Vol. 78 Wednesday, 

No. 15 January 23, 2013 

Part V 

Department of Energy 

10 CFR Parts 429 and 430 

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

Proposed Rule 

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5076 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

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. 

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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Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 5077 

1For editorial reasons, upon codification in the 

U.S. code, Part B was re-designated Part A. 

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: 

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 

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5078 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

2ENERGY STAR® Program Requirements for Settop 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. 

3American National Standards Institute. 

4ANSI/CEA Standard. ‘‘Digital STB Background 

Power Consumption.’’ ANSI/CEA–2013–A. July 

2007. 

5ANSI/CEA Standard. ‘‘Digital STB Active Power 

Consumption Measurement.’’ ANSI/CEA–2022. July 

2007. 

6Canadian 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. 

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. 

STBs and network equipment. 76 FR at 

78174. Such industry test procedures 

included the ENERGY STAR® 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. 

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. 

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 multistreaming 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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Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 5079 

9A 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. 

10ENERGY 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. 

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) 

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®

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 Uverse® 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 blockdownconverters (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 

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5080 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

11 ‘‘ANSI-Accredited Standard Developers.’’ www.

ansi.org/about_ansi/accredited_programs/overview.

aspx?menuid=1. 

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 multiroom 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. 

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 

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12CEA 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. 

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, SVideo, 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. 

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 

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5082 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

14Wi-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. 

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) 

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 SVideo. 

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 

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Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 5083 

15A smart TV is a hybrid TV that combines 

internet features into modern TVs and STBs. 

16Rms 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. 

17A Fourier series decomposes period functions 

or period signals in terms of an infinite sum of 

simple oscillating functions, such as sines and 

cosines. 

18Progressive scan mode is a method of 

displaying, storing, or transmitting moving images 

such that all lines in each frame are drawn in 

sequence. 

19MoCA 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. 

20HPNA 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. 

22HomePlug 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). 

23The Society of Cable Telecommunications 

Engineers, Inc. 

24Society of Cable Telecommunications 

Engineers. Engineering Committee. Digital Video 

Subcommittee. ‘‘HOST–POD Interface Standard.’’ 

American National Standard. 

25 International Organization for Standardization. 

26 International Standard. ‘‘Identification cards— 

Integrated circuit cards—Part 12: Cards with 

contacts—USB electrical interface and operating 

procedures.’’ 

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). 

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. 

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). 

High definition test stream (HD): 

Video content delivered to the STB by 

the content provider to produce a 

minimum output resolution of 1280 × 

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 × 

1080 pixels in interlaced scan mode at 

29.97 fps (abbreviated 1080i30). 

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. 

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, downconverts 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. 

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. 

Standard definition test stream (SD): 

Video content delivered to the STB by 

the content provider to produce an 

output resolution of 640 × 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 

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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 multistream 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 

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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 deactivated, 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 deactivated 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. 

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27 International Standard. ‘‘Household electrical 

appliances—Measurement of standby power.’’ 

Edition 2.0 2011–01. 

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 (°C) ± 5 °C. DOE’s 

believes that 23 °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 °C for 

the ambient temperature is achievable 

because temperature measurement 

instruments generally provide for a 

greater accuracy than 5 °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 °C ± 5 °C 

is the same as that specified in the 

ENERGY STAR specification, which 

requires that the ambient temperature 

should remain between 18 °C and 28 °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 nonconductive 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. 

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 

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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 fullscale 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 

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5088 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

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 

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28Society of Cable Telecommunications 

Engineers. Engineering Committee. Digital Video 

Subcommittee. ‘‘Digital Broadband Delivery 

System: Out of Band Transport Part 1: Mode A.’’ 

American National Standard. 

29Society of Cable Telecommunications 

Engineers. Engineering Committee. Digital Video 

Subcommittee. ‘‘Digital Broadband Delivery 

System: Out of Band Transport Part 2: Mode B.’’ 

American National Standard. 

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 dataover-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. 

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. 

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5090 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

TABLE 1—DISPLAY DEVICE AND CLIENT CONNECTION SETUP

Supports multiple display 

devices? Supports DVR? Supports clients? Number of connected display devices 

Number of 

connected 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 

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

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5092 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

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 


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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: 

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

Priority for Enabling Multi-streaming 

¥ 1 is highest priority 

¥ 9 is lowest priority 

Number of streams enabled 

To display 

devices 

To record on 

DVR 

To connect 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 ............................ ............................

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 multistream 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 


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30Nielsen Wire. ‘‘Factsheet: The U.S. Media 

Universe’’. http://blog.nielsen.com/nielsenwire/

online_mobile/factsheet-the-u-s-media-universe/. 

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). 

DOE invites interested parties to 

comment on the proposed test 

procedure for testing STBs with multistreaming capability. DOE is especially 

interested in receiving comments on the 

proposed priority list for enabling 

streams for testing STBs with multistreaming 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 

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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 thirdparty 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 thirdparty 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 

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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 multistreaming. 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 

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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 

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5098 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

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: 

Where: 

x ̄ = the sample mean, 

n = the number of samples, and 

xi= the ith sample. 

The UCL is calculated as follows: 

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 onetailed 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 


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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. 

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. 


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31State of the Media: U.S. Digital Consumer 

Report, Q3–Q4 2011, The Nielsen Company, p. 5. 

32Energy 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. 

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. 

Using these data, DOE assumed that 

for STBs without APD or multistreaming 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 × 24 hours + 60 percent × 5 

hours) and sleep mode 11 hours per day 

(40 percent × 0 hours + 60 percent × 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 

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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 multistreaming functionality, but no APD 

functionality, DOE assumed that an 

average STB spends approximately 9 

hours per day in on (watch TV) mode 

(40 percent × 19 hours per day + 60 

percent × 2 hours per day); 5 hours per 

day in multi-streaming functionality; 

and 10 hours per day in sleep mode (40 

percent × 0 hours per day + 60 percent 

× 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 × 12 hours + 60 percent × 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 multistreaming 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 multistreaming 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 multistreaming 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 × 9 hours per day + 60 

percent × 2 hours per day); 

approximately 10 hours per day in sleep 

mode (40 percent × 0 hours per day + 

60 percent × 17 hours per day); 

approximately 5 hours in multistreaming functionality; and, 

approximately 4 hours per day in APD 

(40 percent × 10 hours per day + 60 

percent × 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 

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33Hoovers, 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. 

34Obtained 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. 

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. 

(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. 

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. 

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(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 

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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-generalcounsel. 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, ‘‘HighDefinition 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. 

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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 

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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 

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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 

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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 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

§ 429.11 [Amended] 

■ 2. Section 429.11 is amended in 

paragraphs (a) and (b) by removing 

‘‘429.54’’ and adding in its place 

‘‘429.55’’. 

■ 3. Section 429.55 is added to read as 

follows: 

§ 429.55 Set-top boxes. 

(a) Sampling plan for selection of 

units for testing. (1) The requirements of 

§ 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: 

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: 

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 

■ 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. 

■ 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 ‘‘SVideo’’ to read as follows: 

§ 430.2 Definitions. 

* * * * * 

Component Video means a video 

display interface that meets the 

specification in CEA–770.3–D 

(incorporated by reference; see § 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, SVideo, 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 § 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. 

* * * * * 

■ 6. Section 430.3 is amended by: 

■ a. Redesignating paragraphs (i) 

through (k) as paragraphs (j) through (l) 

and adding a new paragraph (i). 

■ b. Redesignating paragraph (l) as 

paragraph (n) and adding a new 

paragraph (m). 

■ c. Redesignating paragraph (m) as 

paragraph (o) and adding paragraph 

(o)(3). 

■ d. Redesignating paragraphs (n) and 

(o) as paragraphs (p) and (q). 

■ e. Redesignating paragraph (p) as 

paragraph (s) and adding a new 

paragraph (r). 

The additions read as follows: 

§ 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 § 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 § 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 


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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. 

* * * * * 

■ 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 × 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 × 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 § 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 § 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 × 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 °C ± 5 °C for the duration 

of the test. 

3.2.3. The STB shall be tested on a 

thermally non-conductive surface. 

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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 kilohertz (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 § 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. 

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TABLE 1—DISPLAY DEVICE AND CLIENT CONNECTION SETUP

Supports multiple display 

devices? 

Supports 

DVR? 

Supports 

clients? 

Number of connected 

display devices 

Number of connected 

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: 

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 


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5112 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Proposed Rules 

appendix describes how to setup the multistream test. Choose the highest priority (smallest number option) that the STB 

supports. 

TABLE 2—PRIORITY LIST FOR THE MULTI-STREAM TEST

Priority for enabling multi-streaming 

¥1 is highest priority 

¥9 is lowest priority 

Number of streams enabled: 

To display 

devices 

To record 

on DVR 

To connect 

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 multistreaming, operate the STB in the multistream 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 

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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. 

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 


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