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
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_MANUALor PSLEEP_APD) is between PSLEEPand 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_ONis greater than 30 seconds then PSLEEP_MANUALand/or PSLEEP_APDshall 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_ONis greater than 30 seconds, then PSLEEP_MANUALshall be set equal to PWATCHand PSLEEP_APDshall 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.
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.
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
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.
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 (PWATCHand PMULTI_STREAM), sleep mode (PSLEEP_MANUALand 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.
Inserting each of these modes into the above equation, results in the equation below for AEC.
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.
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.
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
Using these data, DOE assumed that for STBs without APD or multi-streaming capability, 40 percent remain in the on mode 24 hours per day. The remaining 60 percent spend 5 hours in on mode, and 19 hours in sleep mode. Time spent in APD and multi-streaming is zero. Therefore, the average STB that does not have APD or multi-streaming capability, is in on (watch TV) mode approximately 13 hours per day (40 percent × 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
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 multi-streaming functionality and 2 hours per day in on (watch TV) mode. For STBs that always remain in on mode, DOE assumed that the total time spent in APD is 10 hours. This assumption is made based on the previous assumption that a STB that is not capable of multi-streaming spends a total of 12 hours per day in APD. That is, for STBs that are not placed into sleep mode manually, the viewer watches content on a TV for approximately 5 hours per day and of the remaining 19 hours, the STB spends approximately 12 hours per day in APD. Therefore, for a STB that has multi-streaming functionality, the viewer watches, records, or plays back content for approximately 7 hours per day and of the remaining 17 hours, the STB spends approximately 10 hours per day in APD. For STBs that are not placed into sleep mode, the remaining 9 hours per day are spent in on (watch TV) mode. That is, DOE assumed that an average STB spends approximately 5 hours per day in on (watch TV) mode (40 percent × 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 multi-streaming 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.
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).
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).
The Regulatory Flexibility Act (5 U.S.C. 601et 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.
(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 athttp://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 Hoovers33
(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
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.
(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.
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.
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. 4321et 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.
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.
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.http://energy.gov/gc/office-general-counsel.DOE examined today's proposed rule according to UMRA and its statement of policy and determined that the rule contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure of $100 million or more in any year, so these requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act, 1999
Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, “Governmental Actions and Interference with Constitutionally Protected Property Rights” 53 FR 8859 (March 18, 1988), that this regulation would not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act, 2001
Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today's proposed rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OMB, a Statement of Energy Effects for any proposed significant energy action. A “significant energy action” is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use.
Today's regulatory action to establish a test procedure for measuring the energy consumption of STBs is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as a significant energy action by the Administrator of OIRA. Therefore, it is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of 1974
Under section 301 of the Department of Energy Organization Act (Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the Federal Energy Administration Act of 1974, as amended by the Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) Section 32 essentially provides in relevant part that, where a proposed rule authorizes or requires use of commercial standards, the notice of proposed rulemaking must inform the public of the use and background of such standards. In addition, section 32(c) requires DOE to consult with the Attorney General and the Chairman of the Federal Trade Commission (FTC) concerning the impact of the commercial or industry standards on competition.
The proposed rule incorporates the following commercial standards: CEA-770.3-D, “High Definition TV Analog Component Video Interface;” HDMI Specification Version 1.0, “High-Definition Multimedia Interface Specification;” ISO/IEC 7816-12, “Identification cards—Integrated circuit cards—Part 12: Cards with contacts—USB electrical interface and operating procedures;” ANSI/SCTE 28 2007, “HOST-POD Interface Standard;” ANSI/SCTE 55-1 2009, “Digital Broadband Delivery System: Out of Band Transport Part 1: Mode A;” and ANSI/SCTE 55-2 2008, “Digital Broadband Delivery System: Out of Band Transport Part 2: Mode B”. These standards would be incorporated by reference in 10 CFR 430.3 (Materials incorporated by reference). The incorporated standards are respectively used to describe Component Video, HDMI, POD, smart card, and equipment that communicate with the STB. The Department has evaluated these standards and is unable to conclude whether these industry standards fully comply with the requirements of section 32(b) of the FEAA, (i.e., that they were developed in a manner that fully provides for public participation, comment, and review). DOE will consult with the Attorney General and the Chairman of the FTC concerning the impact of these test procedures on competition, prior to prescribing a final rule.
V. Public Participation
A. Attendance at Public Meeting
The time, date and location of the public meeting are listed in theDATESandADDRESSESsections at the beginning of this document. If you plan to attend the public meeting, please notify Ms. Brenda Edwards at (202) 586-2945 orBrenda.Edwards@ee.doe.gov.As explained in theADDRESSESsection, foreign nationals visiting DOE Headquarters are subject to advance security screening procedures.
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 sitehttp://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 theADDRESSESsection 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 theDocketsection 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 theDATESsection at the beginning of this proposed rule. Interested parties may submit comments using any of the methods described in theADDRESSESsection 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. Thisreduces 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 networkconnection. 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 PWATCHshould 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.
information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses.
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
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:
42 U.S.C. 6291-6317.
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:
(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:EP23JA13.006
and,xis the sample mean; n is the number of samples; and xiis theithsample;
(B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:EP23JA13.007
andxis the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95is the t statistic for a 95 percent one-tailed confidence interval with n-1 degrees of freedom (from Appendix A of this subpart).
(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.
PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
4. The authority citation for part 430 continues to read as follows:
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 “S-Video” to read as follows:
Component Videomeans a video display interface that meets the specification in CEA-770.3-D (incorporated by reference; see § 430.3).
Composite Videomeans a video display interface that uses a Radio Corporation of America (RCA) connection to transmit National Television System Committee (NTSC) analog video.
Direct video connectionmeans any connection type that is one of the following: High-Definition Multimedia Interface (HDMI), Component Video, S-Video, Composite Video, or any other video interface that may be used to output video content.
High-Definition Multimedia Interface or HDMImeans an audio/video interface that meets the specification in HDMI Specification Version 1.0 (incorporated by reference; see § 430.3).
Set-top boxmeans 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-Videomeans 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:
Standard, Digital Broadband Delivery System: Out of Band Transport Part 1: Mode A; IBR approved for appendix AA to subpart B.
Materials incorporated by reference.
(i)CEA.Consumer Electronics Association, Technology & Standards Department, 1919 S. Eads Street, Arlington, VA 22202, 703-907-7600, or go towww.CE.org.
(1) CEA-770.3-D, High Definition TV Analog Component Video Interface, approved February 2008; IBR approved for § 430.2.
(m)HDMI.High-Definition Multimedia Interface Licensing, LLC, 1140 East Arques Avenue, Suite 100, Sunnyvale, CA 94085, 408-616-1542, or go towww.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.
(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 towww.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
(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
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:
18.104.22.168. Accuracy and resolution in accordance with section 4.2.
22.214.171.124. Sufficient bandwidth.
126.96.36.199. A crest factor rating that is appropriate for the waveforms being measured and capable of reading the available current waveform without clipping the waveform. The peak of the current waveform measured during sleep and on modes for the STB shall be used to determine the crest factor rating and the current range setting. The full-scale value of the selected current range multiplied by the crest factor for that range shall be at least 15 percent greater than the peak current to prevent measurement error.
4.4.2.Bandwidth.The current and voltage signal shall be analyzed to determine the highest frequency component (that is, harmonic) with a magnitude greater than 1 percent of the fundamental frequency under the test conditions. The minimum bandwidth of the test instruments shall be determined by the highest frequency component of the signal.
4.4.3.Frequency response.A wattmeter with a frequency response of at least 3 kilo-hertz (kHz) shall be used in order to account for harmonics up to the 50th harmonic.
4.4.4.Sampling Interval.The wattmeter shall be capable of sampling at intervals less than or equal to 1 second.
Note:Electronic equipment can cause harmonic waveforms that lead to inaccuracies in power measurements.
4.5.Calibration.Test instruments shall be calibrated annually to traceable national standards to ensure that the limits of error in measurement are not greater than ± 0.5 percent of the measured value over the required bandwidth of the output.
4.6.1.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.
Table 1—Display Device and Client Connection Setup
|Supports multiple display devices?||SupportsDVR?||Supportsclients?||Number of connecteddisplay devices||Number of connectedclients|
|X||2 or 3*||0|
|X||1||1 or 2*|
* 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:
2. Component 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.
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.
188.8.131.52. Stream with recorded content. That is, previously recorded content shall be viewed on a display device connected to a client.
184.108.40.206. 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.
220.127.116.11. Other streaming option. If the streams from sections 18.104.22.168 and 22.214.171.124 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:
126.96.36.199. 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.
188.8.131.52. 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:
184.108.40.206. Apply the sampling and statistical requirements described in 10 CFR part 429.55 to the average power consumption values in each mode of operation.
220.127.116.11. 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.
18.104.22.168.On (Watch TV SD).
22.214.171.124.1. Configure the STB as specified in section 5.2.
126.96.36.199.2. 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.
188.8.131.52.3. 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.
184.108.40.206.4. Begin on mode power consumption measurement and record the average power consumption with the SD source content for 2 minutes as PWATCH_SD.
220.127.116.11.On (Watch TV HD).
18.104.22.168.1. 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.
22.214.171.124.Calculation of PWATCH.Compute PWATCHaccording to the following equation:EP23JA13.013
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.
126.96.36.199. Perform this test only if the STB supports multi-streaming as defined in section 2.14.
188.8.131.52. Configure the STB as specified in section 5.2 of this appendix. Table 2 of thisappendix describes how to setup the multi-stream test. Choose the highest priority (smallest number option) that the STB supports.
Table 2—Priority List for the Multi-Stream Test
|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|
184.108.40.206. 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.
220.127.116.11. 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:
18.104.22.168. The power consumption shall be sampled at a rate of at least 1 sample per second.
22.214.171.124. 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.
126.96.36.199. 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.
188.8.131.52. 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_MANUALand PSLEEP_APDand 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.
184.108.40.206. If the STB does not support sleep mode, then set PSLEEP_MANUALequal to PWATCH.
220.127.116.11. 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.
18.104.22.168. 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.
22.214.171.124. Do not use (or move) the STB remote control after section 126.96.36.199 of this appendix.
188.8.131.52. 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.
184.108.40.206. Begin manual sleep mode power consumption measurement and record the average power consumed as PSLEEP_MANUALover the time period as determined in section 5.6.2 of this appendix.
5.6.8.Auto Power Down (APD) Test.
220.127.116.11. Perform this test only if the STB supports auto power down as defined in section 2.2 of this appendix.
18.104.22.168. If the STB supports multi-streaming, operate the STB in the multi-stream configuration (section 5.5.2 of this appendix) for at least 5 minutes. If the STB does not support multi-streaming, operate the STB in the on (watch TV) configuration (section 5.5.2 of this appendix) for at least 5 minutes.
22.214.171.124. 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.
126.96.36.199. Do not use (or move) the STB remote control after section 188.8.131.52 of this appendix.
184.108.40.206. Allow the STB to operate until the STB enters sleep mode or until 4 hours have elapsed, whichever occurs first.
220.127.116.11. If 4 hours have elapsed and the STB is not in sleep mode, then the unit is not considered to support APD and PSLEEP_APDshall be set equal to PWATCH.
18.104.22.168. Once the STB is in APD, begin power consumption measurement in APD and record the average power consumed as PSLEEP_APDover 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 22.214.171.124 through 126.96.36.199 of this appendix. For the APD test, place the STB in sleep mode according to the stepsspecified in sections 188.8.131.52 through 184.108.40.206 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.EP23JA13.008
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|
[FR Doc. 2013-01065 Filed 1-22-13; 8:45 am]
BILLING CODE 6450-01-P
Department Of Energy
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