&T further indicated that this was true 
even when the consumer was prompted that longer recovery times would 
have environmental and energy saving benefits. (AT&T, No. 0032 at p. 
16) Additionally, CA IOUs indicated that long wake times are a 
significant barrier to consumer adoption. (CA IOUs, No. 0033 at p. 6) 
NCTA also commented that a STB could take much longer than 2 to 5 
minutes if the STB were to shut off power

[[Page 5085]]

completely, which would negatively impact the user's experience. (NCTA, 
No. 0034 at p.14)
    Because the overall energy consumption of a STB is dependent on 
consumer adoption of sleep modes that can resume functionality quickly, 
DOE proposes to set a maximum allowable transition time of 30 seconds 
from sleep mode to on mode, which is half the acceptable duration 
referenced in AT&T's studies. If the STB cannot transition from sleep 
mode to on mode in 30 seconds or less, it is not considered to have 
sleep mode capability and shall not be tested for the energy 
consumption in sleep mode, which is discussed in section III.G.6. That 
is, if the STB does not transition from sleep mode to on mode within 30 
seconds, the value of the power consumption in sleep mode for the AEC 
metric (discussed in detail in section III.I of the NOPR) would be set 
equal to the power consumption in on (watch TV) mode for such STBs. It 
is DOE's view that market forces will drive STBs to utilize a shorter 
transition period; however, DOE adds this limit as an upper bound to 
facilitate consumer adoption of sleep mode. If a STB takes very long to 
resume functionality from sleep mode, it is DOE's assumption that 
consumers are less likely to place the STB in sleep mode. The 30 second 
upper limit may mitigate some of these consumer concerns of resuming 
functionality quickly from sleep mode. DOE also considered other 
allowable transition times less than 30 seconds or more than 30 
seconds. However, its view is that a transition time shorter than 30 
seconds may be too restrictive for certain STB designs. Conversely, DOE 
believes a transition time greater than 30 seconds may discourage 
consumers from using sleep mode and would affect DOE's estimated usage 
profile for the calculation of AEC as discussed in section III.I.
    DOE recognizes that imposing the 30 second requirement would not 
measure any sleep power saving techniques that may take longer than 30 
seconds to resume functionality and may subsequently discourage power 
saving techniques in that area. On the other hand, excluding this 
requirement would essentially treat all low power sleep modes the same 
for the purposes of power measurement, regardless of whether or not the 
STB resumed functionality quickly. STBs that resume functionality more 
quickly could have higher consumer adoption and thus, more overall 
energy savings, which would not be captured if there were no 
requirement for resuming functionality. This is because, as indicated 
by AT&T's consumer studies and other public commenters, consumers are 
less likely to use the various sleep modes if it takes too long to 
resume functionality,, which would result in more STBs staying in on 
mode all day. Therefore, DOE is proposing the requirement that the STB 
shall transition to on mode within 30 seconds and requests stakeholders 
to comment on the proposed requirement.
    DOE invites interested parties to comment, and provide data if 
available, on the proposed requirement of transitioning from sleep mode 
to on mode within 30 seconds or whether a different maximum allowable 
transition time should be considered.
    Off mode: The STB is connected to a mains power source, has been 
de-activated, and is not providing any function. The STB requires a 
user action to transition from this mode to on or sleep mode.
    The proposed definition for off mode is exactly as specified in the 
draft CEA-2043 standard. A STB that is de-activated does not provide 
any functions and a user action is required for the STB to provide any 
function. A user action means an action that would require the consumer 
to interact with the STB using either a single or a series of 
keystrokes or button presses, either on a remote control or on the STB 
unit. DOE understands that this is the generally accepted definition by 
industry for off mode.

E. Test Conditions

1. Set-Top Box Settings
    DOE received comments regarding the configuration in which the STB 
should be setup for testing. NCTA stated that STBs should be tested in 
``as-shipped'' condition and as normally installed for an end-user. 
(NCTA, No. 0034 at p. 19) AT&T and CEA commented that in order to 
reduce the risk of stifling innovation, the STB test procedure 
rulemaking should require that newly introduced features be turned off 
to the extent possible. CEA commented similarly but further stated that 
turning off newly introduced features during testing could reduce the 
accuracy and utility of the test procedure. (AT&T, No. 0032 at p. 22) 
(CEA, No. 0031 at p. 5)
    DOE proposes the following requirements for setting up the STB for 
testing. There are different requirements depending on whether the STB 
can be installed by the consumer using the user manual shipped with the 
unit or whether a technician is required to install the STB per the 
manufacturer's instructions. These proposed requirements are included 
in section 3.1 (Set-top Box Settings) of the proposed Appendix AA to 
Subpart B of 10 CFR Part 430.
    For all STBs that require subscription to a service, the simplest 
available video subscription that supports all functionality proposed 
in today's test procedure shall be selected for operating the STB. That 
is, subscriptions with TV services only shall be selected and packages 
with non-video capability, such as telephony, shall not be selected.
    If the STB can be installed by the consumer per the manufacturer's 
instructions without the service of a technician, then it shall be 
installed and setup according to the user manual shipped with the unit. 
Only those instructions in the user manual should be used for setting 
up the STB and setup should be considered complete once they are 
followed.
    If the STB must be installed by a technician per the manufacturer's 
instructions, then the unit shall be setup as installed by the 
technician for testing. All steps that a technician would follow when 
installing a STB for use in a consumer residence should be followed. 
DOE recognizes that for testing a STB in the setup in which it is 
installed in a consumer's home, a third-party test lab would require 
this setup information. Therefore, information about each of the steps 
that were performed to setup the STB by a technician shall be recorded 
and maintained by the manufacturer pursuant to 10 CFR Part 429.71 as 
part of the test data underlying the ratings.
    The goal of DOE's proposed requirements for the STB settings is to 
ensure that the STB is tested under the same settings as it would be 
when installed in a consumer's home. This proposal is similar to an 
older draft version of the CEA-2043 standard, which required STBs to be 
tested in the configuration in which it is supplied to consumers. DOE 
proposes to use the simplest available video subscription that supports 
all functionality proposed in today's test procedure for testing 
because, at a minimum, all STBs will provide these services. Testing 
all STBs with the simplest subscription ensures consistency across 
testing of the different STB models. Further, DOE believes that setting 
up the STB in the same configuration that the consumer would use the 
STB, ensures that the test is representative.
    DOE requests comment on the proposed requirements for setting up 
the STB as installed in a consumer's home for testing.
    In regards to comments made by AT&T and CEA about newly introduced 
features on STBs, DOE disagrees with commenters and is not proposing to 
turn off or disable any such features.

[[Page 5086]]

DOE believes that turning off newly introduced features that are 
enabled as part of the typical set-up process would not be 
representative of the energy use the consumer would see once installed. 
Instead, it is more representative of the consumer's use to keep these 
features in the setting in which they are when first installed in a 
consumer's home per the manufacturer's instructions. DOE expects that 
most consumers typically do not change the settings of the STB after it 
is installed. That is, DOE believes the configuration in which the STB 
is installed by a technician is the configuration in which the STB is 
operated most commonly and, therefore, keeping non-tested features in 
these initial settings would capture the most representative energy 
consumption of the STB. This proposed requirement is consistent with 
requirement specified in section 8.1.9 of the draft CEA-2043 standard, 
which optionally specifies that non-tested product features may be left 
in the default condition.
2. Test Room
    DOE proposes to specify ambient conditions for testing STBs that 
are similar to the requirements specified in section 7.3 of the draft 
CEA-2043 standard. DOE recognizes that the power consumption of the STB 
could vary with the ambient conditions of the room in which the STB is 
tested. Therefore, the ambient conditions shall be controlled to ensure 
that the power measurements are repeatable and reproducible. The test 
conditions specified in the draft CEA-2043 standard, proposed in this 
NOPR, ensure that the test results are repeatable, reliable, and 
consistent without significant test burden. These conditions are 
discussed in further detail below and are included in section 3.2 (Test 
Room) of the proposed Appendix AA to Subpart B of 10 CFR Part 430.
    DOE proposes that testing shall be carried out in a test room where 
the ambient temperature is maintained at 23 degrees Celsius ([deg]C) 
 5 [deg]C. DOE's believes that 23 [deg]C represents the 
temperature of a typical room in which a STB may be used; it is DOE's 
understanding that this is the temperature range in which most 
household appliances are typically tested. Further, a tolerance of 5 
[deg]C for the ambient temperature is achievable because temperature 
measurement instruments generally provide for a greater accuracy than 5 
[deg]C and DOE expects it would not be burdensome for test labs to 
climate control the test room to meet these requirements. Finally, the 
temperature requirement of 23 [deg]C  5 [deg]C is the same 
as that specified in the ENERGY STAR specification, which requires that 
the ambient temperature should remain between 18 [deg]C and 28 [deg]C, 
inclusive, throughout testing.
    DOE further proposes that the test room shall be such that the air 
movement surrounding the STB shall be less than or equal to 0.5 meters 
per second (m/s), as required in the draft CEA-2043 standard. However, 
DOE understands that it may be difficult to maintain the required 
ambient temperature range at such a low air speed. This is because the 
heat generated from the STB may heat up the surrounding air, and at 
such a low air speed, the ambient temperature may exceed the required 
range. Since it is likely that the power consumption of a STB does not 
change significantly at moderately higher air speeds, the requirement 
specified in the draft CEA-2043 standard may be stringent in 
conjunction with the temperature requirements. DOE therefore requests 
comments and data, if available, on the proposed 0.5 m/s air movement 
requirement and whether this value should be relaxed to a higher value 
or removed altogether.
    Finally, DOE proposes that the STB shall be tested on a thermally 
non-conductive surface, which is a requirement specified in the draft 
CEA-2043 standard. This requirement ensures that the internal 
temperature of the STB is maintained at a level consistent with a 
typical consumer setup, which usually does not have a thermally 
conductive surface. DOE requests comment on the proposed test room 
conditions for testing STBs, including the air temperature, air speed, 
and thermally non-conductive test surface requirements.

F. Test Setup

1. Test Voltage
    DOE proposes that the input power requirements for testing STBs 
shall be as specified in section 7.4 of the draft CEA-2043 standard and 
are included in section 4.1 (Test Voltage) of the proposed Appendix AA 
to Subpart B of 10 CFR Part 430. These requirements state that an 
alternating current (AC) power source shall be used to power the STB 
with an input voltage of 115 volts (V)  1 percent. Further, 
the frequency of the power source shall be 60 hertz (Hz)  1 
percent. The total harmonic distortion of the supply voltage when 
supplying power to the STB in the specified mode shall not exceed 2 
percent, up to and including the 13th harmonic. Finally, the peak value 
of the test voltage shall be between 1.34 and 1.49 times its rms value; 
that is, the value of the crest factor shall be between 1.34 and 1.49. 
DOE's understanding is that the proposed requirements for input power 
are typical for testing consumer electronics and notes that this aligns 
with the requirements specified in the ENERGY STAR specification for 
qualifying STBs in the North American market. DOE invites interested 
parties to comment on the proposed input power requirements.
2. Measurement Accuracy
    DOE proposes to specify the accuracy of power measurements similar 
to those required in section 7.2 of the draft CEA-2043 standard. These 
requirements are included in section 4.2 (Measurement Accuracy) of the 
proposed Appendix AA to Subpart B of 10 CFR Part 430. The draft CEA-
2043 standard specifies that power measurements of 0.5 watt (W) or 
greater shall be made such that the uncertainty of the measurement is 
less than or equal to 2 percent at the 95 percent confidence level. For 
power measurements of less than 0.5 W, the uncertainty of the 
measurement shall be less than or equal to 0.01 W at the 95 percent 
confidence level. The resolution of the instrument used to measure 
power shall be 0.01 W or better for power measurements of 10 W or less, 
0.1 W or better for power measurements greater than 10 W and up to 100 
W, and 1 W or better for power measurements greater than 100 W. For 
equipment connected to more than one phase, the power measurement 
instrument shall be equipped to measure the total power of all phases 
that are connected. DOE's view is that these requirements are 
reasonable and generally accepted by industry for the accuracy of power 
measurements. The uncertainty requirements are specified in IEC-
62301,\27\ which is referenced by IEC-62087, and also match the 
requirements listed in the ENERGY STAR specification for testing STBs. 
DOE invites interested parties to comment on the proposed requirements 
for measurement accuracy.
---------------------------------------------------------------------------

    \27\ International Standard. ``Household electrical appliances--
Measurement of standby power.'' Edition 2.0 2011-01.
---------------------------------------------------------------------------

3. Test Equipment
    Section 7.5 of the draft CEA-2043 standard provides recommendations 
for equipment that may be used to monitor AC line current, voltage, and 
frequency. DOE proposes to include this recommended equipment that is 
optional for testing. The following recommended equipment are included 
in section 4.3 (Test Equipment) of the

[[Page 5087]]

proposed Appendix AA to Subpart B of 10 CFR Part 430:
    (1) An oscilloscope with a current probe to monitor the AC line 
current waveform, amplitude, and frequency.
    (2) A true rms voltmeter to verify the voltage at the input of the 
STB; and
    (3) A frequency counter to verify the frequency at the input of the 
STB.
    DOE's view is that these instruments would be appropriate to ensure 
that the current, voltage, and frequency measurements are accurate. DOE 
invites interested parties to comment on the recommended test equipment 
to measure the AC line current, voltage, and frequency.
4. True Power Wattmeter
    DOE proposes that the power meter attributes shall be as specified 
in section 7.5.2 of the draft CEA-2043 standard, which provides the 
crest factor, bandwidth, frequency response, and sampling interval 
requirements for the power wattmeter. Each of these attributes is 
discussed in section III.F.4.a through III.F.4.d below and are included 
in section 4.4 (True Power Wattmeter) of the proposed Appendix AA to 
Subpart B of 10 CFR Part 430. These requirements are necessary because 
electronic equipment can cause harmonics that lead to inaccurate power 
measurements. The proposed requirements are standard specifications for 
measuring power using a power wattmeter and are listed as the 
characteristics of approved meters in IEC-62301. Additionally, these 
requirements are specified in the ENERGY STAR specification for testing 
STBs. Due to widespread industry acceptance, DOE's view is that these 
requirements are reasonable and it should not be burdensome for 
stakeholders to meet these conditions. DOE invites interested parties 
to comment on the proposed power meter instrumentation requirements, 
such as the crest factor, bandwidth, frequency response requirements, 
and sampling interval.
a. Crest Factor
    DOE proposes that the crest factor attributes shall be as specified 
in the draft CEA-2043 standard, which requires that the power wattmeter 
shall have an accuracy and resolution in accordance with that proposed 
in section III.F.2 of this NOPR and sufficient bandwidth. Additionally, 
the crest factor rating shall be appropriate for the waveforms that are 
measured, and it shall be capable of reading the available current 
waveform without clipping the waveform. Consistent with the draft CEA-
2043 standard, DOE also proposes that the peak of the current waveform 
that is measured during the on and sleep modes of the STB shall be used 
to determine the crest factor rating and the current range setting. The 
full-scale value of the selected current range multiplied by the crest 
factor for that range shall be at least 15 percent greater than the 
peak current to prevent measurement error.
b. Bandwidth
    DOE proposes the following requirements as specified in the draft 
CEA-2043 standard. The current and voltage signal shall be analyzed to 
determine the highest frequency component (that is, harmonic) with a 
magnitude greater than 1 percent of the fundamental frequency under the 
test conditions. Additionally the minimum bandwidth of the test 
instruments shall be determined by the highest frequency component of 
the signal.
c. Frequency Response
    As specified in the draft CEA-2043 standard, DOE proposes that a 
wattmeter with a frequency response of at least 3 kilo-hertz (kHz) 
shall be used in order to account for harmonics up to the 50th 
harmonic.
d. Sampling Interval
    DOE proposes to adopt the sampling interval requirement as 
specified in the draft CEA-2043 standard. This requirement specifies 
that the wattmeter shall be capable of sampling at intervals less than 
or equal to 1 second.
5. Calibration
    DOE proposes to specify test instrument calibration requirements 
that are identical to those required in section 7.5.1 the draft CEA-
2043 standard. The draft CEA-2043 standard specifies that the testing 
equipment shall be calibrated annually to traceable national standards 
to ensure that the limits of error in measurement are not greater than 
 0.5 percent of the measured value over the required 
bandwidth of the output. The annual calibration requirement proposed by 
DOE is typical for the equipment required for testing of all electrical 
products. The proposed calibration requirements are included in section 
4.5 (Calibration) of the proposed Appendix AA to Subpart B of 10 CFR 
Part 430. DOE invites interested parties to comment on the proposed 
calibration requirements for testing STBs.
6. Network Setup
a. Home Network Connection
    As specified in section 8.1.4 of the draft CEA-2043 standard, DOE 
proposes that for STBs that require the use of a home network, such as 
thin-client STBs, an HNI connection shall be used. Further, DOE 
proposes that the HNI connection shall be used in the following order 
of preference: MoCA, HPNA, Wi-Fi, or any other HNI connection. That is, 
if MoCA connection is available, the STB shall be tested using MoCA. If 
MoCA is not available, HPNA shall be used followed by Wi-Fi as the last 
option. These proposed requirements are consistent with the 
requirements listed in the ENERGY STAR specification and are sequenced 
based on most commonly used HNI connections to least commonly used HNI 
connections. These requirements are included in section 4.6.1 (Home 
Network Connection) of the proposed Appendix AA to Subpart B of 10 CFR 
Part 430. DOE invites interested parties to comment on the proposed 
requirements for testing STBs that require an HNI connection. DOE also 
requests comment about whether there are any additional HNI connections 
that should be included and the order of preference in which they 
should be included.
b. Broadband Service
    DOE proposes to specify setup requirements for STBs requiring 
broadband service connections that are similar to the requirements 
stated in section 8.1.5 of the draft CEA-2043 standard. These 
requirements are included in section 4.6.2 (Broadband Service) of the 
proposed Appendix AA to Subpart B of 10 CFR Part 430. The draft CEA-
2043 standard specifies that if the STB includes an HNI and the HNI 
shall be connected to broadband service for operation of a principal 
STB function, then it shall be tested while connected to a broadband 
network. Broadband performance criteria, such as download speed, upload 
speed, and latency shall meet the specific requirements of the STB to 
fulfill the principal STB functions. DOE understands that certain STBs, 
such as IPTV STBs, require a broadband connection to provide the 
principal STB functions and is therefore proposing this requirement. 
DOE also proposes to include clarification that for STBs designed to 
operate both with a broadband connection and service provider network 
connection (as discussed in section III.F.6.e), the service provider 
connection takes precedence, and a broadband connection shall only be 
made if the STB requires it for operating a principal STB function. 
This clarification has been included because there may be some STBs 
that are able to provide service on both a broadband network as

[[Page 5088]]

well as a service provider network. DOE's understanding is that STBs 
typically operate on the service provider network connection rather 
than the broadband connection, and thus, proposes to test with only the 
service provider connection unless a broadband connection is required. 
DOE requests comment on the proposed setup requirements for STBs 
requiring broadband service as well as the clarification that a service 
provider network connection takes precedence over a broadband 
connection for STBs that are designed to operate on either connection.
c. Service Provider Network Distribution Equipment
    As specified in section 8.1.6 of the draft CEA-2043 standard, DOE 
proposes that for STBs that require the use of external equipment to 
connect the service provider network to the STB, the power consumption 
of the external equipment shall not be included with the power 
consumption of the STB itself. If such equipment is integrated into the 
STB in the future, the power consumption of the equipment shall be 
included in the power consumption of the STB. Such external equipment 
may include network gateways, network routers, network bridges, ONTs, 
wireless access points, media extenders, or any other device that is 
required for the distribution of a service provider network to the STB. 
DOE is excluding the power consumption of the external equipment 
because network distribution equipment does not meet the proposed 
definition of the STB. As discussed in section III.B of this NOPR, if 
DOE initiates a rulemaking for network equipment in the future, the 
external equipment required to connect the service provider network to 
the STB would likely be under the scope of that rulemaking. DOE invites 
interested parties to comment on the proposed exclusion of external 
equipment power consumption from the power consumption of the STB 
itself. These requirements are included in section 4.6.3 (Service 
Provider Network Distribution Equipment) of the proposed Appendix AA to 
Subpart B of 10 CFR Part 430. If stakeholders indicate that the power 
consumption of such external equipment should be included with the 
power consumption of the STB, DOE requests input on the test method and 
standard configuration that could be used to measure the power 
consumed.
d. Input Signal Equipment
    As discussed in section III.B of this NOPR, DOE received several 
comments from stakeholders regarding the inclusion of specific types of 
input signal equipment, such as LNB equipment, in the scope of this 
proposed rule. However, as explained in section III.B, DOE does not 
believe input signal equipment meets the definition of STB as proposed 
in this NOPR because of significant operational differences from STBs. 
There is no standard configuration for the number of STBs that can be 
connected to any single input signal equipment. For example, for a 
certain household an LNB may be connected to three STBs and a different 
household may require two LNBs to connect three STBs. This lack of 
standardization does not allow a direct comparison between the 
different STBs that are connected to these equipment and therefore DOE 
does not propose to test input signal equipment while testing STBs.
    Instead, DOE proposes to adopt the specifications stated in section 
8.1.7 of the draft CEA-2043 standard with some modification. DOE 
proposes that when an ODU, over the air (OTA) antenna amplifier, cable 
TV (CATV) distribution amplifier, or similar signal equipment is 
required to operate the STB, the measurement shall not include the 
power consumption of this equipment, if it can be powered from a source 
other than the STB. If the signal equipment cannot be powered from a 
different source, then the power for these equipment shall be included 
in the STB power consumption measurement, and the signal equipment 
should be configured in its lowest power consuming mode. However, if 
the equipment is powered from a source other than the STB, it shall be 
powered from another source, and the signal equipment shall not deliver 
any power to the connected STB.
    DOE's proposed specification is slightly different from that in the 
draft CEA-2043 standard. DOE proposes to include the requirement that 
if the input signal equipment cannot be powered from a source other 
than the STB, then it shall be powered from the STB and the power 
supplied to these equipment shall be included in the STB power 
consumption measurement. Further, DOE proposes to include the 
additional clarification that the signal equipment should not deliver 
any power to the STB, if the equipment is powered from a different 
source, to avoid the possibility of circumvention. This would occur if 
the power consumption of the STB is rated lower than the actual 
consumption of the STB because a separately powered device, the input 
signal equipment, provides the additional power required to operate the 
STB. DOE also considered requiring the use of a direct current (DC) 
block in order to prevent power transfer to and from any such input 
signal equipment; however, DOE has not proposed this requirement 
because the DC block could potentially impact the functionality of such 
input signal equipment. These requirements are included in section 
4.6.4 (Input Signal Equipment) of the proposed Appendix AA to Subpart B 
of 10 CFR Part 430.
    DOE requests comment on the proposed exclusion of the power 
consumption of the input signal equipment from the power consumption of 
the STB and the additional clarification that such equipment should not 
supply power to the STB. DOE also requests feedback on the potential 
use of a DC block to prevent power transfer to and from any input 
signal equipment. Further, if stakeholders indicate that such equipment 
should be tested and the power consumption be measured as part of this 
proposed rule, DOE requests comment on the test method and standard 
configuration that could be used to test this equipment.
e. Service Provider Network Connection
    DOE received some comments from NRDC and CA IOUs about testing STBs 
on a live network or closed network. NRDC commented that STBs should be 
tested as they are deployed in the field with ``live'' head-end 
equipment. (NRDC, No. 0017 at p. 4) Further the CA IOUs commented that 
while testing performed on a live network would result in real power 
consumption, it also may be impractical. They further stated that if 
testing was performed during a period of a large software update, the 
power consumption of the STB may be elevated and atypical. 
Additionally, it may take longer measurement periods to yield 
repeatable results on the live network. (CA IOUs, No. 0033 at p. 7) 
Finally, DISH, EchoStar, and DIRECTV commented that the energy 
consumption of a satellite STB on a live network is generally not 
affected by geography, location, time of day, or subscription package, 
which are possible sources of variation when using a live network. 
(DISH, EchoStar, DIRECTV, No. 0030 at p. 11)
    Based on its review of the comments received, the practicality of 
testing a STB on a live network compared to a closed network, and a 
review of CEA's requirements in the draft CEA-2043 standard, DOE 
proposes to adopt the same requirements listed in section 8.1.8 of the 
draft CEA-2043 standard. These requirements allow either a live network 
or closed network to be used for testing and provide specific

[[Page 5089]]

requirements for both. The draft CEA-2043 standard specifies that the 
STB shall be tested with a specific service provider network or a 
simulated environment that is verified by the service provider, and the 
STB shall be configured to simulate a subscriber operating environment. 
This shall include the ability to access the full services of the 
service provider network required by the STB. These services include 
content, program guides, software updates, and other STB features that 
require network services to function completely. If the STB requires a 
POD or Smart Card, then it shall be connected, authorized, and 
operational. Essential peripheral devices that are required for the 
normal operation of the STB, such as a Universal Serial Bus (USB) 
powered external HDD, a USB powered Wi-Fi dongle, or a USB powered OTA 
receiver, shall be connected and operational during testing. Optional 
peripheral devices shall not be connected to the STB.
    For testing the STB in a laboratory environment, DOE proposes to 
adopt the specification in the draft CEA-2043 standard, which states 
that the STB may be tested in a laboratory environment containing 
control equipment comparable to a live service provider system. For a 
cable STB, this would require a laboratory that contains a conditional 
access system, the appropriate equipment to communicate with the STB 
(such as ANSI/SCTE 55-1 \28\ or ANSI/SCTE 55-2 \29\ forward and reverse 
data channel hardware or data-over-cable service interface 
specification (DOCSIS) infrastructure), and the appropriate 
interconnections (such as diplexers, splitters, and coaxial cables). 
DOE proposes to incorporate by reference, in 10 CFR Part 430.3, the 
industry standards ANSI/SCTE 55-1 and ANSI/SCTE 55-2 to describe the 
equipment required to communicate with the STB when testing in a 
laboratory environment.
---------------------------------------------------------------------------

    \28\ Society of Cable Telecommunications Engineers. Engineering 
Committee. Digital Video Subcommittee. ``Digital Broadband Delivery 
System: Out of Band Transport Part 1: Mode A.'' American National 
Standard.
    \29\ Society of Cable Telecommunications Engineers. Engineering 
Committee. Digital Video Subcommittee. ``Digital Broadband Delivery 
System: Out of Band Transport Part 2: Mode B.'' American National 
Standard.
---------------------------------------------------------------------------

    These requirements are included in section 4.6.5 (Service Provider 
Network Connection) of the proposed Appendix AA to Subpart B of 10 CFR 
Part 430. DOE invites interested parties to comment on the proposed 
requirements for service provider network connection. Particularly, DOE 
requests comment and data, if available, about whether the power 
consumption of a given STB is similar when it is operated on a live 
network versus a closed network.

G. Test Method and Measurements

1. Set-Top Box Warm-Up
    The first step in measuring the power consumption of the STB after 
setting up the test room and equipment is to connect the STB and 
operate it for a certain period of time until it reaches a stable 
condition. It is important to warm-up, or stabilize, the STB so that 
the measured values of power consumption are not fluctuating 
dramatically, and a repeatable measurement can be taken. To stabilize 
the STB, DOE proposes to adopt the requirement specified in section 
8.1.1(e) of the draft CEA-2043 standard. The standard requires the STB 
be operated in on mode (as discussed in section III.G.5 of this NOPR) 
while receiving and decoding video for at least 15 minutes for the STB 
to achieve stable condition. DOE expects that 15 minutes should be 
sufficient to warm-up the STB. This warm-up is also consistent with the 
ENERGY STAR test method. The STB warm-up requirements are specified in 
section 5.1 (Set-top Box Warm-up) of the proposed Appendix AA to 
Subpart B of 10 CFR Part 430. DOE invites interested parties to comment 
on the proposed warm-up time for stabilizing the STB.
2. Test Configuration Information
    To test the STB in on, sleep, and off modes, DOE proposes to 
specify the configuration in which the STB shall be connected with one 
or more display devices and clients. This information is not specified 
in the draft CEA-2043 standard; instead section 8.1.11 of the standard 
states that the entity specifying the use of the CEA standard is 
expected to provide this information. Because DOE is proposing to adopt 
the requirements specified in the draft CEA-2043 standard, DOE 
qualifies as the entity specifying the use of the CEA standard. 
Accordingly, DOE proposes to specify this information, as discussed in 
the following paragraphs. The proposed test configuration information 
is included in section 5.2 (Test Configuration Information) of the 
proposed Appendix AA to Subpart B of 10 CFR Part 430.
    The draft CEA-2043 standard requires the following information to 
be specified: a configuration diagram of the STBs, clients, display 
devices, and any other devices required for testing; the specific 
network technology to be used for each test, if applicable; the maximum 
number of connected display devices and clients for each test, if 
applicable; devices in the network configuration that cannot be tested; 
required tests to be run on each device; and, test parameters for each 
required test.
    Accordingly, DOE proposes to specify that the test configuration 
described in Table 1 shall be used to configure all STBs and connected 
devices. Because it is possible to configure STBs in several different 
ways, DOE is proposing a table that lists the priority in which STBs 
shall be configured rather than providing several different 
configuration diagrams to cover the various possibilities. For multi-
streaming STBs, the proposed configuration in Table 1 describes the 
number of display devices and clients that shall be connected to the 
STB depending on its capabilities. If a STB is not capable of multi-
streaming, that is, if the STB cannot connect to multiple display 
devices and does not support DVR and clients, then it shall be 
connected to only one display device according to the proposed 
configuration in the last row of Table 1. Each STB type is expected to 
fall in one of the rows of Table 1 only. For example, a STB with DVR 
capability that supports connections to multiple display devices and 
clients shall be connected to one display device and one client 
according to the configuration proposed in the first row of Table 1. 
DOE developed the proposed configuration table such that a maximum of 
three different content streams are enabled for multi-streaming STBs 
for the multi-stream test, which is discussed in section III.G.5.b.

[[Page 5090]]



                               Table 1--Display Device and Client Connection Setup
----------------------------------------------------------------------------------------------------------------
  Supports multiple                                                   Number of connected   Number of  connected
   display devices?        Supports DVR?        Supports clients?       display devices            clients
----------------------------------------------------------------------------------------------------------------
                X                      X                      X                      1                      1
                X                      X      .....................                  2                      0
                X      .....................                  X                      2                      1
                                       X                      X                      1                      1
                X      .....................  .....................           2 or 3 *                      0
                                       X      .....................                  1                      0
                       .....................                  X                      1               1 or 2 *
                       .....................  .....................                  1                      0
----------------------------------------------------------------------------------------------------------------
* The highest number of connections supported by the STB shall be used.

    DOE further proposes that the same test configuration shall be used 
throughout testing in the on, sleep, and off modes of operation for all 
STBs. The draft CEA-2043 standard also requires DOE to propose the 
maximum number of display devices and clients that shall be connected 
to the STB. Because the number of connections depends on the 
configuration that is feasible from Table 1, DOE is not proposing the 
maximum number of connections. Instead, DOE proposes to use as many 
connections as required for the configuration that is feasible from 
Table 1. For example, a STB that can be connected to multiple display 
devices and a client, but does not have DVR capability, shall be 
connected to two display devices and one client throughout testing.
    DOE proposes that the connection type that is used to connect the 
display device to the STB shall be selected in the following order of 
preference. The first preference shall be to connect a display device 
to the STB using an HDMI connection, followed by Component Video, S-
Video, and Composite Video, respectively. If none of these connections 
are available or feasible, then any other video interface that is 
feasible shall be used. The order of preference for connecting display 
devices to the STB is adopted from the comments received from 
stakeholders in response to the TVs test procedure rulemaking. 77 FR 
2830, 2839-2840 (January 19, 2012). Sharp commented that video input to 
a TV should be selected in the following order: HDMI, Component Video, 
S-Video, and Composite Video. (EERE-2010-BT-TP-0026, Sharp, No. 45 at 
p. 6) Mitsubishi Electric Visual Solutions America (MEVSA) suggested 
the following input hierarchy definition: ``Testing shall be performed 
using a HDMI input. If the TV does not have an HDMI input, the 
following inputs shall be used in the following order: component, S-
Video, and composite. If the TV has none of these inputs, an 
appropriate interface shall be used.'' (EERE-2010-BT-TP-0026, MEVSA, 
No. 44 at p. 3)
    Additionally, DOE proposes that the connection type that is used to 
connect the client to the STB shall be an HNI connection. The order of 
preference in which an HNI connection shall be selected is discussed in 
section III.F.6.a of this NOPR.
    Finally, the draft CEA-2043 standard provides that the entity 
specifying the use of the CEA-2043 standard (which is DOE in this case) 
is expected to specify the required tests to be run on each device and 
the test parameters for each required test. DOE proposes these test 
specifications in the on, sleep, and off modes in sections III.G.5 to 
III.G.7 of the NOPR.
    DOE invites interested parties to comment on all aspects of the 
proposed configuration for testing STBs in the on, sleep, and off modes 
of operation. DOE is especially interested in receiving comments on the 
proposed connections for the test configuration. DOE also invites 
comments on the proposed order of preference for connecting a display 
device to the STB.
3. Test Conduct
    DOE proposes to specify the type of content that shall be streamed 
to each device that is connected to the STB according to the 
configuration discussed in section III.G.2 above. The information about 
the streaming content is included in section 5.3 (Test Conduct) of the 
proposed Appendix AA to Subpart B of 10 CFR Part 430. While the 
connections required for the STB configuration during testing shall 
remain the same throughout testing, the number and type of test streams 
that shall be enabled for the various tests are proposed to be 
different. This is similar to the usage expected in a typical household 
that has all display devices and clients connected to the STB at all 
times, but the number of streams enabled to each connected device is 
different depending on the number of active viewers on different 
display devices at a given point of time. When multiple streams are 
enabled to output connect to a display device, record on a DVR that is 
integrated into the STB, or stream content to a connected client, DOE 
proposes that the content streamed to each shall be different. That is, 
the content outputted to a display device for viewing a channel shall 
be different from the content recorded on a DVR, which shall also be 
different from the content streamed to a connected client. DOE is 
proposing this requirement because DOE believes consumers generally 
view and record different content simultaneously. Further, DOE proposes 
the following specifications for the content stream that is used for 
streaming to a display device, DVR, and client.
a. Output to a Display Device
    For tests requiring output to be sent to a display device(s), DOE 
proposes that a channel shall be selected and viewed on the connected 
display device(s) as required by the test configuration. If the STB 
does not support channels, an appropriate SD or HD test stream shall be 
selected and viewed on the display device(s). If more than one display 
device is connected to the STB based on the test configuration that is 
feasible, then the content outputted on each display device shall be 
different.
    DOE's proposed requirements for providing video output to a display 
device have been adopted from the draft CEA-2043 standard, which 
specifies that a channel, if supported, or other appropriate content, 
shall be sent to a connected display device. DOE additionally proposes 
that if multiple display devices are connected to the STB, then the 
content on each display device shall be different. This requirement has 
been specified because DOE believes it mirrors typical user operation 
wherein if two TVs are operating in a household at the same time, most 
of the time the content being viewed would be different. DOE requests 
comment on the proposed

[[Page 5091]]

requirements for providing video output to a display device.
b. Recording for a STB With DVR Capability
    For tests that require recording on a STB with DVR capability, DOE 
proposes that a channel shall be selected using a connected display 
device or a client and the program shall be recorded. If more than one 
recording is required on a DVR that is integrated into the STB, the 
content for each recording shall be different.
    DOE is proposing to test the record functionality of STBs with DVR 
capability because it believes that this is one of the most commonly 
used features of such a STB. The proposed method to record the content 
on a DVR that is integrated into the STB is adopted from the draft CEA-
2043 standard's on (record)--DVR STB test. Similar to its proposal in 
section III.G.3.a above for outputting content to a display device, DOE 
is proposing that different content be recorded on a DVR integrated 
into the STB if more than one recording is enabled. This is because it 
is unlikely that users would record the same programming 
simultaneously. DOE invites comment on the proposed requirements to 
record on a DVR integrated into the STB.
c. Streaming to a Connected Client
    DOE proposes that the content streamed to a client shall be 
selected in the following order of preference depending on the number 
of streams enabled. The first available stream that is supported by 
each connected client shall be enabled and the content on each stream 
shall be different. The first preference shall be to use a stream with 
recorded content to stream to the client. That is, content that has 
been recorded previously shall be streamed to the client and viewed on 
a display device connected to the client. If the client does not 
support streaming of recorded content, then a stream with channel 
content shall be used. That is, a channel shall be viewed on the 
display device connected to the client. An SD test stream shall be 
viewed if it is an SD client and an HD test stream shall be viewed if 
it is an HD client. For clients that do not support channels, an 
appropriate SD or HD test stream shall be selected and viewed. Finally, 
if the client does not support either a recorded stream or a channel 
stream, then any other stream that is supported by the client shall be 
used.
    DOE believes that by proposing a hierarchy for the selection of 
streams for the connected client(s), there will be consistency and 
repeatability between tests without imposing an undue burden on 
manufacturers. DOE selected the proposed hierarchy based on the most 
power consumptive option to the least power consumption option. The 
power consumed by a STB when streaming recorded content, which requires 
the HDD to operate as well, is expected to be higher compared to when 
streaming a channel. This proposed hierarchy would ensure consistency 
in the results by accounting for the power differences.
    DOE's proposed specification for playing back recorded content or 
streaming a channel to the connected client is adopted from the 
requirements specified in the draft CEA-2043 standard's on (play)--DVR 
STB test and on (watch TV) test, respectively. DOE requests comment on 
the proposed requirements to stream to a connected client. 
Specifically, DOE requests comment on the proposed hierarchy of content 
to stream to a connected client.
4. Calculation of Average Power Consumption
    For all tests in the on, sleep, and off modes (NOPR sections 
III.G.5, III.G.6, and III.G.7, respectively), DOE proposes that the 
average power consumption shall be calculated using one of two methods. 
The two proposed methods are included in section 5.4 (Calculation of 
Average and Rated Power Consumption) of the proposed Appendix AA to 
Subpart B of 10 CFR part 430.
    The first method is as specified in section 8.2.1 and 8.3.1 of the 
draft CEA-2043 standard. The standard specifies that the accumulated 
energy (Ei) in kWh consumed over a period of time 
(Ti) shall be recorded and the average power consumption 
(Pi) is calculated as the quotient of the accumulated energy 
over the time period, that is, Pi = Ei/
Ti. DOE proposes to adopt this specification from the draft 
CEA-2043 standard to determine the average power consumption and, in 
addition, proposes a second method to calculate average power.
    The second method proposed by DOE allows for the average of 
multiple power samples at a rate of at least 1 sample per second. The 
average power value is calculated by taking the arithmetic mean of all 
the power samples over a period of time. This type of measurement is 
typical of many laboratory setups that perform AC power measurements 
and therefore DOE is proposing to allow this method in addition to the 
accumulated energy consumption method above.
    For both methods, DOE is proposing an average power measurement 
rather than an instantaneous measurement. This is consistent with 
comments from CA IOUs, who are in favor of using an average power 
consumption value rather than an instantaneous one. Specifically, the 
CA IOUs commented that if testing is performed during a period of a 
large software update, the power consumption of the STB could be 
elevated and atypical. (CA IOUs, No. 0033 at p. 7) DOE believes an 
average measurement would average out any elevated power consumption.
    DOE is proposing an average measurement of power consumption based 
on comments received from CA IOUs and DOE's internal testing results. 
DOE tested eight STB models during internal testing using both HD and 
SD test streams, for a total of 16 tests in the on, sleep, and off 
modes of operation. The STBs that were tested included two STBs with 
DVR functionality, two STBs without DVR functionality, and four over-
the-top (OTT) STBs. DOE also performed one repeatability test each on 
three STBs using the HD test stream. The power meter that was used 
during internal testing provided the accumulated energy consumption 
over time (the first proposed method) as well as the average power 
consumption values sampled over time (the second proposed method). The 
average power consumption using both methods was the same. DOE sampled 
the power consumption values over a duration of 10 minutes at the rate 
of one sample per second. That is, DOE collected data that provided the 
instantaneous power consumption at any point of time over the 10 minute 
duration as well as the average power consumption over different time 
periods (example: 2 minutes, 5 minutes, etc.). Figure 1 below compares 
the instantaneous power versus the 2 minute and 5 minute average power 
in the on mode for a STB that DOE tested internally. The power 
consumption values have been normalized to the total average power over 
the 10 minute test duration.

[[Page 5092]]

[GRAPHIC] [TIFF OMITTED] TP23JA13.000

    Figure 1 indicates that an average value over 2 minutes and 5 
minutes for the on mode test provided a more stable and repeatable 
measurement compared to the instantaneous measurement. This result is 
expected for STBs given the different activities that are performed 
from time to time, such as maintenance or software updates. If the 
power is measured at a particular instant, there is a possibility that 
the recorded value may be too high or too low depending on the content 
being streamed at that time. Further, for the sleep mode tests which 
require the power consumption to be determined over 4 to 8 hours, an 
average measurement could capture the potential decrease in power 
consumption if the STB powered down into lower power modes, depending 
on the time when the measurement is taken. DOE's proposed average power 
measurement is consistent with the requirements specified in section 
8.6.5 of the IEC 62087 standard as well.
    DOE requests comment on the proposed methods to determine the 
average power consumption of the STB in each mode of operation.
5. On Mode Power Measurement
    For on mode testing, DOE proposes two tests: An on (watch TV) test 
and a multi-stream test, which combines the multiple principal STB 
functions into a single test. Rather than testing each individual 
principal STB function separately, which may be burdensome to test, DOE 
is proposing to use these two tests to best represent typical STB 
usage. This would simplify testing as well as allow for different STBs 
to be operated under different conditions. The on (watch TV) test 
evaluates the power consumption of the STB when utilizing the most 
basic function that all STBs share in common, watching a channel 
outputted on a display device from a STB. The multi-stream test 
evaluates the power consumption of the STB when multiple principal STB 
functions are used simultaneously.
    DOE further proposes that the time period for each test in the on 
mode, TON, shall be 2 minutes. The draft CEA-2043 standard 
from which DOE's proposed on mode test procedure is derived, does not 
specify the duration of time the STB shall be operated for the on mode 
test; instead, in section 8.1.11 it states that the entity specifying 
the use of the CEA-2043 standard (which is DOE in this case) shall 
specify the time period. Therefore, DOE is proposing that the duration 
of the test shall be 2 minutes, which is consistent with the time 
period specified in section 8.6.5 of IEC 62087 for the on mode tests. 
Additionally, as shown in Figure 1 in section III.G.4 of the NOPR, 
results from internal testing conducted by DOE indicated that the 
average power consumption over 2 minutes was sufficient to provide 
repeatable results. That is, the 2 minute moving average over a 10 
minute test duration showed less variability compared to the 
instantaneous power measurements. Additionally, the average power 
consumption of the STB over 2 minutes was similar to the average power 
consumption of the STB over 5 minutes during internal testing as seen 
in Figure 1 in section III.G.4 of the NOPR.
    DOE invites comment on all aspects of the proposed approach for 
testing the STB in the on mode of operation.
a. On (Watch TV) Testing
    DOE proposes to adopt the on (watch TV) test procedure specified in 
section 8.2.2.1 of the draft CEA-2043 standard with some modification. 
First, the STB shall be configured as proposed in Table 1 in section 
III.G.2 of the NOPR. The STB shall be configured such that all devices 
for the feasible configuration are connected to the STB. Of all the 
connections to the STB, only one stream shall be enabled and shall 
stream to a connected display device. All other connected display 
devices and clients shall not have any content streamed to them. Next, 
an SD channel shall be selected and viewed on the connected display 
device. If the STB uses a content provider that does not support 
channels, an appropriate SD test stream shall be selected and viewed on 
the display device. Finally, the power consumption measurement shall be 
started and the average power consumption shall be recorded for 2 
minutes as PWATCH--SD. For STBs that support HD streaming, 
the

[[Page 5093]]

test shall be repeated using HD content and the average power shall be 
recorded for 2 minutes as PWATCH--HD. The average power 
consumed in the on (watch TV) mode, PWATCH, shall be 
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP23JA13.001

    DOE's proposed method for testing in the on (watch TV) mode is 
included in section 5.5.2 (On (Watch TV)) of the proposed Appendix AA 
to Subpart B of 10 CFR part 430. DOE's proposed test method is 
different from that specified in the draft CEA-2043 standard in one key 
area. The draft CEA-2043 standard tests an HD STB using an HD test 
stream only; DOE's proposed approach tests an HD STB for 2 minutes 
using an SD test stream, followed by 2 minutes of testing using an HD 
test stream. DOE proposes to use both the SD and HD test streams to 
test HD STBs because it does not expect all content to be available on 
an HD stream in the near future. That is, DOE's expectation is that HD 
STBs may continue to stream some content using an SD stream because the 
content would not be available in an HD broadcast stream. Therefore, 
testing an HD STB using both an SD and HD test stream would represent 
the typical use of an HD STB better than testing it on an HD stream 
only. This requirement is also specified in the ENERGY STAR 
specification, and it allows stakeholders the opportunity to represent 
energy savings if a STB can be designed to consume less energy while 
streaming SD content compared to streaming HD content. DOE expects this 
additional test will have minimal impact on testing burden.
    Further, DOE proposes that for HD enabled STBs, the average power 
in on (watch TV) mode shall be the average of the average power 
consumed using an SD stream and HD stream. DOE also considered whether 
different weights, other than the average, should be used to combine 
the power consumption using SD and HD streams for an HD STB that is 
representative of consumers' usage of each of these streams. However, 
DOE does not have any data that indicates the percentage of streams 
that are available only in SD for HD STBs.
    DOE requests comment on the proposed method to test the on (watch 
TV) principal STB function. DOE also requests interested parties to 
comment, and provide data if available, on the percentage of streams 
that are available in SD and HD for HD STBs, and whether the proposed 
equation for calculating PWATCH should be changed.
b. Multi-Stream Testing
    To test other principal STB functions that are capable of multi-
streaming as defined in section III.D.4 of the NOPR, DOE proposes a 
multi-stream test that simultaneously tests the most common STB 
functions such as, viewing a channel, recording, and playback. The 
proposed multi-stream test is included in section 5.5.3 (Multi-stream) 
of the proposed Appendix AA to Subpart B of 10 CFR part 430. DOE 
proposes to test the power consumption of STBs that are capable of 
multi-streaming as follows: First, the STB shall be configured as 
proposed in Table 1 in section III.G.2 of the NOPR. The STB shall be 
configured such that all devices required for the feasible 
configuration are connected to the STB. Next, the number of streams 
that shall be enabled and the type of content that shall be streamed 
using the STB shall be as specified in Table 2 of the NOPR. The highest 
priority (smallest number in column 1 of Table 2) of streaming content 
that is supported by the STB shall be selected. All streams required 
for the supported priority shall be enabled using appropriate content 
as described in section III.G.3 of the NOPR. As an example, if the STB 
does not have DVR capability but can connect to multiple display 
devices and clients, priority 3 shall be selected and the STB shall 
output different content to two display devices and shall playback 
previously recorded content on a connected client.

                                Table 2--Priority List for the Multi-Stream Test
----------------------------------------------------------------------------------------------------------------
                                                                          Number of streams enabled
   Priority for Enabling Multi-streaming  - 1 is highest   -----------------------------------------------------
             priority  - 9 is lowest priority                  To display       To record on      To connect to
                                                                 devices             DVR             clients
----------------------------------------------------------------------------------------------------------------
1.........................................................                 1                 1                 1
2.........................................................                 2                 1  ................
3.........................................................                 2  ................                 1
4.........................................................                 1                 2  ................
5.........................................................                 1  ................                 2
6.........................................................                 3  ................  ................
7.........................................................                 1                 1  ................
8.........................................................                 1  ................                 1
9.........................................................                 2  ................  ................
----------------------------------------------------------------------------------------------------------------

    If the STB or connected client supports HD streaming, an HD test 
stream shall be used, otherwise an SD stream shall be used. Finally, 
the multi-stream mode power consumption measurement shall be started 
and the average power consumed by the STB shall be recorded for 2 
minutes as PMULTI--STREAM.
    The multi-stream test proposed by DOE to test multiple 
functionalities of the STB simultaneously, is not explicitly specified 
in the draft CEA-2043 standard, but the standard contains most of the 
information that DOE has combined for the multi-stream test. The 
standard specifies the methods to test the play (section 8.2.2.2 of the 
standard) and record (section 8.2.2.3 of the standard) functionality of 
STBs with DVR capability, it provides recommendations for concurrent 
testing of networked STBs, and the different

[[Page 5094]]

tests that may be performed on different types of STBs. However, the 
draft CEA-2043 standard does not require any of these tests and states 
that the entity specifying the use of the draft CEA-2043 standard 
(which is DOE in this case) shall provide the specific configuration 
and type of tests to be performed. Therefore, DOE is proposing the 
multi-stream test, which specifies that: (1) The STB shall be set up 
according to the configuration in Table 1 in section III.G.2 of the 
NOPR; and, (2) different functionalities that are to be tested shall be 
enabled using the priority listed in Table 2. Once the STB is set up 
and the different functionalities are enabled, the power consumption of 
the STB in multi-stream shall be measured. To develop this proposed 
multi-stream test for power consumption measurement, DOE has adopted 
the draft CEA-2043 standard's play and record tests.
    DOE's view is that the proposed multi-stream test is representative 
of typical consumer usage of a STB compared to individually testing the 
different STB features. That is, DOE expects that users would operate 
multiple, different functions of the STB at the same time rather than 
operate each function in sequence.
    Further, for STBs that are capable of multi-streaming, DOE is 
proposing that a maximum of three streams shall be enabled, if 
feasible. If the STB supports only two streams, then two streams shall 
be enabled. DOE is proposing to enable a maximum of three streams 
because, according to data published by The Nielsen Company in January 
2011, the average number of TVs per U.S. household is 2.5.\30\ Based on 
this data, DOE approximated that a typical household in the U.S. has up 
to three TVs and DOE assumed that a STB would typically be performing 
up to three functions at a time. Therefore, DOE is proposing that a 
maximum of three streams are enabled. While there may be STBs that are 
capable of streaming more than three different content streams at a 
time, attempting to test all available streams would result in testing 
the STB at an extreme condition and would not be representative of 
typical STB usage. DOE, however, is considering implementing a maximum 
power test in which the STB is tested at maximum functionality where 
the maximum number of streams is exercised simultaneously. DOE is not 
currently proposing such a test, but requests feedback on including a 
maximum streaming test, and if included, also requests comment on the 
weightings that should be applied to the AEC calculation (discussed in 
further detail in section III.I).
---------------------------------------------------------------------------

    \30\ Nielsen Wire. ``Factsheet: The U.S. Media Universe''. 
http://blog.nielsen.com/nielsenwire/online_mobile/factsheet-the-u-s-media-universe/.
---------------------------------------------------------------------------

    DOE invites interested parties to comment on the proposed test 
procedure for testing STBs with multi-streaming capability. DOE is 
especially interested in receiving comments on the proposed priority 
list for enabling streams for testing STBs with multi-streaming 
capability. DOE also seeks feedback on whether the number of additional 
streams that should be enabled should be other than three and the 
reasons for enabling a different number of streams. DOE requests 
comment on the possibility of including a maximum power test, which 
would test the STB such that the maximum number of streams are enabled. 
If included, DOE requests comment on the weighting that should be 
applied for the maximum streaming test in the calculation of the AEC.
6. Sleep Mode Power Measurement
    For sleep mode testing, DOE proposes two tests only for those STBs 
that are capable of transitioning from sleep mode to on mode within 30 
seconds as defined in section III.D.5 of this NOPR. If the STB cannot 
be placed in sleep mode, DOE proposes that this test be skipped. For 
manufacturers that wish to determine whether a given basic model 
contains a sleep mode that meets the 30 second transition time 
requirement, DOE is proposing that the sleep to on mode transition time 
test should be performed as described in section III.G.8 of the NOPR. 
While this test is not necessary for determining the power consumption 
values in the three modes, DOE would perform this test to determine how 
the sleep mode consumption should be determined.
    The two sleep mode tests are: A manual sleep test in which the STB 
enters sleep mode through a user action, and an APD test in which the 
STB automatically enters sleep mode after a period of user inaction. 
The proposed sleep mode test is included in section 5.6 (Sleep Mode 
Power Measurement) of the proposed Appendix AA to Subpart B of 10 CFR 
Part 430.
    DOE further proposes that the time period for each test in the 
sleep mode, TSLEEP, shall be at least 4 hours and up to a 
maximum of 8 hours. The time period shall be extended beyond 8 hours if 
a network initiated action occurs which requires the sleep mode test to 
be performed for a longer duration (discussed below in further detail). 
Similar to the on mode test, section 8.1.11 of the draft CEA-2043 
standard specifies that the entity specifying the use of the CEA-2043 
standard (which is DOE in this case) shall provide the time period. 
Therefore, DOE is proposing that the power consumption be determined 
over 4 to 8 hours. The proposed time duration for the sleep mode tests 
is much longer than the 2 minutes proposed for the on mode tests 
because DOE expects that many STBs may transition to lower power 
consumption modes after being in sleep mode for a couple of hours. 
Testing over a duration of 4 to 8 hours shall capture the decreased 
power consumption if it occurs within the 4 to 8 hour time period.
    DOE considered other options for the time period over which the 
average power of the STB in sleep mode should be measured, such as more 
than 8 hours, only 8 hours, only 4 hours, or less than 4 hours. DOE did 
not pursue the option of testing sleep mode over a period greater than 
8 hours because of the large testing burden associated with such a long 
duration. DOE also considered a value less than 4 hours but is 
concerned that a STB may not power down to the lowest possible energy 
consumption mode in less than 4 hours. DOE is proposing between 4 to 8 
hours for testing the STB because it is the half (4 hours) to full (8 
hours) duration of an expected over-night sleep mode of a STB, assuming 
an 8 hour over-night duration during which most consumers are not using 
the STB. Further, DOE expects that if a STB has the capability to power 
down to lower sleep modes, it would do so within 4 to 8 hours.
    For both, the manual sleep test and APD test, DOE proposes that 
certain conditions be ensured while the STB is in sleep mode. That is, 
it shall be ensured that no recording events are scheduled over the 
entire duration of the test, including the time the STB is in on mode 
prior to transitioning to sleep mode. Further, if a STB is capable of 
scheduling a recording, a recording shall be scheduled 24 or more hours 
into the future.
    Next, no service provider network initiated action (such as, 
content downloads or software updates) requiring a transition to on 
mode shall occur over the 4 to 8 hours that the STB is in sleep mode. 
If a service provider network initiated activity cannot be disabled, 
then this requirement shall be monitored by sampling the power 
consumption at a rate of at least 1 sample per second over the entire 
duration of the test and observing the changes to the power consumption 
over time. If the input power is less than or equal to 1 W, then a 
linear regression through all power readings shall have a

[[Page 5095]]

slope of less than 10 mill-watts per hour (mW/h). If the slope of the 
linear regression is equal to or greater than 10 mW/h, it is assumed 
that a network activity has occurred and the test shall either be 
restarted or extended until the slope is less than 10 mW/h. For input 
powers greater than 1 W, a linear regression through all power readings 
shall have a slope of less than 1 percent of the measured input power 
per hour. If the slope is equal to or greater than 1 percent, it is 
assumed a network activity has occurred and the test shall either be 
restarted or extended until the slope is less than 1 percent. In 
addition, if the test is extended beyond 8 hours to meet the required 
conditions, the average power consumption over the entire test duration 
shall be used to calculated the rated power consumption in sleep mode.
    Finally, no local area network initiated actions requiring a 
transition to on mode shall be scheduled over the 4 to 8 hours that the 
STB is in sleep mode (example: mobile applications or other network 
devices requesting service).
    The above requirements for sleep mode testing have been adopted 
from the draft CEA-2043 specification with some differences. For 
example, section 8.3.1 of the draft CEA-2043 standard specifies that no 
recording shall be scheduled while the STB is in sleep mode. However, 
DOE proposes that no recording shall be scheduled for the entire 
duration that the STB is tested for the sleep mode test, including the 
time the STB is in on mode prior to transitioning to sleep mode. For 
the manual sleep test, the time period in on mode is 5 minutes (as 
discussed in section III.G.6.a of the NOPR) and for the APD test, this 
time period is a maximum of 4 hours (as discussed in section III.G.6.b 
of the NOPR). This proposed requirement enables the STB to transition 
to sleep mode as desired, without any scheduled recordings keeping the 
STB in on mode.
    DOE is also proposing, for sleep mode testing, that a recording be 
scheduled 24 or more hours into the future on STBs that are capable of 
scheduling a recording. This proposed requirement is not part of the 
draft CEA-2043 standard. DOE has included the recording requirement 
because it understands that the power consumption of the STB may be 
different when a recording is scheduled compared to when it is not. 
When a recording is scheduled, the STB performs some non-primary 
functions in the background to keep track of time and ensure that it 
transitions to on mode once it is time to initiate recording. On the 
other hand, if the STB does not have any recording or other functions 
scheduled for the future, it may not perform any function until the 
user transitions it back to the on mode using a remote control. DOE 
expects that a STB in a consumer's home typically keeps track of some 
command that requires it to initiate an action in the future while it 
is still in sleep mode. For example, while the STB is in sleep mode it 
may have to transition to on mode because the user had scheduled a 
recording prior to placing it in sleep mode. Therefore, DOE proposes 
that a recording shall be initiated 24 or more hours into the future 
from test time.
    Another difference between DOE's proposed test method and the 
requirements specified in the draft CEA-2043 standard is that section 
8.3.1 of the standard specifies that it shall be ensured that no 
service provider network initiated actions occur while the STB is in 
sleep mode. However, for STBs that may not be tested by a manufacturer 
and are tested at a third-party laboratory, it might not be possible to 
know when a service provider network initiated action occurs. Because 
it is not possible to control the initiation of this activity, DOE is 
proposing that the power readings recorded at a rate of at least 1 
sample per second shall be observed for changes in power consumption 
and a linear regression shall be performed to determine whether a 
service provider initiated activity has occurred. As discussed above, 
if the slope of the linear regression is greater than 1 percent, for 
input powers greater than 1 W, then it is assumed a network initiated 
action occurs and the test shall be restarted or extended until the 
slope is less than 1 percent. The proposed requirements for analyzing 
the power consumption readings have been adopted from the IEC 62301 
standard with some modification. IEC 62301 specifies similar 
requirements for determining the power consumption within a mode that 
is not cyclic. A potential drawback of DOE's proposed method to check 
for a network initiated action is that if the slope of the linear 
regression is analyzed and used to gauge for network initiated 
activities, it is possible that the slope may vary even when the STB 
transitions to lower power consumption modes through the sleep mode. 
That is, if a STB enters sleep mode when the ``Power'' button on the 
remote is pressed, and then continues to transition to lower power 
consumption modes over the 4 to 8 hour time period of the sleep mode 
test, then the slope of the linear regression may not be less than 1 
percent of the measured input power per hour as specified in the 
requirements. In such a scenario, the test duration for the sleep mode 
may be extended until the power consumption of the STB stabilizes 
around a particular value. While this would increase the test burden 
for manufacturers and third-party laboratory testing, an advantage 
would be that the lowest power consumption modes of the STB would be 
captured and included in the sleep mode power consumption measurements. 
Alternatively, DOE is concerned that if the time period of the sleep 
mode test is extended to be much longer than 8 hours, the test may 
increase test burden.
    DOE also considered other options to monitor for network initiated 
activities, which it has not proposed in today's rulemaking. One of 
these options would be to sample the power consumption at a rate of at 
least 1 sample per second and determine if the power samples 
continuously exceed the median power consumption by more than 10 
percent of the median power for more than 15 minutes over the 4 to 8 
hour sleep mode duration. However, DOE did not propose this approach 
for several reasons. First, any value that is selected for comparing 
the power samples to the median power (such as 10 percent in the setup 
discussed here) as well as the duration of time (15 minutes) may not 
encompass all possible scenarios of a transition from sleep to on mode 
during the sleep mode test. For example, if a network event increases 
power by 5 percent over a duration of 2 hours, this approach would not 
capture the transition from sleep to on mode even though the increase 
in power consumption would be significant. Another disadvantage of this 
approach is that periodic events that may be intended to occur during 
sleep mode would be falsely captured as a network initiated activity. 
For example, if a STB wakes up for 15 minutes every 2 hours while in 
sleep mode, this approach would capture it as a network event, while in 
fact it is a scheduled activity that should be part of the sleep mode 
power consumption measurement.
    Another approach that DOE considered but has not proposed would be 
to test the STB in sleep mode for a very long period of time, such as 
24 hours, so that the effect of a network initiated activity is 
mitigated over the long time period. However, DOE determined not to 
propose this approach because of the significant test burden to testing 
laboratories.
    Finally, once all the conditions for performing the sleep mode test 
are met, DOE proposes that the STB shall be configured as proposed in 
Table 1 in section III.G.2 of the NOPR. The STB

[[Page 5096]]

shall be configured such that all devices required for the feasible 
configuration are connected to the STB. Once the STB is configured it 
shall be placed into sleep mode as described in section III.G.6.a for 
the manual sleep test and as described in section III.G.6.b for the APD 
test.
    DOE invites comment on all aspects of the proposed specification 
for setting up STBs for testing in the sleep mode of operation. In 
particular, DOE is interested in receiving comments on the proposed 
time duration of 4 to 8 hours over which the power consumption shall be 
measured and whether this duration should be increased or decreased to 
better represent STB power consumption in sleep mode. DOE also requests 
comment on the proposed scheduled recording requirement prior to 
placing the STB in sleep mode to measure its power consumption. DOE 
requests interested parties to provide data, if available, on the 
variation in power consumption of a STB when a recording is scheduled 
versus when it is not. Finally, DOE invites interested parties to 
comment on all aspects of the proposed method to address network 
initiated actions. DOE requests comment and data, if available, on the 
approach proposed in today's NOPR, the approaches that were considered 
but have not been proposed, as well as any other approach that 
stakeholders believe would best capture the transition of the STB from 
sleep mode to on mode due to network initiated activities.
a. Manual Sleep Testing
    DOE proposes to measure the STB power consumption in the manual 
sleep mode only for STBs that can transition from sleep mode to on mode 
within 30 seconds as defined in section III.D.5 of the NOPR. For STBs 
that cannot support sleep mode, DOE proposes that the power consumption 
in manual sleep mode, PSLEEP--MANUAL, shall be set equal to 
PWATCH. For STBs that support sleep mode, DOE proposes to 
measure the STB power consumption in manual sleep mode as follows. Once 
the STB is configured it shall be operated in the multi-stream test 
configuration (section III.G.5.b of the NOPR) for at least 5 minutes, 
if the STB supports multi-streaming. If the STB does not support multi-
streaming, it shall be operated in the on (watch TV) configuration 
(section III.G.5.a of the NOPR) for at least 5 minutes. Next, the 
``Power'' button on the remote for the STB and each locally connected 
display device and client shall be pressed momentarily (for less than 1 
second) to place the STB and each locally connected display device and 
client into sleep mode, as defined in section III.D.5 of the NOPR. The 
STB remote control shall not be used (or moved) after the STB has been 
placed in sleep mode. It must be ensured that the STB and each locally 
connected client has entered sleep mode. This shall be done by ensuring 
no channel viewing or recording is supported on the STB and clients. 
That is, there shall be no video output on the connected display 
device(s) from the STB and any locally connected clients. The manual 
sleep mode power consumption measurement shall be started and the 
average power consumed by the STB shall be recorded as 
PSLEEP--MANUAL over the time period as determined in section 
III.G.6 of the NOPR. DOE's proposed test for the manual sleep mode is 
included in section 5.6.7 (Manual Sleep Test) of the proposed Appendix 
AA to Subpart B of 10 CFR Part 430.
    DOE is proposing to set PSLEEP--MANUAL equal to 
PWATCH for STBs that may not necessarily support the manual 
sleep mode test. This is because assigning a value of 0 kWh for the 
power consumption in manual sleep mode for such STBs would be 
misleading. A 0 kWh power consumption value in manual sleep mode may 
indicate that the STB does not consume any energy when it is placed in 
sleep mode, which is inaccurate. Further, for the purposes of the 
calculation of the AEC metric (discussed in detail in section III.I of 
the NOPR), setting PSLEEP--MANUAL equal to PWATCH 
would count the STB as being in the on mode if it does not support the 
manual sleep mode test. This would ensure that the AEC metric is a 
representation of STB operation that is consistent with the definition 
of sleep mode proposed in this NOPR.
    DOE's proposed test procedure for determining the average power 
consumed by the STB in manual sleep mode is similar to the requirements 
specified in section 8.3.4 of the draft CEA-2043 standard for the sleep 
mode test procedure, with some minor differences. While DOE proposes 
that the STB shall operate in on mode for at least 5 minutes prior to 
placing the STB in sleep mode, the draft CEA-2043 standard does not 
specify any time requirement. DOE is proposing this requirement to 
ensure that all STBs that are tested are operated for the same duration 
of time prior to transitioning to sleep mode. DOE selected 5 minutes as 
the minimum proposed duration to operate the STB in on mode prior to 
placing it in sleep mode to ensure that the STB is fully functional 
before sleep mode is initiated, without increasing the test burden 
significantly. During internal testing (described in section III.G.4 of 
the NOPR), DOE observed that none of the tested STBs took longer than 5 
minutes to turn on and enable functionality. DOE believes this 
requirement will ensure that there is consistency and repeatability 
between tests without imposing an undue burden on manufacturers.
    Another difference between DOE's proposed test and the draft CEA-
2043 standard is that the standard provides three different methods to 
verify that the STB has entered sleep mode and specifies that any of 
the three methods can be used for verification. These are: ensuring 
that no channel viewing or recording is supported on the STB; observing 
a sleep mode indicator on the STB, which may be found from the user 
manual; or, waiting for a predetermined period of time that is provided 
by the entity specifying the use of the CEA-2043 standard. Of these 
methods, DOE is proposing to use the first approach, which requires 
ensuring that no channel viewing or recording is supported on the STB. 
DOE expects this method to be the most common way for determining 
whether or not a STB has entered sleep mode. Not all STBs have a sleep 
mode indicator on the box and a standard predetermined wait time for 
all STBs could potentially be long or short for at least some of the 
STBs. An individual check on each STB guarantees that the STB has 
transitioned to sleep and that the measurement may be taken.
    DOE invites interested parties to comment on the proposed 
requirements for testing STBs in manual sleep mode.
b. Auto Power Down Testing
    DOE proposes to perform an APD test as a second sleep mode test. 
The APD test is included in section 5.6.8 (Auto Power Down (APD) Test) 
of the proposed Appendix AA to Subpart B of 10 CFR Part 430. To measure 
the power consumption of a STB that is capable of APD, DOE proposes the 
following test. Similar to the manual sleep test, once the STB is 
configured it shall be operated in the multi-stream test configuration 
(section III.G.5.b of the NOPR) for at least 5 minutes, if the STB 
supports multi-streaming. If the STB does not support multi-streaming, 
it shall be operated in the on (watch TV) configuration (section 
III.G.5.a of the NPR) for at least 5 minutes. Next, the ``Power'' 
button on the remote shall be pressed momentarily (for less than 1 
second) only for any locally connected clients to place the connected 
clients into sleep mode, as defined in section III.D.5 of the NOPR. 
Additionally, if more than one display device is locally connected to 
the STB, the ``Power'' button on the remote for the additional

[[Page 5097]]

locally connected display devices shall be pressed and the STB shall 
stream content to one connected display device only. Once all but one 
connected display device are ``off'', the STB remote control shall not 
be used. The STB shall be operated until it enters sleep mode or until 
4 hours elapse, whichever occurs first. If the STB does not transition 
into sleep mode at the end of 4 hours, then the STB is not considered 
to support APD and PSLEEP--APD shall be set equal to 
PWATCH. Once the STB is in APD, the power consumption 
measurement in APD shall be started and the average power shall be 
recorded as PSLEEP--APD over the time period as determined 
in section III.G.6 of the NOPR.
    DOE's proposed test is similar to the manual sleep test discussed 
in section III.G.6.a of the NOPR; the only difference is that in the 
manual sleep mode test the STB is placed into sleep mode manually, 
while in the APD test the STB transitions to sleep mode because no user 
activity occurs over a certain time period. DOE's proposed test for APD 
also has some differences from the power mode transition--``on to APD'' 
transition test described in section 8.5.1 of the draft CEA-2043 
standard. First, the test specified in the draft CEA-2043 standard 
records both the power consumption to transition from on mode to APD 
and the time it takes to transition from on mode to APD. In DOE's 
proposed test procedure, however, DOE proposes a maximum time of 4 
hours for the STB to transition to sleep mode through APD. DOE proposes 
that the STB should transition to sleep mode within 4 hours, or else 
the STB is not considered to support APD. DOE's proposed 4 hour time 
limit to transition to APD is adopted from the ENERGY STAR 
specification, which states that products that offer the APD feature 
should be shipped with APD enabled by default and with the APD timing 
set to engage after a period of inactivity less than or equal to 4 
hours.
    DOE considers the 4 hour time limit to be reasonable because it 
assumes that TV programming typically does not exceed 4 hours in 
duration. Therefore, if a viewer is watching such programming without 
sending any other commands to the STB over the duration of the program, 
the STB may transition to APD at the end of 4 hours without shutting 
off the viewer's program of interest. DOE also considered allowing the 
STB configuration to be changed from its default APD behavior to a 
shorter period for the purposes of testing APD as long as the default 
behavior was to power down within 4 hours. This would shorten the test 
time for the APD test; however, DOE does not propose this approach at 
this time as it may not be clear as to whether or not the default 
behavior meets the required 4 hour limit without exercising the test. 
DOE also considered a period less than 4 hours for the APD test, but 
preliminarily determined that any mandated time period that is shorter 
may have a negative impact on the consumer, because it may transition 
the STB to sleep mode while the consumer may still be viewing the 
programming.
    DOE also considered scaling the APD, wherein the power consumption 
in APD would be dependent on the duration required for the STB to 
transition from on mode to sleep mode using the APD feature. For 
example, DOE currently proposes to assign 7 hours to the APD power 
consumption value while calculating the AEC metric as discussed in 
detail in section III.I of the NOPR. The proposed method to calculate 
AEC allocates these 7 hours to APD assuming it would require 4 hours to 
transition from on mode to sleep mode using the APD feature. DOE also 
considered allowing for a higher daily hour allocation for STBs that 
entered APD within 1 or 2 hours. However, DOE is concerned that 
proposing scaling of power consumption in APD in the test procedure may 
encourage manufacturers to use a very short default APD time period 
that might be intrusive to the consumer experience. This would hamper 
consumer adoption of APD because the STB may transition to sleep mode 
while a consumer is still viewing content. In such a situation, if the 
consumer disables the APD feature, the potential energy savings for APD 
enabled STBs may not be realized in the field. While DOE is not 
proposing a scaled APD power consumption value in today's NOPR, it 
requests stakeholders to comment on potential methods to scale APD and 
the advantages and disadvantages of scaling the power consumption in 
APD. DOE also requests comment on the impact of a scaling APD power 
consumption value on the proposed AEC metric (discussed in section 
III.I of the NOPR) and potential methods to account for a scaling APD 
value in the AEC metric.
    Another difference between DOE's proposed test for APD and the test 
specified in the draft CEA-2043 standard is that DOE proposes the same 
configuration of connections for the STB as is used for all other 
tests. In contrast, the test specified in the draft CEA-2043 standard 
tests on an individual STB only. As discussed in section III.G.3 of the 
NOPR, DOE's proposed method matches the usage expected in a typical 
household. That is, all connected devices will be connected to the STB 
at all times, but the STB will be performing different functions at 
different times. Therefore, DOE has not changed the configuration in 
which the STB is tested for the APD test.
    DOE invites interested parties to comment on the proposed test for 
determining the STB power consumption in APD. Particularly, DOE 
requests comment and data, if available, on the time required to 
transition to sleep mode and whether this time period should be set at 
a default value of 4 hours or adjusted during testing.
7. Off Mode Power Measurement
    DOE's proposed test procedure for determining the power consumption 
of a STB in off mode is similar to the test procedure specified in 
section 8.4.1 of the draft CEA-2043 standard. The proposed off mode 
test is included in section 5.7 (Off Mode Power Measurement) of the 
proposed Appendix AA to Subpart B of 10 CFR Part 430. DOE proposes the 
following test to determine the off mode power consumption of the STB. 
If the STB supports off mode as defined in section III.D.5 of the NOPR, 
it shall be placed in off mode. If it does not support off mode as 
defined in section III.D.5, this test shall be skipped. Next, wait 
until the STB enters off mode and record the average power consumed by 
the STB for 2 minutes as POFF.
    DOE invites interested parties to comment on the proposed 
requirements for testing STBs in off mode.
8. Sleep to On Mode Transition Time Measurement
    DOE proposes to include a test to verify the time required to 
transition from sleep mode to on mode to help manufacturers to 
determine if the basic model contains a sleep mode per DOE's proposed 
regulatory definition (discussed in section III.D.5 of the NOPR). 
According to the definition proposed for sleep mode in section III.D.5 
of the NOPR, a STB is considered to be in sleep mode only if it can 
transition from sleep mode to on mode within 30 seconds. While STB 
manufacturers may know the time it takes for the STB to transition, DOE 
is including this test in today's proposed test procedure in the event 
there is any uncertainty if the STB meets the sleep mode requirements. 
The proposed test procedure for determining the transition time from 
sleep mode to on mode is described below and has been adopted from 
section 8.5.5 of the draft CEA-2043 standard's Power Mode Transition--
``Sleep to On'' Transition test method. The proposed sleep to on mode 
transition time measurement test is

[[Page 5098]]

included in section 5.8 (Sleep to On Mode Transition Time Measurement) 
of the proposed Appendix AA to Subpart B of 10 CFR Part 430.
    DOE proposes the following test to determine the sleep to on mode 
transition time. The test shall be used to verify two different cases. 
First, to determine the transition time from sleep to on mode for the 
manual sleep test, and second, to determine the transition time from 
sleep to on mode for the APD test. For the manual sleep test, the STB 
shall be placed into sleep mode according to the steps specified in the 
manual sleep mode test (described in section III.G.6.a of the NOPR). 
For the APD test, the STB shall be allowed to transition to sleep mode 
from on mode automatically, according to the steps specified in the APD 
test (described in section III.G.6.b of the NOPR). For both sleep mode 
tests, once the STB enters sleep mode, wait until the STB power 
consumption (PSLEEP, which is generic for 
PSLEEP--MANUAL or PSLEEP--APD) is between 
PSLEEP and PSLEEP + 0.5W. That is, the power 
consumption should be less than PSLEEP + 0.5 W and greater 
than PSLEEP. After the power consumption reaches the desired 
value, wait for at least 5 minutes before pressing the ``Power'' button 
on the remote or front panel of the STB. Once the STB is powered, 
elapsed time measurement shall be started and the duration shall be 
measured until the STB enters on mode. It shall be ensured that the STB 
has entered on mode when it supports channel viewing on the connected 
display device or client. The duration to transition from sleep mode to 
on mode shall be recorded as TSLEEP--TO--ON. If 
TSLEEP--TO--ON is greater than 30 seconds then 
PSLEEP--MANUAL and/or PSLEEP--APD shall be set 
equal to PWATCH.
    DOE's proposed test to determine the transition time from sleep 
mode to on mode is similar to the sleep to on mode transition test 
specified in the draft CEA-2043 standard, with some additional 
specifications. First, DOE's proposed test specifies that the STB shall 
be placed into sleep mode in two different ways; manually using the STB 
remote for the manual sleep test, and automatically for the APD test as 
described in section III.G.6.b of the NOPR. DOE has included this 
requirement to ensure that the STB is placed into sleep mode according 
to both sleep mode tests proposed in this NOPR. Next, the draft CEA-
2043 standard does not explicitly specify the amount of time a STB 
should be kept in sleep mode, but states that it should be for the 
predetermined stabilization time. Therefore, DOE is proposing that the 
STB shall remain in sleep mode for at least 5 minutes to stabilize the 
STB in sleep mode. DOE believes that 5 minutes is a sufficient period 
of time to ensure the STB has completed any remaining operations.
    For the sleep to on mode transition time measurement test, DOE also 
proposes that if TSLEEP--TO--ON is greater than 30 seconds, 
then PSLEEP--MANUAL shall be set equal to PWATCH 
and PSLEEP--APD shall also be set equal to 
PWATCH. DOE has included this requirement because if the 
transition time is greater than 30 seconds, then the STB will not meet 
the sleep mode definition described in section III.D.5 of the NOPR and 
will therefore, not be considered in sleep mode.
    DOE requests comment on the proposed sleep to on mode transition 
time measurement test.

H. Sampling Plan

    DOE is proposing the following sampling plan and rounding 
requirements for STBs to enable manufacturers to make representations 
of power consumption in the on, sleep, and off modes of operation. The 
represented power consumption values shall be used to calculate the AEC 
metric (discussed in section III.I of the NOPR), which shall be rounded 
according to the requirements proposed below. The sampling requirements 
are included in the proposed section 429.55 of Subpart B of 10 CFR Part 
429.
    DOE is proposing to keep the minimum sample size of STBs that shall 
be tested to determine rated power consumption at two, as defined in 10 
CFR Part 429.11. However, manufacturers may choose to test a greater 
number of samples of a given basic model, if desired. Additionally, DOE 
is proposing that the rated value of power consumption in the on, 
sleep, and off modes of operation of a basic STB model for which 
consumers would favor lower power consumption values shall be greater 
than or equal to the higher of the mean of the sample or the 95 percent 
UCL of the true mean divided by 1.05. The equations below show the 
calculation of the mean and the UCL, respectively.
    The mean of the sample is calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TP23JA13.002
    
Where:

x = the sample mean,
n = the number of samples, and
xi= the ith sample.

    The UCL is calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TP23JA13.003
    
Where:

x= the sample mean,
s = the sample standard deviation,
n = the number of samples, and
t0.95 = the t statistic for a 95 percent one-tailed 
confidence interval with n-1 degrees of freedom.

    Based on internal testing DOE conducted on STBs (described in 
section III.G.4 of the NOPR), DOE expects that the proposed test 
procedure can provide repeatability within 2 percent. Thus, DOE 
proposes to divide the UCL value by 1.05. In the case where the two 
samples differ by 2 percent, the UCL value will be 6 percent greater 
than the mean, and dividing by 1.05 would result in a value that is 
only 1 percent greater than the mean. Larger variances in samples would 
result in greater UCL values as dictated by the 95 percent confidence 
interval. DOE invites interested parties to comment on the proposed 
sampling plan.
    DOE proposes that only the mean and the UCL of the samples tested 
shall be rounded, while all calculations to

[[Page 5099]]

determine the mean and UCL shall be performed with unrounded values. 
For making representations using the power consumption values in each 
mode of operation, DOE proposes that the accuracy requirements 
discussed in section III.F.2 of the NOPR shall be used as rounding 
requirements. The proposed rounding requirements for the rated power 
consumption values are included in section 5.4 (Calculation of Average 
and Rated Power Consumption) of the proposed Appendix AA to Subpart B 
of 10 CFR Part 430.
    Once the rated power consumption values for the on, sleep, and off 
modes are calculated and rounded, DOE proposes that these rated values 
shall be used to calculate the AEC metric, which is discussed in 
section III.I of the NOPR. For the rounding requirements of the AEC 
metric from the rated power consumption values, DOE proposes the 
following: If the AEC is 100 kWh or less, the value shall be rounded to 
the nearest tenth of a kWh. If the AEC is greater than 100 kWh, the 
value shall be rounded to the nearest kWh. The proposed rounding 
requirements for the AEC metric are also based on the accuracy 
requirements discussed in section III.F.2 of the NOPR. The proposed 
rounding requirements for the AEC metric are included in section 6 
(Calculation of the Annual Energy Consumption of the Set-top Box) of 
the proposed Appendix AA to Subpart B of 10 CFR Part 430.
    DOE requests comment on the proposed rounding requirements for 
representing the power consumption in each mode of operation and the 
rounding requirements for the AEC metric, which is calculated from the 
rated power consumption values.

I. Method To Calculate the Energy Consumption of a Set-Top Box

    DOE received several comments about the metric that should be used 
to determine the annual energy consumption of a STB. CA IOUs commented 
that while typical energy consumption (TEC) calculation is common 
practice for rulemakings, it would not work for STBs because these 
products do not fit the mold for typically regulated products. (CA 
IOUs, No. 0033 at p. 3) Instead, they suggested a metric that would 
focus on sleep power levels. In contrast, AT&T commented that 
consistency with the ENERGY STAR testing methodology was desirable, 
particularly because regulation is being layered onto an already-
existing voluntary program. (AT&T, No. 0032 at p. 28) AT&T further 
commented that the user profile should reasonably reflect the current 
usage patterns of their customers. (Id.) Finally, Cisco commented that 
the user profiles cannot be the only metrics considered by DOE for 
establishing STB testing and standards. Cisco commented that STBs are 
not manufactured based on the average usage profile, but on outlier 
consumer usage and worst case scenarios addressing decoding, multiple 
streams, maximal DVR usage, etc. (Cisco Systems, Inc., No. 0027 at p. 
31)
    Based on the comments received and analyzing the current STB 
market, DOE proposes that individual power consumption values in each 
mode of operation and an annualized energy metric, the AEC metric, 
shall be the metrics from today's proposed test procedure. That is, the 
power consumption in on mode (PWATCH and 
PMULTI--STREAM), sleep mode (PSLEEP--MANUAL and 
PSLEEP--APD), and off mode (POFF), and the AEC 
metric are the results of the proposed test procedure.
    The average power consumption in each mode of operation is 
determined as described in sections III.G.5 through III.G.7 of the 
NOPR. Once the individual average power consumption values are 
determined, the rated power consumption in each mode of operation is 
calculated using the sampling plan and statistics discussed in section 
III.H. The rated power consumption in each mode of operation is then 
rounded according to the rounding requirements which are also discussed 
in section III.H. Finally, the AEC metric shall be calculated as a 
weighted average of the rounded, rated power consumption values, based 
on the expected time spent by the STB in the respective mode. DOE 
believes including both the individual power consumption metrics and an 
annualized metric provides both voluntary and State programs with the 
flexibility they may wish to run their respective programs. However, 
DOE reiterates that all representations of STB energy use must be made 
in accordance with one of these four metrics resulting from the DOE 
test procedure and sampling plan and as required by applicable State 
and federal law.
    While the draft CEA-2043 standard describes how to measure the 
power in each mode of operation for a STB, it does not offer a way to 
combine the values into a single AEC metric. Therefore, to create a 
metric, DOE studied the ENERGY STAR test method for STBs. DOE believes 
the TEC metric used by ENERGY STAR is conceptually similar to the AEC 
metric that DOE is proposing in today's NOPR.
    TEC is defined by ENERGY STAR as, ``a means for evaluating energy 
efficiency through a calculation of expected energy consumption for a 
typical user over a 1-year period, expressed in units of kilo-watt 
hours per year (kWh/year)''. The TEC metric uses a table of time 
coefficients to weight individual power measurements that are obtained 
under the proposed test procedure. DOE proposes to use the same 
approach, and to name the metric AEC. Like TEC, the AEC metric will 
produce values measured in kWh/year. The equation below presents this 
approach mathematically. Power values (Pi) are the rated values 
obtained from the proposed measurement tests for each mode of STB 
operation as discussed in sections III.G.5 through III.G.7 of the NOPR 
and calculated using the sampling plan and rounding requirements 
discussed in section III.H of the NOPR. Further, DOE proposes that the 
time coefficients (Hi) shall be obtained from a table according to the 
type of STB being tested, and the mode of STB operation.
[GRAPHIC] [TIFF OMITTED] TP23JA13.004

Where:

i = the mode of operation.

    The main modes of operation measured by the proposed measurement 
tests are:

PWATCH = the rated power consumption (in W) in on (watch 
TV) mode,
PMULTI--STREAM = the rated power consumption (in W) in 
the multi-stream test in on mode,
PSLEEP--MANUAL = the rated power consumption (in W) in 
the manual sleep test in sleep mode,
PSLEEP--APD = the rated power consumption (in W) in the 
APD test in sleep mode, for STB's with APD capability, and
POFF = the rated power consumption (in W) in off mode.

    Inserting each of these modes into the above equation, results in 
the equation below for AEC.
[GRAPHIC] [TIFF OMITTED] TP23JA13.005


[[Page 5100]]


    To determine the time coefficients, DOE evaluated the ENERGY STAR 
specification time coefficients as a possible source for the usage 
weightings. Table 3 below lists the ENERGY STAR usage weightings. For 
the sake of simplicity, the table excludes the ENERGY STAR weightings 
for deep sleep, which DOE is not proposing to adopt. DOE does not 
propose to adopt the ENERGY STAR deep sleep weightings because it 
believes that the proposed power consumption in sleep mode would 
capture the STB's deep sleep power as well, for any STBs that have deep 
sleep capabilities. This is because DOE's proposed time period for the 
sleep mode test is 4 to 8 hours, compared to ENERGY STAR's time period 
of 5 minutes.

                                                             Table 3--ENERGY STAR Weightings
--------------------------------------------------------------------------------------------------------------------------------------------------------
          APD Enabled by default                        DVR?                    TTV           TSLEEP           TAPD           HRECORD        HPLAYBACK
--------------------------------------------------------------------------------------------------------------------------------------------------------
NO........................................  NO..........................              14              10               0               0               0
YES.......................................  NO..........................               7              10               7               0               0
NO........................................  YES.........................               9              10               0               3               2
YES.......................................  YES.........................               2              10               7               3               2
--------------------------------------------------------------------------------------------------------------------------------------------------------

    The values in the ENERGY STAR specification do not directly map to 
the modes DOE is proposing to test. In particular, there are no 
separate record and playback tests in DOE's proposed test procedure 
because these are bundled into a single multi-stream test as discussed 
in section III.G.5.b of this NOPR. However, DOE is proposing to adopt 
the ENERGY STAR weightings with the following changes: The 3 hour 
record time is combined with the 2 hour playback time into a single 5 
hour multi-stream test. Further, the ENERGY STAR specification does not 
test the STB in off mode, and therefore does not assign any weighting 
to the STB power consumption in off mode. While DOE is proposing a test 
procedure to test the STB in off mode, it is not proposing any 
weighting to the STB power consumption in off mode because consumers 
typically do not turn off STBs. This is because often a STB cannot be 
turned off. Further, for STBs that can be turned off, the time required 
to start up a STB from off mode is lengthy and this discourages 
consumer adoption to turn off the STB. Table 4 describes the weightings 
DOE is proposing to use, which have been developed from the ENERGY STAR 
weightings.

                                                          Table 4--DOE Proposed Hour Weightings
--------------------------------------------------------------------------------------------------------------------------------------------------------
         APD Enabled by default?                 Multi-stream?             HWATCH       HMULTI-STREAM    HSLEEP MANUAL      HSLEEP APD         HOFF
--------------------------------------------------------------------------------------------------------------------------------------------------------
NO......................................  NO.........................              14               0                 10               0               0
YES.....................................  NO.........................               7               0                 10               7               0
NO......................................  YES........................               9               5                 10               0               0
YES.....................................  YES........................               2               5                 10               7               0
--------------------------------------------------------------------------------------------------------------------------------------------------------

    While DOE is proposing the hour weightings listed in Table 4 above, 
it also considered an alternative approach to estimate the time 
coefficients for each mode by researching STB usage profiles. The time 
coefficients from STB usage profiles is discussed in the following 
paragraphs and presented in Table 5, but is not proposed in today's 
NOPR. DOE is including this discussion to obtain stakeholders' feedback 
on the different possibilities to determine the hour weightings and the 
preferred approach that should be used for the calculation of AEC.
    To determine STB usage profiles, DOE researched publically 
available usage data. According to the most recent publically available 
data from the Nielson Company, Americans spent 146.75 hours per month, 
or approximately 5 hours per day, watching TV in the home.\31\ DOE 
interpreted this to mean that the average STB spends 5 hours per day in 
the on (watch TV) mode. DOE determined the number of hours a STB may be 
in sleep mode by referring to survey data from Fraunhofer USA developed 
for CEA. The survey indicates that 60 percent of STBs are turned 
``off'' in tandem with the TV, while 40 percent are left on and run 
continuously.\32\ Because a STB enters sleep mode when the power button 
on the remote is pressed to turn it ``off'', DOE assumes that the 60 
percent value refers to the number of STBs that are placed in sleep 
mode. DOE estimates that the average STB spends virtually no time in 
off mode.
---------------------------------------------------------------------------

    \31\ State of the Media: U.S. Digital Consumer Report, Q3-Q4 
2011, The Nielsen Company, p. 5.
    \32\ Energy Consumption of Consumer Electronics in U.S. Homes in 
2010, Fraunhofer USA, December 2011, p. 88. DOE's understanding is 
that survey respondents interpreted the words ``off'' as a 
colloquialism for sleep mode.
---------------------------------------------------------------------------

    Using these data, DOE assumed that for STBs without APD or multi-
streaming capability, 40 percent remain in the on mode 24 hours per 
day. The remaining 60 percent spend 5 hours in on mode, and 19 hours in 
sleep mode. Time spent in APD and multi-streaming is zero. Therefore, 
the average STB that does not have APD or multi-streaming capability, 
is in on (watch TV) mode approximately 13 hours per day (40 percent x 
24 hours + 60 percent x 5 hours) and sleep mode 11 hours per day (40 
percent x 0 hours + 60 percent x 19 hours).
    DOE researched market data from The Nielsen Company and found that 
STBs with DVR capability spend approximately 5 hours viewing live 
programming and approximately 2 hours recording content and playing it 
back. For STBs with multi-streaming functionality, DOE assumed that of 
the 5 hours that are spent viewing live programming, at least 3 hours 
are viewed on a display device that is connected to a client. That is, 
at least 3 hours of TV programming is viewed through the multi-
streaming functionality of the STB. While DOE does not have any market 
data that describes the number of hours a STB streams content to a 
client because multi-streaming is new functionality, it assumed that an 
increasing amount of content shall be viewed through a client as the 
technology progresses. Summing the 2 hours for recording and playing 
back content with the 3 hours for viewing a channel through a client, 
DOE

[[Page 5101]]

assumed that the multi-streaming functionality of a STB is exercised 
approximately 5 hours per day and the on (watch TV) functionality is 
exercised approximately 2 hours per day. Therefore, for STBs with 
multi-streaming functionality, but no APD functionality, DOE assumed 
that an average STB spends approximately 9 hours per day in on (watch 
TV) mode (40 percent x 19 hours per day + 60 percent x 2 hours per 
day); 5 hours per day in multi-streaming functionality; and 10 hours 
per day in sleep mode (40 percent x 0 hours per day + 60 percent x 17 
hours per day).
    To determine the number of hours a STB with APD functionality would 
spend in APD, DOE assumed that users that place their STB into sleep 
mode manually when not being used do not get any benefit from APD. APD 
functionality is only triggered if the STB is left in on mode for a 
long period of time. DOE has assumed that, for STBs that would 
otherwise be left in on mode all day, the presence of APD implied that 
the STB enters sleep mode via APD for 12 hours per day. DOE does not 
have data on the actual amount of time a STB is in sleep mode via APD 
and requests stakeholders to submit data, if available. The assumption 
of 12 hours per day is an estimate based on the expectation that the 
STB is likely to enter sleep mode via APD during times of light TV use, 
such as overnight and/or during mid-day. Based on these assumptions, 
the average STB that has APD but not multi-streaming capabilities is in 
APD approximately 5 hours per day (40 percent x 12 hours + 60 percent x 
0 hours). Thus, DOE expects that STBs that enable APD by default would 
be in sleep via APD 5 hours per day instead of being in the on (watch 
TV) mode.
    Finally, for STBs that are capable of both multi-streaming and APD 
functionality and are placed into sleep mode, DOE again assumed that 
the STB spends 5 hours per day in multi-streaming functionality and 2 
hours per day in on (watch TV) mode. For STBs that always remain in on 
mode, DOE assumed that the total time spent in APD is 10 hours. This 
assumption is made based on the previous assumption that a STB that is 
not capable of multi-streaming spends a total of 12 hours per day in 
APD. That is, for STBs that are not placed into sleep mode manually, 
the viewer watches content on a TV for approximately 5 hours per day 
and of the remaining 19 hours, the STB spends approximately 12 hours 
per day in APD. Therefore, for a STB that has multi-streaming 
functionality, the viewer watches, records, or plays back content for 
approximately 7 hours per day and of the remaining 17 hours, the STB 
spends approximately 10 hours per day in APD. For STBs that are not 
placed into sleep mode, the remaining 9 hours per day are spent in on 
(watch TV) mode. That is, DOE assumed that an average STB spends 
approximately 5 hours per day in on (watch TV) mode (40 percent x 9 
hours per day + 60 percent x 2 hours per day); approximately 10 hours 
per day in sleep mode (40 percent x 0 hours per day + 60 percent x 17 
hours per day); approximately 5 hours in multi-streaming functionality; 
and, approximately 4 hours per day in APD (40 percent x 10 hours per 
day + 60 percent x 0 hours per day).
    The resulting estimates for time coefficients are presented in 
Table 5 below as alternative weightings to the proposed AEC metric.

                                                          Table 5--Alternative Hour Weightings
--------------------------------------------------------------------------------------------------------------------------------------------------------
     APD Enabled by default?           Multi-stream?         HWATCH       HMULTI-STREAM    HSLEEP MANUAL      HSLEEP APD         HOFF
------------------------------------------------------------------------------------------------------------------------------------------
NO...............................  NO..................              13               0                 11               0               0
YES..............................  NO..................               8               0                 11               5               0
NO...............................  YES.................               9               5                 10               0               0
YES..............................  YES.................               5               5                 10               4               0
--------------------------------------------------------------------------------------------------------------------------------------------------------

    DOE has proposed the hour weightings based on the ENERGY STAR 
specification (Table 4) in today's NOPR and requests comment on the 
proposed weightings and calculation of AEC. DOE also requests comment 
on the alternative hour weightings (Table 5) that were developed by 
researching STB usage profiles. In particular, DOE seeks feedback on 
the time coefficients for AEC and whether one approach is preferred 
over the other. The proposed AEC calculation is included in section 6 
(Calculation of the Annual Energy Consumption of the Set-top Box) of 
the proposed Appendix AA to Subpart B of 10 CFR Part 430).

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed today's proposed rule under the provisions of the 
Regulatory Flexibility Act (RFA) and the policies and procedures 
published on February 19, 2003. The proposed rule prescribes the test 
procedure to measure the power consumption of STBs in the on, sleep, 
and off modes of operation and the calculation of an annualized energy 
metric, AEC, as a weighted average of the individual power consumption 
values. The initial regulatory flexibility analysis (IRFA) below 
discusses the potential impacts of the test procedure on small 
businesses and alternatives that would minimize the impact on small 
businesses consistent with statutory objectives.
    (1) Description of the reasons why action by the agency is being 
considered.
    A description of the reasons why DOE is considering this test 
procedure are

[[Page 5102]]

stated elsewhere in the preamble and not repeated here.
    (2) Succinct statement of the objectives of, and legal basis for, 
the proposed rule.
    The objectives of and legal basis for the proposed rule are stated 
elsewhere in the preamble and not repeated here.
    (3) Description of and, where feasible, an estimate of the number 
of small entities to which the proposed rule will apply.
    The Small Business Administration (SBA) has set a size threshold 
for manufacturers of STBs that defines those entities classified as 
``small businesses'' for the purposes of the RFA. DOE used the SBA's 
small business size standards to determine whether any small 
manufacturers of STBs would be subject to the requirements of the rule. 
65 FR 30836, 30849 (May 15, 2000), as amended at 65 FR 53533, 53545 
(Sept. 5, 2000) and codified at 13 CFR part 121. The size standards are 
listed by North American Industry Classification System (NAICS) code 
and industry description and are available at http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. DOE identified three 
NAICS codes that apply to the manufacturers of STBs. The reasons for 
selecting the following NAICS codes are discussed in further detail 
below.
    Radio and Television Broadcasting and Wireless Communications 
Equipment Manufacturing are classified under NAICS 334220. SBA sets a 
threshold of 750 employees or less for an entity to be considered a 
small business for this category.
    Audio and Video Equipment Manufacturing are classified under NAICS 
334310. SBA sets a threshold of 750 employees or less for an entity to 
be considered a small business for this category.
    Cable and Other Subscription Programming are classified under NAICS 
515210. The SBA threshold to qualify as a small business for this 
category requires that the average annual receipts should be 
$15,000,000 or less.
    NAICS code 334220--Radio and Television Broadcasting and Wireless 
Communications Equipment Manufacturing covers manufacturers of all 
products except OTT STBs. Because some manufacturers of OTT STBs were 
not listed under NAICS code 334220, DOE added consideration of small 
business manufacturers listed under NAICS code 334310--Audio and Video 
Equipment Manufacturing. Additionally, DOE included a search for small 
businesses listed under NAICS code 515210--Cable and Other Subscription 
Programming as some businesses in this category would also be subject 
to today's rulemaking based on the definition of manufacturer discussed 
in section III.D.3 of the NOPR.
    To determine the number of small business manufacturers of STBs in 
each NAICS code category, DOE compiled a preliminary list of potential 
small business manufacturers of STBs by searching the Hoovers \33\ and 
SBA databases. DOE confirmed if the companies were indeed small 
businesses by reviewing the company Web site and/or calling the 
company. Through this process, DOE identified five small business 
manufacturers of STBs that manufacture STBs as defined in section 
III.D.1. Of these five small business manufacturers, DOE identified two 
small business manufacturers each under NAICS codes 334220 and 334310 
and one small business manufacturer under NAICS code 515210. DOE 
invites interested parties to comment on the expected number of small 
business manufacturers of STBs.
---------------------------------------------------------------------------

    \33\ Hoovers, Inc. (2012). Search of domestic records matching 
NAICS codes 334220, 334310, and 515210. Retrieved June 22, 2012, 
from Hoover's Company Records database. Available by subscription at 
www.hoovers.com.
---------------------------------------------------------------------------

    (4) Description of the projected reporting, recordkeeping and other 
compliance requirements of the proposed rule.
    To determine the costs of the proposed test procedure on small STB 
manufacturers, DOE estimated the cost of testing two STBs, the minimum 
required sample size as discussed in section III.H of this NOPR. DOE 
estimated a one time setup cost and a labor cost for performing the 
tests. The labor cost of testing was then multiplied over the estimated 
number of basic models produced by a small manufacturer. The estimated 
cost of testing is discussed in further detail below.
    For the initial setup for testing STBs, manufacturers require power 
supply, power meter, cables to connect equipment, and hardware and 
software instrumentation to measure the power consumption of the STB. 
DOE estimated an approximate cost of $4,000 for the power supply and 
$3,000 for the power meter. Further, the equipment cost for cables, 
monitors, and software was estimated at approximately $3,100 for a 
total initial setup cost of approximately $10,100.
    DOE then estimated the time required to test each basic model of 
STB based on conservative estimates of the duration proposed for each 
test in the on, sleep, and off modes of operation. DOE's estimates 
assume the longest proposed duration for the tests in sleep mode (that 
is, 8 hours) and are as follows: 1 hour to set up and warm up the STB; 
half an hour each to perform the on (watch TV) test and multi-stream 
test of the STB in on mode; 8 hours for the manual sleep test; 12 hours 
to test the STB in APD; and, half an hour to test the STB in off mode. 
The total number of hours required to test one STB would be 22.5 hours. 
For testing two STBs by an electronics engineer whose rate is $40.98 
per hour,\34\ the labor cost would be approximately $1,850 for each STB 
model. Estimates for the labor cost associated with testing are based 
on feedback received during manufacturer interviews and Bureau of Labor 
Statistics regarding average salaries for engineering staff. For the 
five small business manufacturers of STBs that DOE identified, the 
average number of models produced per manufacturer is four. Therefore, 
for testing an average of four STB models, the testing cost in the 
first year would be approximately $7,400. DOE expects this cost to be 
lower in subsequent years because only new or redesigned STB models 
would need to be tested.
---------------------------------------------------------------------------

    \34\ Obtained from the Bureau of Labor Statistics (National 
Compensation Survey: Occupational Earnings in the United States 
2008, U.S. Department of Labor (August 2009), Bulletin 2720, Table 3 
(``Full-time civilian workers,'' mean and median hourly wages) < 
http://bls.gov/ncs/ocs/sp/nctb0717.pdf.
---------------------------------------------------------------------------

    DOE used company reports from Dunn & Bradstreet to estimate the 
revenue for the five small business manufacturers identified. DOE then 
applied an industry weighted average research and development estimate 
to determine the budget for research and development for each small 
business. The average revenue of the five small business manufacturers 
is approximately $21.8M and the average budget for research and 
development is approximately $2.02M, or 9.4 percent of revenues. 
Relative to the average revenue and average research and development 
budget per small business manufacturer, the total testing cost in the 
first year is approximately $17,100. This cost is less than 0.1 percent 
of the average revenue and approximately 0.1 percent of the average 
research and development budget; that is, DOE believes the cost of 
testing STBs is relatively small. Therefore, DOE has tentatively 
concluded that testing costs would not be significant enough to pose a 
substantial burden on small manufacturers. DOE requests comments on its 
analysis of burden to small businesses for testing STBs according to 
the proposed test procedure.

[[Page 5103]]

    (5) Relevant Federal rules which may duplicate, overlap or conflict 
with the proposed rule.
    This proposed rule would, if adopted, establish a test procedure 
for STBs. DOE is not aware of any other Federal rules that establish 
such a procedure or would otherwise duplicate, overlap or conflict with 
this test procedure.
    (6) Description of any significant alternatives to the proposed 
rule.
    DOE considered a number of existing and under-development industry 
standards that measure the energy consumption of STBs to develop the 
proposed test procedure in today's rulemaking as discussed in section 
III.C of the NOPR. Of the standards reviewed, today's proposed rule is 
primarily based on the draft CEA-2043 standard because DOE believes it 
provides most of the information required for testing STBs and expects 
this standard to be adopted across industry to test the power 
consumption of STBs. DOE seeks comment and information on the need, if 
any, for alternative test methods that, consistent with the statutory 
requirements, would reduce the economic impact of the rule on small 
entities. DOE will consider any comments received regarding alternative 
methods of testing that would reduce economic impact of the rule on 
small entities. DOE will consider the feasibility of such alternatives 
and determine whether they should be incorporated into the final rule.

C. Review Under the Paperwork Reduction Act of 1995

    There is currently no information collection requirement related to 
the test procedure for STBs. In the event that DOE proposes to require 
the collection of information derived from the testing of STBs 
according to this test procedure, DOE will seek OMB approval of such 
information collection requirement.
    DOE established regulations for the certification and recordkeeping 
requirements for certain covered consumer products and commercial 
equipment. 76 FR 12422 (March 7, 2011). The collection-of-information 
requirement for the certification and recordkeeping was subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement was approved by OMB under OMB Control Number 1910-
1400. Public reporting burden for the certification was estimated to 
average 20 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.
    As stated above, in the event DOE proposes to require the 
collection of information derived from the testing of STBs according to 
this test procedure, DOE will seek OMB approval of the associated 
information collection requirement. DOE will seek approval either 
through a proposed amendment to the information collection requirement 
approved under OMB control number 1910-1400 or as a separate proposed 
information collection requirement.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

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

[[Page 5104]]

each Federal agency to assess the effects of Federal regulatory actions 
on State, local, and Tribal governments and the private sector. Public 
Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). For a proposed 
regulatory action likely to result in a rule that may cause the 
expenditure by State, local, and Tribal governments, in the aggregate, 
or by the private sector of $100 million or more in any one year 
(adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined today's 
proposed rule according to UMRA and its statement of policy and 
determined that the rule contains neither an intergovernmental mandate, 
nor a mandate that may result in the expenditure of $100 million or 
more in any year, so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

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

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed today's 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.
    Today's regulatory action to establish a test procedure for 
measuring the energy consumption of STBs 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 rule incorporates the following commercial standards: 
CEA-770.3-D, ``High Definition TV Analog Component Video Interface;'' 
HDMI Specification Version 1.0, ``High-Definition Multimedia Interface 
Specification;'' ISO/IEC 7816-12, ``Identification cards--Integrated 
circuit cards--Part 12: Cards with contacts--USB electrical interface 
and operating procedures;'' ANSI/SCTE 28 2007, ``HOST-POD Interface 
Standard;'' ANSI/SCTE 55-1 2009, ``Digital Broadband Delivery System: 
Out of Band Transport Part 1: Mode A;'' and ANSI/SCTE 55-2 2008, 
``Digital Broadband Delivery System: Out of Band Transport Part 2: Mode 
B''. These standards would be incorporated by reference in 10 CFR 430.3 
(Materials incorporated by reference). The incorporated standards are 
respectively used to describe Component Video, HDMI, POD, smart card, 
and equipment that communicate with the STB. The Department has 
evaluated these standards and is unable to conclude whether these 
industry standards fully comply with the requirements of section 32(b) 
of the FEAA, (i.e., that they were developed in a manner that fully 
provides for public participation, comment, and review). DOE will 
consult with the Attorney General and the Chairman of the FTC 
concerning the impact of these test procedures on competition, prior to 
prescribing a final rule.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Brenda Edwards at 
(202) 586-2945 or Brenda.Edwards@ee.doe.gov. As explained in the 
ADDRESSES section, foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures.

[[Page 5105]]

    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site http://www1.eere.energy.gov/buildings/appliance_standards/residential/set_top_boxes.html. Participants are 
responsible for ensuring their systems are compatible with the webinar 
software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

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

C. Conduct of Public Meeting

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

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.
    Submitting comments via regulations.gov. The regulations.gov web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and 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

[[Page 5106]]

reduces comment processing and posting time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: one copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. DOE requests comment on narrowing the scope of today's 
rulemaking to STBs and excluding network equipment. See section III.B 
for further detail.
    2. DOE requests comment on using the draft CEA-2043 standard as the 
basis for today's proposed test procedure for STBs. See section III.C 
for further detail.
    3. DOE requests comment on the proposed definition of STBs. In 
particular, DOE requests comment about whether the proposed definition 
is specific enough to exclude non-STB devices such as gaming consoles 
and smartphones, yet broad enough to cover traditional STBs and newer 
boxes. DOE also requests comment on the proposed definitions for direct 
video connection, HDMI, Component Video, S-Video, and Composite Video. 
See section III.D.1 for further detail.
    4. DOE invites comment on the discussion of basic model as it 
pertains to the STB rulemaking. See section III.D.2 for further detail.
    5. DOE invites interested parties to comment on the proposed 
definitions for the STB test procedure NOPR including the definitions 
for content provider and multi-stream and clarifying information 
included for the definitions of DVR, display device, and HNI. For the 
definition of DVR, DOE requests comment on the proposed approach of not 
testing STBs with external storage as a DVR. If DOE does consider 
testing the STB with an external storage device as DVR in response to 
comments, DOE specifically requests comments on the proper external 
storage device to use. See section III.D.4 for further detail.
    6. DOE invites interested parties to comment on the proposed 
definitions of on, sleep, and off modes of operation of a STB. In 
particular, DOE requests comment, and data, if available, on the 
proposed requirement to transition from sleep mode to on mode within 30 
seconds, or whether a different maximum allowable transition time 
should be considered. See section III.D.5 for further detail.
    7. DOE requests comment on the proposed requirements for setting up 
the STB as installed in a consumer's home for testing. See section 
III.E.1 for further detail.
    8. DOE requests comment on the proposed test room conditions for 
testing STBs, including air temperature, air speed, and thermally non-
conductive test surface requirements. In particular, DOE invites 
interested parties to comment on the proposed air speed requirement of 
0.5 m/s and whether this requirement should be relaxed to a higher 
value or removed altogether. See section III.E.2 for further detail.
    9. DOE invites interested parties to comment on the proposed input 
power requirements for testing STBs. See section III.F.1 for further 
detail.
    10. DOE requests comment on the proposed requirements for the 
accuracy of measuring the power consumption of STBs. See section 
III.F.2 for further detail.
    11. DOE invites interested parties to comment on the recommended 
test equipment to measure the AC line current, voltage, and frequency. 
See section III.F.3 for further detail.
    12. DOE requests comment on the proposed power meter 
instrumentation requirements such as, crest factor, bandwidth, 
frequency response, and sampling interval requirements. See section 
III.F.4 for further detail.
    13. DOE requests comment on the proposed calibration requirements 
for testing STBs. See section III.F.5 for further detail.
    14. DOE requests comment on the proposed requirements for testing 
STBs that require an HNI connection. Particularly, DOE requests comment 
on the proposed order in which HNI connections shall be used, that is, 
MoCA, followed by HPNA, followed by Wi-Fi, and finally any other 
connection. DOE also requests comment about whether there are any 
additional HNI connections that should be included and the order of 
preference in which they should be included. See section III.F.6.a for 
further detail.
    15. DOE invites interested parties to comment on the proposed setup 
requirements for STBs requiring broadband service. Particularly, DOE 
requests comment on the clarification that a service provider network 
connection should take precedence over a broadband connection for STBs 
that are designed to operate on either connection. See section 
III.F.6.b for further detail.
    16. DOE requests comment on the proposed exclusion of external 
equipment power consumption from the power consumption of the STB 
itself. Further, if stakeholders suggest that the power consumption of 
external equipment be tested and measured, DOE requests comment on the 
test method and standard configuration that should be used to test the 
external equipment. See section III.F.6.c for further detail.
    17. DOE requests comment on the proposed exclusion of power 
consumption of the input signal equipment from the power consumption of 
the STB. Further, DOE requests comment on the clarification that such 
equipment should not supply any power to the STB. DOE also requests 
feedback on the potential use of a DC block to prevent power transfer 
to and from any input signal equipment. Finally, if stakeholders 
indicate that this equipment should be tested and the power consumption 
be measured, DOE requests comment on the test method and standard 
configuration that should be used to test this equipment. See section 
III.F.6.d for further detail.
    18. DOE invites interested parties to comment on the proposed 
requirements for service provider network

[[Page 5107]]

connection. In particular, DOE requests comment and data, if available, 
about whether the power consumption of a STB is similar on a live 
network versus a closed network. See section III.F.6.e for further 
detail.
    19. DOE requests comment on the proposed warm-up time for 
stabilizing the STB. See section III.G.1 for further detail.
    20. DOE invites interested parties to comment on all aspects of the 
proposed configuration for testing STBs in the on, sleep, and off modes 
of operation. DOE is especially interested in receiving comments on the 
proposed connections for the test configuration. DOE also invites 
comments on the proposed order of preference for connecting a display 
device to the STB. See section III.G.2 for further information.
    21. DOE requests comment on the proposed requirements for streaming 
an appropriate SD or HD stream to a display device. DOE also invites 
comment on the proposed requirement to record content on a DVR 
integrated into the STB. Finally, DOE requests comment on the proposed 
requirements to stream content to a connected client. Specifically, DOE 
requests comment on the proposed hierarchy of content to stream to a 
connected client, which is a recorded stream followed by a channel. See 
section III.G.3 for further detail.
    22. DOE requests comment on the proposed methods to determine the 
average power consumption of the STB in each mode of operation. See 
section III.G.4 for further detail.
    23. DOE invites comment on all aspects of the proposed approach for 
testing the STB in the on mode including the proposed time period of 2 
minutes for all tests in the on mode. The on mode measurement test 
includes the on (watch TV) test and multi-stream test. See section 
III.G.5 for further detail.
    24. DOE requests comment on the proposed method for the on (watch 
TV) test. In particular, DOE requests comment on the approach of using 
both, an SD and HD stream for testing HD STBs. DOE also requests 
interested parties to comment, and provide data if available, on the 
percentage of streams that are available in SD and HD for HD STBs, and 
whether the proposed equation for calculating PWATCH should 
be changed. See section III.G.5.a for further detail.
    25. DOE requests comment on the approach of using a single multi-
stream test as well as the test procedure to test STBs with multi-
streaming capability. DOE is especially interested in receiving 
comments on the proposed priority list for enabling streams for testing 
STBs with multi-streaming capability. DOE also seeks feedback on 
whether the number of additional streams that should be enabled should 
be other than three and the reasons for enabling a different number of 
streams. DOE requests comment on the possibility of including a maximum 
power test, which would test the STB such that the maximum number of 
streams is enabled. If included, DOE requests comment on the weighting 
that should be applied for the maximum streaming test in the 
calculation of the AEC. See section III.G.5.b for further detail.
    26. DOE requests comment on all aspects of the proposed 
specification for setting up STBs for testing in sleep mode. In 
particular, DOE invites comment on the proposed duration (4 to 8 hours 
unless network activities prompt a longer time period) over which the 
power consumption of the STB shall be measured and averaged, and 
whether this duration should be increased or decreased to better 
represent the STB power consumption in sleep mode. See section III.G.6 
for further detail.
    27. DOE also requests comment on the proposed scheduled recording 
requirement prior to placing the STB in sleep mode to measure its power 
consumption. DOE requests interested parties to provide data, if 
available, on the variation in power consumption of a STB when a 
recording is scheduled versus when it is not scheduled. See section 
III.G.6 for further detail.
    28. DOE invites interested parties to comment on all aspects of the 
proposed method to address network initiated actions. DOE requests 
comment and data, if available, on the approach proposed in today's 
NOPR, the approaches that were considered but have not been proposed, 
as well as any other approach that stakeholders believe would best 
capture the transition of the STB from sleep mode to on mode due to 
network initiated activities. See section III.G.6 for further detail.
    29. DOE invites comments on the proposed requirements for testing 
STBs in manual sleep mode. See section III.G.6.a for further detail.
    30. DOE requests comment on the proposed test for determining the 
STB power consumption in APD. In particular, DOE requests comment and 
data, if available, on the time required to transition to sleep mode 
from on mode and whether this time period should be set at a default 
value of 4 hours or adjusted during testing. DOE also requests comment 
on potential methods to scale APD and the advantages and disadvantages 
of scaling the power consumption in APD. Finally, DOE requests comment 
on potential methods to account for a scaling APD value in the AEC 
metric. See section III.G.6.b for further detail.
    31. DOE invites interested parties to comment on the proposed 
requirements for testing STBs in off mode. See section III.G.7 for 
further detail.
    32. DOE requests comment on the proposed sleep to on mode 
transition time measurement test. See section III.G.8 for further 
detail.
    33. DOE requests comment on the proposed sampling plan and rounding 
requirements for making representations of the STB power consumption in 
each mode of operation. DOE also requests comment on proposed rounding 
requirements for AEC, which is calculated from the rated power 
consumption values. See section III.H for further detail.
    34. DOE requests comment on the proposed calculation of the AEC 
metric for determining the annual energy consumption of the STB. DOE 
requests comment on the proposed hour weightings that were developed 
based on the ENERGY STAR specification or whether the alternate hour 
weightings should be considered instead. DOE also invites comment and 
data, if available, on the time coefficients for each mode of operation 
to calculate the AEC. See section III.I for further detail.
    35. DOE requests comment on the analysis of the burden to small 
businesses for testing STBs according to the proposed test procedure. 
DOE also requests comment on the expected number of small business 
manufacturers of STBs. See section IV.B for further detail.
    36. DOE requests additional information and comment for the 
development of a test procedure for LNBs, ONTs, ODUs, or other 
infrastructure devices and the standard configuration in which these 
devices should be tested, if stakeholders support developing a test 
procedure for them. See section III.B for further detail.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

    Administrative practice and procedure, Confidential business

[[Page 5108]]

information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on January 11, 2013.
Kathleen B. Hogan,
Deputy Assistant Secretary of Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Subchapter D of the Code 
of Federal Regulations to read as set forth below:

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

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

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


Sec.  429.11  [Amended]

0
2. Section 429.11 is amended in paragraphs (a) and (b) by removing 
``429.54'' and adding in its place ``429.55''.
0
3. Section 429.55 is added to read as follows:


Sec.  429.55  Set-top boxes.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec.  429.11 are applicable to set-top boxes; and
    (2) For each basic model of set-top box, samples shall be randomly 
selected and tested to ensure that--
    (i) The represented value of power consumption in the on, sleep, 
and off modes of operation of a basic model for which consumers would 
favor lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP23JA13.006
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample;

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP23JA13.007

    and x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 95 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from Appendix A of this subpart).


and

    (ii) Reserved.
    (3) The represented value of the annual energy consumption shall be 
calculated from the rated power consumption in the on, sleep, and off 
modes of operation according to the calculation provided in section 6 
of Appendix AA of Subpart B of 10 CFR part 430.
    (b) Reserved.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
4. 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
5. Section 430.2 is amended by adding in alphabetical order the 
definitions of ``Component Video'', ``Composite Video, ``Direct video 
connection'', ``High-Definition Multimedia Interface or HDMI'', ``Set-
top box'', and ``S-Video'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Component Video means a video display interface that meets the 
specification in CEA-770.3-D (incorporated by reference; see Sec.  
430.3).
    Composite Video means a video display interface that uses a Radio 
Corporation of America (RCA) connection to transmit National Television 
System Committee (NTSC) analog video.
* * * * *
    Direct video connection means any connection type that is one of 
the following: High-Definition Multimedia Interface (HDMI), Component 
Video, S-Video, Composite Video, or any other video interface that may 
be used to output video content.
* * * * *
    High-Definition Multimedia Interface or HDMI means an audio/video 
interface that meets the specification in HDMI Specification Version 
1.0 (incorporated by reference; see Sec.  430.3).
* * * * *
    Set-top box means a device combining hardware components with 
software programming designed for the primary purpose of receiving 
television and related services from terrestrial, cable, satellite, 
broadband, or local networks, providing video output using at least one 
direct video connection.
* * * * *
    S-Video means a video display interface that transmits analog video 
over two channels: luminance and color.
* * * * *
0
6. Section 430.3 is amended by:
0
a. Redesignating paragraphs (i) through (k) as paragraphs (j) through 
(l) and adding a new paragraph (i).
0
b. Redesignating paragraph (l) as paragraph (n) and adding a new 
paragraph (m).
0
c. Redesignating paragraph (m) as paragraph (o) and adding paragraph 
(o)(3).
0
d. Redesignating paragraphs (n) and (o) as paragraphs (p) and (q).
0
e. Redesignating paragraph (p) as paragraph (s) and adding a new 
paragraph (r).
    The additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (i) CEA. Consumer Electronics Association, Technology & Standards 
Department, 1919 S. Eads Street, Arlington, VA 22202, 703-907-7600, or 
go to www.CE.org.
    (1) CEA-770.3-D, High Definition TV Analog Component Video 
Interface, approved February 2008; IBR approved for Sec.  430.2.
    (2) [Reserved]
* * * * *
    (m) HDMI. High-Definition Multimedia Interface Licensing, LLC, 1140 
East Arques Avenue, Suite 100, Sunnyvale, CA 94085, 408-616-1542, or go 
to www.hdmi.org.
    (1) HDMI Specification Version 1.0, High-Definition Multimedia 
Interface Specification, Informational Version 1.0, approved September 
4, 2003; IBR approved for Sec.  430.2.
    (2) [Reserved]
* * * * *
    (o) IEC. * * *
    (3) ISO/IEC 7816-12, Identification cards--Integrated circuit 
cards--Part 12: Cards with contacts--USB electrical interface and 
operating procedures, approved October 1, 2005; IBR approved for 
appendix AA to subpart B.
* * * * *
    (r) SCTE. Society of Cable Telecommunications Engineers, 140 
Philips Road, Exton, PA 19341, 610-363-6888, or go to www.scte.org/standards.
    (1) ANSI/SCTE 28 2007 (``ANSI/SCTE 28''), American National 
Standard, HOST-POD Interface Standard; IBR approved for Appendix AA to 
Subpart B.
    (2) ANSI/SCTE 55-1 2009 (``ANSI/SCTE 55-1''), American National

[[Page 5109]]

Standard, Digital Broadband Delivery System: Out of Band Transport Part 
1: Mode A; IBR approved for appendix AA to subpart B.
    (3) ANSI/SCTE 55-2 2008 (``ANSI/SCTE 55-2''), American National 
Standard, Digital Broadband Delivery System: Out of Band Transport Part 
2: Mode B; IBR approved for appendix AA to subpart B.
* * * * *
0
7. Appendix AA to Subpart B of Part 430 is added to read as follows:

Appendix AA to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Set-top Boxes

    1. Scope: This appendix covers the test requirements to measure 
the power consumption of set-top boxes (STBs) in the on, sleep, and 
off modes and provides the method to calculate the annual energy 
consumption (AEC) of the STB.
    2. Definitions
    2.1. ANSI means the American National Standards Institute.
    2.2. Auto power down (APD) means a STB feature that monitors 
parameters correlated with user activity or viewing. If the 
parameters collectively indicate that no user activity or viewing is 
occurring, the APD feature enables the STB to transition to sleep or 
off mode.
    2.3. Client means any device (example: STB, thin-client STB, 
smart television (TV), mobile phone, tablet, or personal computer) 
that can receive content over a home network interface (HNI).
    2.4. Content provider means an entity that provides video 
programming content.
    2.5. Crest factor means the ratio of the peak current to the 
root-mean-square (rms) current.
    2.6. Digital video recorder (DVR) means a STB feature that 
records television signals on a hard disk drive (HDD) or other non-
volatile storage device integrated into the STB. A DVR often 
includes features such as: Play, Record, Pause, Fast Forward (FF), 
and Fast Rewind (FR). STBs that support a service provider network-
based ``DVR'' service are not considered DVR STBs for purposes of 
this test procedure. The presence of DVR functionality does not mean 
the device is defined to be a STB.
    2.7. Display device means a device (example: TV, Computer 
Monitor, or Portable TV) that receives its content directly from a 
STB through a video interface (example: High-Definition Multimedia 
Interface (HDMI), Component Video, Composite Video, or S-Video), not 
through an HNI, and displays it for viewing.
    2.8. Harmonic means a component of order n of the Fourier series 
that describes the periodic current or voltage (where n is an 
integer greater than 1).
    2.9. High definition test stream (HD) means video content 
delivered to the STB by the content provider to produce a minimum 
output resolution of 1280 x 720 pixels in progressive scan mode at a 
minimum frame rate of 59.94 frames per second (fps) (abbreviated 
720p60) or a minimum output resolution of 1920 x 1080 pixels in 
interlaced scan mode at 29.97 fps (abbreviated 1080i30).
    2.10. Home network interface (HNI) means an interface with 
external devices over a local area network (example: Institute of 
Electrical and Electronics Engineers (IEEE) 802.11 (Wireless-
Fidelity or Wi-Fi), Multimedia over Coax Alliance (MoCA), HomePNA 
alliance (HPNA), IEEE 802.3, HomePlug AV) that is capable of 
transmitting video content.
    2.11. IEC means International Electrotechnical Commission.
    2.12. ISO means the International Organization for 
Standardization.
    2.13. Low noise block-downconverter (LNB) means a combination of 
low-noise amplifier, block-downconverter and intermediate 
frequencies (IF) amplifier. It takes the received microwave 
transmission, amplifies it, down-converts the block of frequencies 
to a lower block of IF where the signal can be amplified and fed to 
the indoor satellite TV STB using coaxial cable.
    2.14. Multi-stream means a STB feature that may provide 
independent video content to one or more clients, one or more 
directly connected TVs, or a DVR.
    2.15. Outdoor unit (ODU) means satellite signal reception 
components including: a receiving dish, one or more LNBs, and 
imbedded or independent radio frequency (RF) switches, used to 
distribute a satellite service provider network to consumer 
satellite STBs.
    2.16. Point of deployment (POD) module means a plug-in card that 
complies with the ANSI/SCTE 28 (incorporated by reference; see Sec.  
430.3) interface and is inserted into a digital-cable-ready device 
to enable the decryption of services and provide other network 
control functions.
    2.17. Power mode means a condition or state of a device that 
broadly characterizes its capabilities, power consumption, power 
indicator coding, and responsiveness to input.
    2.18. Principal STB Function means functions necessary for 
selecting, receiving, decoding, decompressing, or delivering video 
content to a display device, DVR, or client. Monitoring for user or 
network requests is not considered a principal STB function.
    2.19. Satellite STB means a STB that receives and decodes video 
content as delivered from a service provider satellite network.
    2.20. SCTE means The Society of Cable Telecommunications 
Engineers, Inc.
    2.21. Service provider means a business entity that provides 
video content, a delivery network, and associated installation and 
support services to subscribers with whom it has an ongoing 
contractual relationship.
    2.22. Smart Card means a plug-in card that complies with ISO/IEC 
7816-12 (incorporated by reference; see Sec.  430.3) and is inserted 
into a satellite STB to enable the decryption of services and 
provide other network control functions.
    2.23. Standard definition test stream (SD) means video content 
delivered to the STB by the content provider to produce an output 
resolution of 640 x 480 pixels in interlaced scan mode at minimum 
frame rate of 29.97 fps (abbreviated 480i30).
    2.24. Thin-client STB means a STB that can receive content over 
an HNI from another STB, but is unable to interface directly to the 
service provider network.
    2.25. Definitions of Power Modes.
    2.25.1. On mode means the STB is connected to a mains power 
source. At least one principal STB function is activated and all 
principal STB functions are provisioned for use. The power 
consumption in on mode may vary based on specific use and 
configuration.
    2.25.2. Sleep mode means a range of reduced power states where 
the STB is connected to a mains power source and is not providing 
any principal STB function. The STB may transition to on or off mode 
due to user action, internal signal, or external signal. The power 
consumed in this mode may vary based on specific use or 
configuration. If any principal STB function is activated while 
operating in this mode, the STB is assumed to transition to on mode. 
Monitoring for user or network requests is not considered a 
principal STB function. The STB shall be able to transition from 
this mode to on mode within 30 seconds to be considered in sleep 
mode.
    2.25.3. Off mode means the STB is connected to a mains power 
source, has been de-activated, and is not providing any function. 
The STB requires a user action to transition from this mode to on or 
sleep mode.
    Note: Sleep and off modes may not be available on all STBs.
    3. Test Conditions
    3.1. Set-top Box Settings.
    3.1.1. For STBs that require subscription to a service, select 
the simplest available video subscription that supports all 
functionality specified in this test procedure (example: HD 
streaming, multi-stream, DVR, etc.). That is, select a subscription 
with TV services only; services with non-video capability, such as 
telephony, shall not be selected.
    3.1.2. If the STB can be installed by the consumer per the 
manufacturer's instructions without the service of a technician, 
then install and setup the STB according to the instructions 
provided in the user manual shipped with the unit. Setup the STB 
using only those instructions in the user manual. Setup is 
considered complete once these instructions are followed.
    3.1.3. If the STB must be installed by a technician per the 
manufacturer's instructions, then it shall be setup as installed by 
the technician using this test procedure. All steps that a 
technician would follow when installing a STB for use in a consumer 
residence should be followed. Information about each of the steps 
that were performed to setup the STB by a technician shall be 
recorded and maintained by the manufacturer pursuant to 10 CFR Part 
429.71.
    3.2. Test Room. Tests shall be carried out in a room with the 
following requirements:
    3.2.1. The air speed surrounding the STB shall be less than or 
equal to 0.5 meters per second (m/s).
    3.2.2. The ambient temperature shall be maintained at 23 [deg]C 
 5 [deg]C for the duration of the test.
    3.2.3. The STB shall be tested on a thermally non-conductive 
surface.

[[Page 5110]]

    4. Test Setup
    4.1. Test Voltage. STBs intended to be powered by the 
alternating current (AC) mains shall utilize a power source with the 
following requirements:
    4.1.1. An input voltage of 115 volts  1 percent.
    4.1.2. A frequency of 60 hertz  1 percent.
    4.1.3. Total harmonic distortion of the supply voltage shall not 
exceed 2 percent up to and including the 13th harmonic.
    4.1.4. The peak value of the test voltage shall be between 1.34 
and 1.49 times its rms value. That is, the crest factor shall be 
between 1.34 and 1.49.
    4.2. Measurement Accuracy. Power measurements of 0.5 watt (W) or 
greater shall be made with an uncertainty of less than or equal to 2 
percent at the 95 percent confidence level. Power measurements of 
less than 0.5 W shall be made with an uncertainty of less than or 
equal to 0.01 W at the 95 percent confidence level. The power 
measurement instrument shall have a resolution of:
    4.2.1. 0.01 W or better for power measurements of 10 W or less;
    4.2.2. 0.1 W or better for power measurements of greater than 10 
W and up to 100 W; and
    4.2.3. 1 watt or better for power measurements of greater than 
100 W.
    For equipment connected to more than one phase, the power 
measurement instrument shall be equipped to measure the total power 
of all of the phases connected.
    4.3. Test Equipment. The following should be considered when 
selecting test equipment:
    4.3.1. An oscilloscope with a current probe to monitor AC line 
current waveform, amplitude, and frequency.
    4.3.2. A true rms voltmeter to verify voltage at the input of 
the STB.
    4.3.3. A frequency counter to verify frequency at the input of 
the STB.
    4.4. True Power Wattmeter.
    4.4.1. Crest factor. A true power wattmeter shall be used and 
shall have:
    4.4.1.1. Accuracy and resolution in accordance with section 4.2.
    4.4.1.2. Sufficient bandwidth.
    4.4.1.3. A crest factor rating that is appropriate for the 
waveforms being measured and capable of reading the available 
current waveform without clipping the waveform. The peak of the 
current waveform measured during sleep and on modes for the STB 
shall be used to determine the crest factor rating and the current 
range setting. The full-scale value of the selected current range 
multiplied by the crest factor for that range shall be at least 15 
percent greater than the peak current to prevent measurement error.
    4.4.2. Bandwidth. The current and voltage signal shall be 
analyzed to determine the highest frequency component (that is, 
harmonic) with a magnitude greater than 1 percent of the fundamental 
frequency under the test conditions. The minimum bandwidth of the 
test instruments shall be determined by the highest frequency 
component of the signal.
    4.4.3. Frequency response. A wattmeter with a frequency response 
of at least 3 kilo-hertz (kHz) shall be used in order to account for 
harmonics up to the 50th harmonic.
    4.4.4. Sampling Interval. The wattmeter shall be capable of 
sampling at intervals less than or equal to 1 second.
    Note: Electronic equipment can cause harmonic waveforms that 
lead to inaccuracies in power measurements.
    4.5. Calibration. Test instruments shall be calibrated annually 
to traceable national standards to ensure that the limits of error 
in measurement are not greater than  0.5 percent of the 
measured value over the required bandwidth of the output.
    4.6. Network Setup.
    4.6.1. Home Network Connection. STB configurations that require 
the use of a home network (example: thin-client STB) shall use the 
HNI option according to the following order of preference. The first 
available connection that the STB supports shall be used:
    1. Multimedia over Coaxial Alliance (MoCA);
    2. Home PNA Alliance (HPNA);
    3. Wi-Fi (802.11); or
    4. Other HNI connection.
    4.6.2. Broadband Service. If the STB includes an HNI, and the 
HNI shall be connected to broadband service for operation of a 
principal STB function, it shall be tested while connected to a 
broadband network. Broadband performance criteria (that is, download 
speed, upload speed, latency, etc.) shall meet the specified 
requirements of the STB to fulfill the principal STB functions. For 
STBs designed to operate both with a broadband connection and a 
service provider network connection, the service provider connection 
takes precedence, and the broadband connection shall only be made if 
the STB requires it for operating a principal STB function.
    4.6.3. Service Provider Network Distribution Equipment. If the 
STB requires the use of external equipment to connect the service 
provider network to the STB, then the power consumption of this 
equipment shall not be included as part of the STB power 
measurement. This includes required service provider network 
distribution equipment such as network gateways, network routers, 
network bridges, optical network terminals (ONTs), wireless access 
points, media extenders, or any other device required for 
distribution of a service provider network to the STB.
    4.6.4. Input Signal Equipment. When an ODU, over the air (OTA) 
antenna amplifier, cable TV (CATV) distribution amplifier, or 
similar signal equipment is required and the power for that 
equipment is supplied from the STB, then the measurement shall not 
include the power consumption of that equipment, unless the 
equipment cannot be powered from a source other than the STB. If the 
signal equipment cannot be powered from a source other than the STB, 
then the power for these equipment shall be included in the STB 
power consumption measurement and the signal equipment should be 
configured in its lowest power consuming mode. However, if the 
signal equipment can be powered from a source other than the STB, 
then it shall be powered from another source, and such equipment 
shall not deliver any power to the connected STB.
    4.6.5. Service Provider Network Connection. The STB shall be 
tested with a specific service provider network or a simulated 
environment verified by the service provider, and the STB shall be 
configured to simulate a subscriber operating environment. This 
shall include the ability to access the full services of the service 
provider network required by the STB, such as content, program 
guides, software updates, and other STB features that require 
network services to fully function. If the STB requires a POD or 
Smart Card, then it shall be connected, authorized, and operational. 
Essential STB peripheral devices, required for the normal operation 
of the STB, such as a Universal Serial Bus (USB) powered external 
HDD, a USB powered Wi-Fi dongle, or a USB powered OTA receiver, 
shall be connected and operational. Optional peripheral devices 
shall not be connected to the STB. The STB may be tested in a 
laboratory environment containing control equipment comparable to a 
live service provider system. For example, a cable STB may be tested 
in a laboratory that contains a conditional access system, the 
appropriate equipment to communicate with the STB (example: ANSI/
SCTE 55-1 (incorporated by reference; see Sec.  430.3) or ANSI/SCTE 
55-2 forward and reverse data channel hardware or data-over-cable 
service interface specification (DOCSIS) infrastructure), and the 
appropriate interconnections (example: Diplexers, splitters, and 
coaxial cables).
    5. Test Procedure for Determining the Power Consumption of the 
Set-top Box in different Modes of Operation
    5.1. Set-top Box Warm-up. Allow the STB to operate in on mode 
while receiving and decoding video for at least 15 minutes so the 
STB can achieve stable condition.
    5.2. Test Configuration Information.
    5.2.1. The display device and client setup is described in Table 
1 of this appendix. Based on the capability of the STB, the 
appropriate number of display devices and clients shall be 
connected.

[[Page 5111]]



                               Table 1--Display Device and Client Connection Setup
----------------------------------------------------------------------------------------------------------------
  Supports multiple                                                   Number of connected    Number of connected
   display devices?        Supports  DVR?       Supports  clients?      display devices            clients
----------------------------------------------------------------------------------------------------------------
                X                      X                      X                      1                      1
                X                      X      .....................                  2                      0
                X      .....................                  X                      2                      1
                                       X                      X                      1                      1
                X      .....................  .....................            2 or 3*                      0
                                       X      .....................                  1                      0
                       .....................                  X                      1                1 or 2*
                       .....................  .....................                  1                      0
----------------------------------------------------------------------------------------------------------------
* The highest number of connections supported by the STB shall be used.

    5.2.2. Connecting to a Display Device. The STB shall be 
connected to the number of display devices required based on the 
setup requirements specified in Table 1. The following order of 
preference shall be used to connect each display device to the STB. 
The first available connection that the STB supports shall be used:
    1. HDMI
    2. Component Video
    3. S-Video
    4. Composite Video
    5. Other video interface
    5.2.3. Connecting to a Client. The STB shall be connected to the 
number of clients required based on the setup requirements specified 
in Table 1. An HNI connection shall be used to connect the client to 
the STB. The order of preference in which an HNI connection shall be 
selected is specified in section 4.6.1.
    5.3. Test Conduct.
    The following section is provided as guidance when conducting 
the various on, sleep, and off mode tests. When multiple streams are 
enabled, different content shall be selected to output to a display 
device, record on a DVR integrated into the STB, and stream to a 
connected client.
    5.3.1. Output to a Display Device. For tests requiring output to 
a display device, a channel shall be selected and viewed on the 
connected display device(s) as required by the test configuration. 
For STBs that do not support channels, an appropriate SD or HD test 
stream shall be selected and the content shall be viewed as 
indicated. If more than one display device is connected to the STB 
based on the test configuration from Table 1, then the content 
outputted on each display device shall be different.
    5.3.2. Recording for a STB with DVR capability. For tests that 
require recording on a DVR, a channel shall be selected using a 
connected display device or a client and the program shall be 
recorded. If more than one recording is enabled on a DVR that is 
integrated into the STB, the content for each recording shall be 
different.
    5.3.3. Streaming to a Connected Client. The content streamed to 
a client shall be selected in the following order of preference 
depending on the number of streams enabled. The first available 
stream that is supported by each connected client shall be enabled 
and the content on each stream shall be different.
    5.3.3.1. Stream with recorded content. That is, previously 
recorded content shall be viewed on a display device connected to a 
client.
    5.3.3.2. Stream with channel content. That is, a channel (SD 
stream for an SD client and HD stream for an HD client) shall be 
viewed on the connected display device. For clients that do not 
support channels, select an appropriate SD or HD test stream and 
view the content as indicated.
    5.3.3.3. Other streaming option. If the streams from sections 
5.3.3.1 and 5.3.3.2 are not supported, use another stream that is 
available.
    5.4. Calculation of Average and Rated Power Consumption.
    5.4.1. For all tests in the on, sleep, and off modes (sections 
5.5, 5.6, and 5.7), the average power shall be calculated using one 
of the following two methods:
    5.4.1.1. Record the accumulated energy (Ei) in kilo-
watt hours (kWh) consumed over the time period specified for each 
test (Ti). The average power consumption is calculated as 
Pi = Ei/Ti.
    5.4.1.2. Record the average power consumption (Pi) by 
sampling the power at a rate of at least 1 sample per second and 
computing the arithmetic mean of all samples over the time period 
specified for each test (Ti).
    5.4.2. The rated power consumption in the on, sleep, and off 
modes shall be determined as follows:
    5.4.2.1. Apply the sampling and statistical requirements 
described in 10 CFR part 429.55 to the average power consumption 
values in each mode of operation.
    5.4.2.2. The resulting rated power consumption value, for each 
mode of operation, shall be rounded according to the accuracy 
requirements specified in section 4.2.
    5.5. On Mode Power Measurement.
    5.5.1. The time period for each test in the on mode (sections 
5.5.2 and 5.5.3), TON, is 2 minutes.
    5.5.2. On (Watch TV). The on (watch TV) test shall be performed 
on all STBs as follows.
    5.5.2.1. On (Watch TV SD).
    5.5.2.1.1. Configure the STB as specified in section 5.2.
    5.5.2.1.2. Of all the connections to the STB, only one stream 
shall be enabled and shall stream to a display device. No additional 
streams shall be sent to other connected display devices and/or 
clients.
    5.5.2.1.3. If supported, select an SD channel and view on the 
connected display device. For STBs using a content provider that 
does not support channels, select an appropriate SD test stream and 
view the content as indicated.
    5.5.2.1.4. Begin on mode power consumption measurement and 
record the average power consumption with the SD source content for 
2 minutes as PWATCH--SD.
    5.5.2.2. On (Watch TV HD).
    5.5.2.2.1. If the STB supports HD streaming, repeat the test in 
section 5.5.2 using HD content instead of SD content and record this 
value as PWATCH--HD.
    5.5.2.3. Calculation of PWATCH. Compute PWATCH according to the 
following equation:
[GRAPHIC] [TIFF OMITTED] TP23JA13.013

Where:

PWATCH = the power consumption (in watts (W)) in on 
(watch TV) mode,
PWATCH--SD = the power consumption (in W) in on (watch TV 
SD) mode when an SD test stream is used, and
PWATCH--HD = the power consumption (in W) in on (watch TV 
HD) state when an HD test stream is used.

    5.5.3. Multi-stream.
    5.5.3.1. Perform this test only if the STB supports multi-
streaming as defined in section 2.14.
    5.5.3.2. Configure the STB as specified in section 5.2 of this 
appendix. Table 2 of this

[[Page 5112]]

appendix describes how to setup the multi-stream test. Choose the 
highest priority (smallest number option) that the STB supports.

            Table 2--Priority List for the Multi-Stream Test
------------------------------------------------------------------------
                                         Number of streams enabled:
   Priority for enabling multi-   --------------------------------------
streaming -1 is highest priority -  To display   To record    To connect
       9 is lowest priority          devices       on DVR     to clients
------------------------------------------------------------------------
1................................            1            1            1
2................................            2            1  ...........
3................................            2  ...........            1
4................................            1            2  ...........
5................................            1  ...........            2
6................................            3  ...........  ...........
7................................            1            1  ...........
8................................            1  ...........            1
9................................            2  ...........  ...........
------------------------------------------------------------------------

    5.5.3.3. All streams required for the feasible STB configuration 
shall be enabled using appropriate content as described in section 
5.3 of this appendix. If the STB or connected client(s) support HD 
streaming, an HD stream shall be used, otherwise an SD stream shall 
be used.
    5.5.3.4. Begin the multi-stream mode power consumption 
measurement and record the average power consumption for 2 minutes 
as PMULTI--STREAM.
    5.6. Sleep Mode Power Measurement.
    5.6.1. Only run the test for each mode if the STB supports this 
functionality, as defined in section 2.25.2. If the STB cannot be 
placed in sleep mode as defined in section 2.25.2 using a remote 
control, then this test shall be skipped.
    5.6.2. The time period for each test in the sleep mode (sections 
5.6.7 and 5.6.8 of this appendix), TSLEEP, shall be 
between 4 to 8 hours. The time period shall be extended beyond 8 
hours only if required as described in section 5.6.4 of this 
appendix.
    5.6.3. Assure no recording events are scheduled over the entire 
duration of the test, including the time prior to transitioning to 
sleep mode. If the STB is capable of scheduling a recording, 
schedule a recording 24 or more hours into the future.
    5.6.4. Assure no service provider network initiated actions 
requiring a transition to on mode occur during the 4 to 8 hour time 
period that the STB is in sleep mode (example: Content downloads or 
software updates). If a service provider network initiated activity 
cannot be disabled, then this shall be monitored as follows:
    5.6.4.1. The power consumption shall be sampled at a rate of at 
least 1 sample per second.
    5.6.4.2. For input powers less than or equal to 1 W, a linear 
regression through all power readings shall have a slope of less 
than 10 milli-watts per hour (mW/h). If the slope of the linear 
regression is equal to or greater than 10 mW/h the test shall either 
be restarted or extended until a slope of less than 10 mW/h is 
achieved.
    5.6.4.3. For input powers greater than 1 W, a linear regression 
through all power readings shall have a slope of less than 1 percent 
of the measured input power per hour. If the slope of the linear 
regression is equal to or greater than 1 percent the test shall 
either be restarted or extended until a slope of less than 1 percent 
is achieved.
    5.6.4.4. If the test is extended beyond 8 hours to achieve the 
desired condition, the average power consumption over the entire 
test duration shall be reported for PSLEEP--MANUAL and 
PSLEEP--APD and these values shall be used to determine 
the AEC.
    5.6.5. Assure no local area network initiated actions requiring 
a transition to on mode are scheduled during the 4 to 8 hour time 
period that the STB is in sleep mode (example: Mobile applications 
or other network devices requesting service).
    5.6.6. Configure the STB as specified in section 5.2 of this 
appendix.
    5.6.7. Manual Sleep Test.
    5.6.7.1. If the STB does not support sleep mode, then set 
PSLEEP--MANUAL equal to PWATCH.
    5.6.7.2. For STBs that are capable of transitioning to sleep 
mode, operate the STB in the multi-stream test configuration 
(section 5.5.3 of this appendix) for at least 5 minutes if the STB 
supports multi-streaming. If the STB does not support multi-
streaming, operate the STB in the on (watch TV) configuration 
(section 5.5.2 of this appendix) for at least 5 minutes.
    5.6.7.3. Momentarily (<1 second) press the ``Power'' button on 
the remote for the STB, and each locally connected display device 
and client, to place the STB, and each locally connected display 
device and client, into sleep mode as defined in section 2.25.2. 
Some STBs may require a short period of time before they actually 
enter a lower power consumption mode.
    5.6.7.4. Do not use (or move) the STB remote control after 
section 5.6.7.3 of this appendix.
    5.6.7.5. Ensure that the STB and each locally connected client 
has entered sleep mode by verifying no channel viewing or recording 
is supported on the STB and client(s). That is, there shall be no 
video output on the connected display device(s) from the STB and any 
locally connected clients.
    5.6.7.6. Begin manual sleep mode power consumption measurement 
and record the average power consumed as PSLEEP--MANUAL 
over the time period as determined in section 5.6.2 of this 
appendix.
    5.6.8. Auto Power Down (APD) Test.
    5.6.8.1. Perform this test only if the STB supports auto power 
down as defined in section 2.2 of this appendix.
    5.6.8.2. If the STB supports multi-streaming, operate the STB in 
the multi-stream configuration (section 5.5.2 of this appendix) for 
at least 5 minutes. If the STB does not support multi-streaming, 
operate the STB in the on (watch TV) configuration (section 5.5.2 of 
this appendix) for at least 5 minutes.
    5.6.8.3. Momentarily (<1 second) press the ``Power'' button on 
the remote only for any locally connected clients to place the 
clients into sleep mode as defined in section 2.25.2. Some clients 
may require a short period of time before they actually enter a 
lower power consumption mode. If more than one display device is 
locally connected to the STB, press the ``Power'' button for the 
additional locally connected display devices and stream content to 
one display device only.
    5.6.8.4. Do not use (or move) the STB remote control after 
section 5.6.8.3 of this appendix.
    5.6.8.5. Allow the STB to operate until the STB enters sleep 
mode or until 4 hours have elapsed, whichever occurs first.
    5.6.8.6. If 4 hours have elapsed and the STB is not in sleep 
mode, then the unit is not considered to support APD and 
PSLEEP--APD shall be set equal to PWATCH.
    5.6.8.7. Once the STB is in APD, begin power consumption 
measurement in APD and record the average power consumed as 
PSLEEP--APD over the time period as determined in section 
5.6.2 of this appendix.
    5.7. Off Mode Power Measurement.
    5.7.1. Place the STB in off mode. If the STB cannot be placed 
off mode as defined in section 2.25.3, then this test shall be 
skipped.
    5.7.2. Wait until the STB enters off mode.
    5.7.3. Record the average power for 2 minutes as 
POFF.
    5.8. Sleep to On Mode Transition Time Measurement. The following 
test is optional and should be performed to verify that the STB's 
operation qualifies for sleep mode as described in section 2.25.2.
    5.8.1. For the manual sleep test, place the STB in sleep mode 
according to the steps specified in sections 5.6.7.2 through 5.6.7.5 
of this appendix. For the APD test, place the STB in sleep mode 
according to the steps

[[Page 5113]]

specified in sections 5.6.8.2 through 5.6.8.6 of this appendix.
    5.8.2. Once the STB enters sleep mode, wait until the STB power 
consumption reaches PSLEEP--MANUAL (+0.5 W, -0.0 W) for 
the manual sleep test and PSLEEP--APD (+0.5 W, -0.0 W) 
for the APD test.
    5.8.3. After the STB power consumption reaches the desired value 
as specified in section 5.8.2 of this appendix, remain in sleep mode 
for at least 5 minutes.
    5.8.4. Momentarily (<1 second) press the ``Power'' button on the 
remote or front panel of the STB.
    5.8.5. Begin the elapsed time measurement.
    5.8.6. Stop elapsed time measurement when the STB enters on 
mode. It shall be ensured that the STB has entered on mode when it 
supports channel viewing on the connected display device or client.
    5.8.7. The duration to transition from sleep mode to on mode 
shall be recorded as TSLEEP--TO--ON, and this value shall 
be used to compare against the sleep mode requirements described in 
section 2.25.2.
    6. Calculation of the Annual Energy Consumption of the Set-top 
Box
    6.1. The AEC of the STB shall be calculated using the rated 
values of power consumption in the on, sleep, and off modes of 
operation (see section 5.4.2 for calculation of rated power 
consumption values).
    6.2. Compute the AEC of the STB using the equation below. The 
computed AEC value shall be rounded as follows:
    6.2.1. If the computed AEC value is 100 kWh or less, the rated 
value shall be rounded to the nearest tenth of a kWh.
    6.2.2. If the computed AEC value is greater than 100 kWh, the 
rated value shall be rounded to the nearest kWh.
[GRAPHIC] [TIFF OMITTED] TP23JA13.008

Where:

AEC = annual energy consumption (in kWh per year),
PWATCH = the rated power consumption value (in W) in on 
(watch TV) mode,
HWATCH = the number of hours assigned to on (watch TV) 
mode according to Table 3 of this appendix,
PMULTI--STREAM = the rated power consumption (in W) in 
the multi-stream test in on mode,
HMULTI--STREAM = the number of hours assigned to multi-
stream according to Table 3 of this appendix,
PSLEEP--MANUAL = the rated power consumption (in W) in 
the manual sleep test in sleep mode,
HSLEEP--MANUAL = the number of hours assigned to manual 
sleep according to Table 3 of this appendix,
PSLEEP--APD = the rated power consumption (in W) in the 
APD test in sleep mode,
HSLEEP--APD = the number of hours assigned to APD 
according to Table 3 of this appendix,
POFF = the rated power consumption (in W) in off mode, 
and
HOFF = the number of hours assigned to off mode according 
to Table 3 of this appendix.

                                             Table 3--Number of Hours Assigned to Each STB Mode of Operation
--------------------------------------------------------------------------------------------------------------------------------------------------------
          APD enabled by default?                   Multi-stream?             HWATCH       HMULTI_STREAM   HSLEEP_MANUAL    HSLEEP_APD         HOFF
--------------------------------------------------------------------------------------------------------------------------------------------------------
NO........................................  NO..........................              14               0              10               0               0
YES.......................................  NO..........................               7               0              10               7               0
NO........................................  YES.........................               9               5              10               0               0
YES.......................................  YES.........................               2               5              10               7               0
--------------------------------------------------------------------------------------------------------------------------------------------------------

[FR Doc. 2013-01065 Filed 1-22-13; 8:45 am]
BILLING CODE 6450-01-P