Federal Register, Volume 77 Issue 56 (Thursday, March 22, 2012)

[Federal Register Volume 77, Number 56 (Thursday, March 22, 2012)]
[Rules and Regulations]
[Pages 16688-16712]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-6601]

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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 11

[EB Docket No. 04-296; FCC 12-7]

Review of the Emergency Alert System

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: In this document, the Federal Communications Commission
(Commission) amends its rules governing the Emergency Alert System
(EAS) to codify the obligation to process alert messages formatted in
the Common Alerting Protocol (CAP) and to streamline and clarify these
rules generally to enhance their effectiveness.

DATES: Effective April 23, 2012, except for 47 CFR 11.21(a),
11.33(a)(4), 11.41(b), 11.42, 11.54(b)(13), and 11.55, which contain
information collection requirements that have not been approved by the
Office of Management and Budget (OMB). The incorporation by reference
of certain publications listed in this rule is approved by the Director
of the Federal Register as of April 23, 2012. The Commission will
publish a document in the Federal Register announcing the effective
date of those paragraphs and rule amendments.

FOR FURTHER INFORMATION CONTACT: Lisa Fowlkes, Deputy Bureau Chief,
Public Safety and Homeland Security Bureau, at (202) 418-7452, or by
email at Lisa.Fowlkes@fcc.gov. For additional information concerning
the Paperwork Reduction Act information collection requirements
contained in this document, contact Judy Boley Hermann at (202) 418-
0214 or send an email to PRA@fcc.gov.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Fifth
Report and Order (Fifth Report and Order) in EB Docket No. 04-296, FCC
12-7, adopted on January 9, 2012, and released on January 10, 2012. The
full text of this document is available for inspection and copying
during normal business hours in the FCC Reference Center (Room CY-
A257), 445 12th Street SW., Washington, DC 20554. The complete text of
this document also may be purchased from the Commission's copy
contractor, Best Copy and Printing, Inc., 445 12th Street SW., Room CY-
B402, Washington, DC 20554. The full text may also be downloaded at:
www.fcc.gov.

Synopsis of the Fifth Report and Order

1. In the Fifth Report and Order, the Commission adopts several
changes to its Part 11 Emergency Alert System (EAS) rules to more fully
codify the Common Alerting Protocol (CAP)-related obligations initially
adopted in the Second Report and Order (Second Report and Order) in EB
Docket No. 04-296, 72 FR 62123 (Nov. 2, 2007), and to eliminate
outdated rules to improve Part 11's overall effectiveness. The rule
amendments and other decisions taken in this Fifth Report and Order are
predicated upon the Third Further Notice of Proposed Rulemaking (Third
FNPRM) in EB Docket No. 04-296, 76 FR 35810 (June 20, 2011), adopted by
the Commission on May 25, 2011.

I. Background

2. The present-day EAS is a hierarchical alert message distribution
system that utilizes radio and television broadcasters, cable service
providers, and other regulated entities (collectively known as EAS
Participants) to transmit audio and/or visual emergency alert messages
to the public. To initiate an EAS message, whether at the national,
state, or local levels, the message originator must format a message in
the EAS Protocol, which is identical to the Specific Area Message
Encoding (SAME) digital protocol utilized by National Weather Service
(NWS) (hereinafter, ``EAS Protocol'' and ``SAME'' are used
interchangeably), and send the formatted alert to a designated entry
point within the EAS network for delivery to specialized equipment
maintained and operated by EAS Participants that can receive (and
decode) the alert for transmission over the EAS Participants'
facilities to their end users.
3. In 2007, the Commission adopted the Second Report and Order in
this docket, which revised the Commission's Part 11 EAS rules to lay
the foundation for a state-of-the-art, next-generation national EAS
(Next Generation EAS). First, to ensure the efficient, rapid, and

[[Page 16689]]

secure transmission of EAS alerts in a variety of formats (including
text, audio, and video) and via different means (broadcast, cable,
satellite, and other networks), the Commission required that EAS
Participants be capable of receiving CAP-formatted alert messages no
later than 180 days after the Federal Emergency Management Agency
(FEMA) publicly publishes its adoption of the CAP standard. Second, the
Commission required EAS Participants to adopt Next Generation EAS
delivery systems no later than 180 days after FEMA publicly releases
standards for those systems. Third, the Commission required EAS
Participants to transmit state and local EAS alerts that are originated
by governors or their designees no later than 180 days after FEMA
publishes its adoption of the CAP standard, provided that the state has
a Commission-approved State Area EAS Plan that provides for delivery of
such alerts.
4. CAP is an open, interoperable XML-based standard, developed
within the Organization for the Advancement of Structured Information
Standards (OASIS) standards process, which permits links to voice,
audio or data files, images, multilingual translations of alerts, and
links providing further information. Although CAP and SAME both convey
data, the two protocols function in entirely different ways. CAP
essentially represents an envelope into which data is packaged
according to predetermined fields and packetized for transmission over
various IP-based mediums, such as the Internet. The SAME protocol is
designed to combine specific codes that identify alert data (e.g.,
type, origin, and area affected) with an audio message, which are
modulated onto an RF signal using the audio frequency-shift keying
(AFSK) modulation scheme (this process is referred to as ``encoding'').
5. On March 25, 2010, in anticipation of FEMA's adoption of CAP,
the Commission's Public Safety and Homeland Security Bureau (Bureau)
released a Public Notice (Part 11 Public Notice) in EB Docket No. 04-
296, DA 10-500, released on March 25, 2010, that sought informal
comment regarding what, if any, Part 11 changes might be necessitated
by the introduction of CAP. On October 7, 2010, the Communications
Security, Reliability, and Interoperability Council (CSRIC), which had
been established by the Commission to, among other things, recommend
revisions to the Part 11 rules in light of FEMA's then-pending adoption
of CAP, adopted a Final Report, which included a number of
recommendations for revisions to the Part 11 rules related to the
obligation to accept CAP-formatted messages.
6. On September 30, 2010, FEMA announced its adoption of technical
standards and requirements for CAP-formatted EAS alerts. Specifically,
FEMA identified three documents as defining the FEMA Integrated Public
Alert and Warning System (IPAWS) technical standards and requirements
for CAP and its implementation: (1) The OASIS CAP Standard v1.2; (2) an
IPAWS Specification to the CAP Standard (CAP v1.2 IPAWS USA Profile
v1.0); and (3) the EAS-CAP Industry Group's (ECIG) Recommendations for
a CAP-EAS Implementation Guide, Version 1.0 (May 17, 2010) (ECIG
Implementation Guide). FEMA's announced adoption of CAP v1.2 triggered
an initial deadline for EAS Participants to be able to receive CAP
alerts by March 29, 2011.
7. On November 18, 2010, in response to the recommendations in
CSRIC's Final Report, as well as to comments submitted in response to
the Part 11 Public Notice, the Commission adopted an order in EB Docket
No. 04-296, FCC 01-191, that extended the 180-day deadline for meeting
the CAP-related obligations until September 30, 2011 (the Waiver
Order). On May 25, 2011, the Commission adopted the Third FNPRM, which
sought comment on several proposed changes to the EAS rules to more
fully codify the CAP-related obligations adopted in the Second Report
and Order, and to eliminate outdated rules to improve Part 11's overall
effectiveness, and is the basis for the decisions taken in the Fifth
Report and Order. On September 15, 2011, the Commission adopted the
Fourth Report and Order (Fourth Report and Order) in EB Docket No. 04-
296, 76 FR 80780 (Dec. 27, 2011), which amended section 11.56 of the
EAS rules to require EAS Participants to be able to receive CAP-
formatted EAS alerts no later than June 30, 2012.

II. Discussion

8. The Fifth Report and Order adopts changes to the Part 11 rules
to fully effectuate the CAP-related obligations adopted in the Second
Report and Order, as well as other rule changes and clarifications
intended to streamline Part 11 and generally enhance the overall
effectiveness of the EAS, based upon the rule changes and
clarifications proposed in the Third FNPRM. The specific rule changes
adopted in the Fifth Report and Order are included in the rules
section.
9. The rule changes and other decisions taken in the Fifth Report
and Order in response to the Third FNPRM are summarized below. Because
the Fifth Report and Order does not impose new obligations but
primarily details the manner in which EAS Participants must implement
the CAP requirement, the rules and other decisions adopted in the Fifth
Report and Order impose minimal new costs, particularly as many EAS
Participants have already purchased and installed CAP-compatible EAS
equipment. In many cases, these rule changes will result in decreased
costs.

A. Scope of CAP-Related Part 11 Revisions

10. The Commission adopts the transitional approach for
implementing CAP within the EAS set forth in the Third FNPRM.
Specifically, the Commission explains that the CAP-related changes to
Part 11 it adopts in the Fifth Report and Order are limited to ensuring
that EAS Participants' EAS equipment will be capable of receiving and
converting CAP-formatted messages into a SAME-compliant message. The
Commission clarifies that EAS Participant stations that are generally
charged with encoding (or regenerating) the EAS Protocol codes (as AFSK
tones) for the benefit of downstream stations monitoring their
transmissions will continue that function with respect to alert
messages they receive in the CAP format--just as they would for alert
messages they receive in the SAME format. However, the Commission
explains, they will be generating the AFSK tones based upon the
relevant EAS Protocol codes contained within the CAP message, in
conformance with the ECIG Implementation Guide, including the audio
message contained in the CAP message, to the extent required under the
Part 11 rules. As part of this transitional approach, the Commission
also requires EAS Participants to create video crawls based upon the
enhanced text contained within the CAP message to the extent that such
text files are provided by the alert initiator, in conformance with the
relevant procedures set forth in the ECIG Implementation Guide.
11. The Commission concludes that this transitional approach is
warranted, primarily because switching over to a fully CAP-centric EAS
system--where EAS messages are inputted and outputted in CAP format
rather than SAME format--at this time is technically infeasible and
premature, because no such CAP-centric system has been developed. The
Commission further concludes that this transitional approach makes
sense because the many benefits of maintaining the legacy EAS
previously outlined by the Commission

[[Page 16690]]

in the Second Report and Order continue to be relevant today. In
addition, the Commission observes that FEMA has indicated that the
legacy EAS will continue to provide a nationwide alerting mechanism as
part of its IPAWS system, and FEMA's adoption of the standards
necessary for formatting alert messages into CAP and translating such
CAP-formatted messages into SAME-compliant messages establishes the
groundwork for implementing CAP-formatted alert initiation within the
existing EAS system. The Commission further observes that the record
indicates that EAS equipment manufacturers have designed and have been
marketing CAP-enabled equipment that conforms to these FEMA-adopted
standards, and a significant percentage of EAS Participants already
have procured or contracted for such equipment, making this
transitional approach both practical and cost-efficient.

B. Obligation To Accept CAP Messages

12. CAP-Formatted Message Conversion to SAME. The Commission adopts
its tentative conclusion in the Third FNPRM to amend Sec. 11.56 to
require EAS Participants to convert CAP-formatted EAS messages into
SAME-compliant EAS messages in accordance with the ECIG Implementation
Guide, except for its provisions on text-to-speech and gubernatorial
CAP messages. The Commission observes that adopting the ECIG
Implementation Guide as the standard for translating CAP-formatted
messages into SAME-compliant messages will harmonize CAP elements with
the Part 11 rules, thus ensuring that CAP-formatted EAS messages are
converted into SAME-compliant messages in a consistent, cost-efficient
manner across devices and delivery platforms. The Commission also
observes that adoption of this requirement has broad support in the
record.
13. The Commission notes that FEMA has adopted the ECIG
Implementation Guide as its benchmark for processing IPAWS-distributed
CAP-formatted messages to the EAS, and many manufacturers have already
designed EAS equipment that conforms to the ECIG Implementation Guide,
as demonstrated by their having completing requirements of FEMA's IPAWS
Conformity Assessment Program. The Commission also observes that
successful completion of FEMA's IPAWS Conformity Assessment Program can
be used to demonstrate ECIG Implementation Guide compliance for
purposes of obtaining FCC certification. Accordingly, the Commission
finds that the costs of complying with the ECIG Implementation Guide
are minimal.
14. The Commission clarifies that it will not permit EAS
Participants to adhere to the ECIG Implementation Guide's provisions on
text-to-speech. The Commission finds that, although use of text-to-
speech technology has some support in the record, there are also
concerns in the record about whether text-to-speech software is
sufficiently accurate and reliable to deliver consistently accurate and
timely alerts to the public. The Commission also observes that allowing
the text-to-speech conversion to be resolved by EAS equipment software,
as opposed to text-to-speech software that the alert message originator
might employ, could result in differing audio messages being broadcast
for the same EAS message, depending upon which software brand and
version a given equipment manufacturer elected to incorporate into its
EAS equipment. The Commission concludes that discussion of text-to-
speech and speech-to-text software is best reserved for a separate
proceeding, and therefore defers these issues at this time. Finally,
the Commission notes that because it is eliminating the mandate to
process CAP-formatted messages initiated by state governors, the issue
of conformance with the provisions in the ECIG Implementation Guide to
effect that mandate are moot.
15. CAP-Related Monitoring Requirements. The Commission amends
Sec. 11.52 of its rules to include a requirement that EAS
Participants' EAS equipment must interface with and monitor (whether
through ``pull'' interface technologies, such as Really Simple
Syndication (RSS) and Atom Syndication Format (ATOM), or ``push''
interface technologies, such as instant messaging and email) the IPAWS
system to enable distribution of Federal CAP-formatted alert messages
from IPAWS to the EAS Participants' EAS equipment. Whereas the
Commission had initially proposed in the Third FNPRM to require that
EAS Participants monitor FEMA's IPAWS RSS feed(s) for Federal CAP-
formatted messages, it concludes that it is unrealistic to require that
EAS Participants adhere to a specific technical standard for CAP
monitoring. The Commission also observes that the technical parameters
of the IPAWS system are still evolving--and the digital world in which
that system operates is evolving faster still. The Commission finds
that trying to keep up with these changes while specifying the
technical requirements for Federal CAP monitoring in the Part 11 rules
is neither practical nor administratively efficient. In this regard,
the Commission observes that FEMA changed the methodology for
distributing CAP messages from its IPAWS system to the EAS from RSS to
ATOM shortly after the Third FNPRM's adoption. The Commission also
finds that the flexible approach to monitoring adopted in the Fifth
Report and Order will benefit equipment manufacturers by allowing them
to update their equipment designs as Federal CAP message delivery
mechanisms and technology evolve.
16. Because the Commission in the Fifth Report and Order eliminates
the obligation to receive and process gubernatorial CAP-formatted
messages, it does not establish a generally applicable requirement for
state CAP message monitoring. The Commission clarifies that the
monitoring requirements associated with CAP messages initiated via
state (and local) EAS systems will be determined just as the monitoring
requirements for SAME-based EAS message transmissions always have been.
Specifically, the Commission indicates that state (and local) alerting
authorities, working with EAS Participants, will develop state (and
local) CAP alert monitoring requirements and set these forth in their
State EAS Plans, to be submitted to and approved by the Commission.
17. Next Generation Distribution Systems. In the Second Report and
Order, the Commission stated that ``should FEMA announce technical
standards for any Next Generation EAS alert delivery system, EAS
Participants must configure their networks to receive CAP-formatted
alerts delivered pursuant to such delivery system, whether wireline,
Internet, satellite or other, within 180 days after the date that FEMA
announces the technical standards for such Next Generation EAS alert
delivery.'' In the Third FNPRM, the Commission interpreted this
language as being intended to put EAS Participants on notice that,
should FEMA adopt technical standards covering delivery of CAP-
formatted messages to EAS Participants over specific platforms, such as
satellite systems, EAS Participants would ultimately need to configure
their systems to be able to interface with such systems to meet their
existing obligation to process CAP-formatted messages.
18. In the Fifth Report and Order, the Commission adopts the
interpretation of the language from the Second Report and Order
regarding receipt of CAP-formatted messages from Next Generation EAS
delivery systems that it stated in the Third FNPRM. Accordingly, the
Commission concludes that if FEMA were to announce

[[Page 16691]]

technical standards for any Next Generation EAS alert delivery system
for delivering CAP-formatted alerts, the Commission would seek to amend
Part 11 to require that EAS Participants be capable of receiving such
alerts. The Commission observes that it has no expectations as to how
or whether FEMA may adopt standards and requirements for new message
and delivery mechanisms that would modify existing requirements. The
Commission instead merely clarifies that: (i) Any such standards or
requirements cannot be enforced with respect to EAS Participants until
the requirements are formally integrated into the Part 11 rules via the
rulemaking process, and (ii) it would seek to initiate such a
rulemaking process in a timely manner, with the goal of making
compliance with such standards or requirements effective within 180
days of their formal adoption.
19. Equipment Requirements. The Fifth Report and Order contains
several CAP-related decisions related to EAS equipment, as summarized
below.
20. Intermediary Devices. The Commission explains that intermediary
devices are stand-alone devices that carry out the functions of
monitoring for, receiving, and decoding CAP-formatted messages and
converting such messages into a format that can be inputted into a
separate, stand-alone legacy EAS device to produce an output that
complies with the Part 11 rules. The Commission observes that the
record indicates that there are two types of intermediary devices,
which may generally be described as ``universal'' intermediary devices
and ``component'' intermediary devices. The Commission explains that
universal intermediary devices monitor, acquire, and decode CAP
messages, using the relevant CAP data to generate (i.e., encode) the
EAS codes (FSK audio tones) and, if present, an audio message, which
can be inputted into legacy EAS devices. The Commission further
explains that because the SAME-formatted message output of the
universal intermediary device is functionally equivalent to a SAME-
formatted message delivered over the air, it theoretically should be
interoperable with all or most legacy EAS decoders. The Commission
adds, however, that because the output of the universal intermediary
device is limited to the EAS Protocol--which is all that the legacy EAS
device can process--the configuration of a universal intermediary
device and legacy EAS device can only generate a SAME-compliant
message; it cannot, for example, use the enhanced CAP text for
generating a visual display.
21. The Commission explains that component intermediary devices, by
contrast, are designed to interoperate with specific legacy EAS device
models. The Commission observes that component intermediary devices
also monitor for, acquire, and decode CAP messages, but are designed to
enhance the function of specific legacy EAS devices. As a result, the
Commission explains, the output of the combined system configuration of
these devices is capable of more than simply generating a SAME-
compliant message. The Commission observes that the record indicates
that such configurations may permit the use of the enhanced CAP text to
meet the visual display requirements in Sec. Sec. 11.51(d), (g)(3),
(h)(3), and (j)(2).
22. The Commission observes that, according to the record,
``integrated CAP-capable EAS devices''--i.e., self-contained, stand-
alone devices that combine the CAP-related functions of decoding CAP-
formatted messages and converting such messages into a SAME-compliant
output and processing SAME-formatted messages as encoders and decoders
in accordance with the Part 11 rules--can be updated via software or
firmware to comply with any future changes that might be incorporated
into the Part 11 rules, the CAP standard, or the ECIG Implementation
Guide. The Commission also observes, however, that it is unclear
whether or to what extent a combined system configuration of a
component intermediary device and its companion legacy EAS device model
could be similarly updated.
23. Based on the record and the transitional approach it adopts for
this proceeding, the Commission concludes that it will allow EAS
Participants to meet the CAP-related obligations adopted in the Fifth
Report and Order by using intermediary devices in tandem with their
existing legacy EAS equipment, provided that such configuration can
comply with the revised certification requirements adopted in the Fifth
Report and Order as well as with any applicable Part 11 requirements we
may adopt in the future. The Commission further concludes, however,
that because it is requiring that EAS Participants utilize the enhanced
text in a CAP message to provide a visual display, as set forth in
Sec. 3.6 of the ECIG Implementation Guide, it will require that any
intermediary devices provide such functionality by June 30, 2015, which
is three years from the June 30, 2012, deadline for overall CAP
compliance.
24. The Commission finds that this approach for intermediary
devices is consistent with its baseline goal of ensuring that alert
messages formatted pursuant to the CAP-related standards adopted by
FEMA will be converted into and outputted as SAME-compliant messages.
The Commission observes that the record indicates that intermediary
devices offer a less costly way to meet the requirements adopted in the
Fifth Report and Order, and that some percentage of EAS Participants
already have purchased and deployed intermediary devices. The
Commission observes that not authorizing the use of intermediary
devices would result in significant equipment replacement,
installation, and training costs for these EAS Participants. The
Commission finds that, assuming these intermediary devices can meet the
certification and other requirements adopted in the Fifth Report and
Order, imposition of the costs associated with the purchase of
replacement EAS equipment is unnecessary and unjustified. The
Commission also observes that intermediary devices will be required to
meet the same requirements and provide the same capabilities as
integrated CAP-capable EAS devices, thus putting them on an equal
footing.
25. With respect to its decision to require intermediary devices to
be capable of utilizing the enhanced text in a CAP message to provide a
visual display, as set forth in Sec. 3.6 of the ECIG Implementation
Guide, by June 30, 2012, the Commission recognizes that it will likely
be technically unfeasible for universal intermediary devices (and
possibly some component intermediary devices), as well as the legacy
EAS devices with which they are configured, to meet this requirement.
The Commission acknowledges that, as a result, non-conforming equipment
would have to be replaced, but concludes that any costs associated with
such replacement are consistent with those that EAS Participants may
expect in the normal course of business, particularly as much of the
underlying legacy equipment upon which intermediate devices depend is
old and will soon need to be replaced. The Commission finds that the
approximately three and one half-year window it is providing for
intermediary device users is sufficient to allow EAS Participants to
finish depreciating and then replace this aging legacy EAS equipment
and to allow equipment manufacturers time to develop possible
workarounds to allow intermediate devices to become compliant with the
revised rules. The Commission also observes that among the benefits
that CAP-compliant equipment will bring is an EAS that is more
accessible to all

[[Page 16692]]

Americans, including Americans with disabilities, who will directly
benefit from this new requirement.
26. Section 11.32(a). The Commission concludes that it is
unnecessary to make any changes to the minimum encoder requirements set
forth in Sec. 11.32(a) regarding CAP-to-SAME conversion. The
Commission observes that the conversion of CAP-to-SAME is primarily a
decoding function that CAP-compliant EAS equipment is designed to
perform. The Commission further observes that it is not requiring
encoders to encode anything other than the relevant EAS Protocol
elements described in Sec. .31 that they have always been required to
encode, and that this is the case regardless of whether the relevant
EAS Protocol elements are derived from a CAP-formatted message or a
SAME-formatted message.
27. Section 11.32(a)(2) and (a)(3). The Commission revises the
encoder input port configuration requirements in Sec. 11.32(a)(2) to
require that encoders be configured with at least one audio input port
and at least one data input port. The Commission also deletes as
unnecessary references to RS232-C and 1200 baud rate, which
manufacturers may continue to make available, if they so desire. The
Commission concludes that decisions concerning the total number and
types of data input ports configured into encoders are best left to
equipment manufacturers, so that they can respond to the monitoring
requirements of the CAP systems with which EAS equipment may interface
(such as IPAWS and state CAP systems), changes in technology, and costs
of compliance. The Commission also finds that, for the sake of
consistency with its transitional approach, the input configuration
requirements should continue to require audio and data connectivity.
Finally, the Commission applies the minimal requirement of at least one
audio port and at least one data port to the encoder output port
configuration requirements in Sec. 11.32(a)(3), because it finds that
the rationale above applies equally to the output ports and the record
strongly supports such application.
28. Section 11.33(a). The Commission revises the minimum
requirements for decoders in Sec. 11.33(a) of the Commission's rules
to include the capability to decode CAP-formatted messages and convert
them into SAME protocol-compliant messages, as set forth in Sec. 11.56
and clarify that this requirement can be met through the deployment of
an intermediary device. The Commission observes that the fundamental
purpose of decoders is to ingest and process EAS messages, whether
formatted in the SAME or CAP protocols, and adding CAP reception to
Sec. 11.33(a) will put CAP on the same footing as SAME. The Commission
also finds it appropriate to clarify in Sec. 11.33(a) that
intermediary devices may be used to meet the fundamental decoder
requirement of converting CAP messages into SAME-compliant messages.
29. Section 11.33(a)(1) and (a)(7). For the same reasons described
above with respect to encoder input configuration requirements, the
Commission revises the decoder input configuration requirements in
Sec. 11.33(a)(1) to require at least one data input port (this section
already requires the capability to receive ``at least two audio
inputs''). The Commission also deletes as unnecessary any references to
RS232-C and 1200 baud. The Commission revises the decoder output
configuration requirements in Sec. 11.33(a)(7) to reflect these
changes.
30. Section 11.33(a)(4). The Commission amends Sec. 11.33(a)(4) to
include selective display and logging of the text that was compiled
from CAP-formatted messages. The Commission finds that this revision is
necessary to harmonize CAP-formatted message processing with SAME-
formatted message processing. The Commission observes that its decision
is supported by EAS equipment manufacturers, the industry affected by
the rule revision, and that the revision imposes no additional
technical obligations or costs either to these manufacturers or to EAS
Participants.
31. Section 11.33(a)(10). The Commission adopts its tentative
conclusion set forth in the Third FNPRM to decline CSRIC's
recommendation to revise Sec. 11.33(a)(10) to require use of the CAP-
formatted message where a duplicate SAME-formatted message was also
received. The Commission observes that the ECIG Implementation Guide
includes a process for handling CAP messages where a duplicate SAME-
formatted message also has been received, which prefers (but does not
require) use of the CAP version. The Commission also observes that it
is requiring CAP-to-SAME conversion in conformance with the ECIG
Implementation Guide, which should satisfy the underlying thrust of
CSRIC's recommendation.
32. Section 11.33(a)(11). The Commission revises Sec. 11.33(a)(11)
to ensure that EAN messages receive priority over all other EAS
messages, regardless of whether the EAN message was received via the
audio port or data port, or was formatted in SAME or CAP. The
Commission finds that this action is necessary because as currently
written, Sec. 11.33(a)(11) could be interpreted to require a
preference for SAME-formatted EAN messages received via over-the-air
broadcast monitoring over duplicate CAP versions of the same message
received via the data input port. The Commission also finds that such
action is necessary to ensure that EAS equipment consistently gives
EANs priority, regardless of how it receives them.
33. Miscellaneous Rule Changes Related to Fully Implementing CAP.
The Fifth Report and Order contains several CAP-related decisions
related to more fully implementing CAP within Part 11, as summarized
below.
34. Section 11.1. The Commission concludes that the existing
language defining the purpose of the EAS in Sec. 11.1, which covers
Federal, state, and local government users, and their designees, is
broad enough to capture all authorized users of the EAS, whether they
initiate SAME-formatted messages or CAP-formatted messages.
Accordingly, the Commission declines CSRIC's recommendation to revise
Sec. 11.1 to include new CAP-related alert originators.
35. Section 11.11. The Commission amends Sec. 11(a) to delete the
reference therein to ``analog television broadcast stations'' and to
include as a minimum requirement compliance with the CAP-related
requirements in Sec. 11.56. The Commission observes that the reference
to ``analog television broadcast stations'' is obsolete in light of the
fact that since June 13, 2009, all full-power U.S. television stations
have broadcast over-the-air signals in digital only. The Commission
also finds that incorporating the CAP-related obligations in Sec.
11.56 by reference into section 11.11(a) is necessary to put CAP and
SAME on an equal footing in Part 11.
36. Section 11.11 equipment deployment tables. The Commission
adopts the revisions to the equipment deployment tables in Sec. 11.11
proposed in the Third FNPRM. Specifically, the Commission amends the
equipment deployment tables in Sec. 11.11 by adding a footnote to the
``EAS decoder'' entries in the tables to clarify that the obligation to
receive and translate CAP-formatted messages may be met by deploying an
intermediary device. The Commission finds that because the tables in
Sec. 11.11 already require deployment of EAS decoders, a reference to
intermediary devices (which are stand-alone equipment in their own
right) is required for consistency in light of its decision to permit
EAS Participants to deploy intermediary devices to meet

[[Page 16693]]

their CAP-related obligations. The Commission also deletes the date
references in the equipment deployment tables in Sec. 11.11 (as well
as cross-references to these dates in other sections of Part 11, such
as Sec. 11.51(c) and (d)), along with the entry for two-tone encoders.
The Commission finds that this action is required for consistency and
has support in the record.
37. The Commission also concludes that incorporating monitoring
requirements or references thereto into Sec. 11.11 is unnecessary. The
Commission observes that no party filed comments on this issue
directly. The Commission further observes that decoders already are
required to meet the monitoring requirements in Sec. 11.52, which it
is amending to include CAP monitoring. Accordingly, the Commission
concludes that the basic requirement to deploy a decoder (or
intermediary device) necessarily triggers CAP monitoring obligations.
38. Section 11.20. The Commission concludes that Sec. 11.20 of the
Commission's rules need not be revised to accommodate the distribution
of CAP messages, as recommended by CSRIC, or to incorporate CAP
monitoring, as recommended by parties responding to the Part 11 Public
Notice. Specifically, the Commission concludes that the language in
Sec. 11.20 is broad enough to encompass EAS messages originated in CAP
format, to the extent that a given state relay network is involved in
the distribution of that state's CAP-formatted alert messages. The
Commission also observes that it does not know what role the state
relay network will or will not play in the distribution of CAP messages
in each state (or locality), or whether these will be consistent for
all states (and localities). The Commission defers specifying how state
and local SAME-formatted and CAP-formatted EAS messages are distributed
to state and Local Area EAS Plans.
39. Section 11.21. The Commission amends the State Area EAS Plan
requirements in section 11.21(a) to make clear that the State EAS Plans
specify the monitoring assignments and the specific primary and backup
path for SAME-formatted EANs and that the monitoring requirements for
CAP-formatted EANs are set forth in Sec. 11.52. The Commission
observes that it does not know what role, if any, state alerting
systems may play in disseminating CAP-formatted EANs in the future.
Accordingly, the Commission also includes language that to the extent a
state may distribute CAP-formatted EANs to EAS Participants via its
state alerting system, its State EAS Plan must include specific and
detailed information describing how such messages will be aggregated
and delivered, just as it must for state CAP-formatted non-EAN
messages.
40. The Commission observes that its proposal in the Third FNPRM to
clarify Sec. 11.21(a) (and 11.55(a)) that the mandate to process
gubernatorial alerts applies to CAP alerts has become moot in light of
its decision to eliminate the obligation that EAS Participants receive
and process CAP-formatted gubernatorial alerts. The Commission also
observes, however, that detailed information describing how state-
originated CAP-formatted messages will be aggregated and distributed to
EAS Participants, including applicable monitoring requirements, must be
detailed in the State EAS Plans, just as the equivalent information for
SAME-formatted alerts always has been, and amends Sec. 11.21(a) to
make this clear.
41. Section 11.21(c). The Commission defers taking any action
regarding the FCC Mapbook, requirements in Sec. 11.21(c) of the
Commission's rules, until, at a minimum, it has completed its review of
the test data it will be receiving from EAS Participants as a result of
the November 9, 2011, Nationwide EAS Test.
42. Section 11.31(a)(3). In light of its decisions to require
conversion of CAP-formatted messages into the existing EAS Protocol for
transmission over the current EAS architecture, the Commission finds
that the language in Sec. 11.31(a)(3) limiting the EAS Protocol
message to audio, video, or text remains valid and thus declines to
revise the language in Sec. 11.31(a) to better reflect CAP's
capabilities.
43. Section 11.35(a). The Commission amends sections 11.35(a) and
(b) to clarify that these sections apply to all equipment used as part
of the EAS, including all equipment that performs the functions of
decoding and encoding messages formatted in the EAS Protocol and the
Common Alerting Protocol. The Commission observes that Sec. Sec.
11.35(a) and (b) apply to EAS Encoders and Decoders and have terms that
are broad enough to capture both integrated CAP-capable EAS devices as
well as intermediary devices, but nonetheless clarifies the language in
these sections to remove any ambiguity on this issue.
44. Section 11.45. The Commission declines to adopt CSRIC's
recommendation to revise Sec. 11.45 to prohibit CAP messages lacking
``Actual'' status indicators. The Commission observes that the language
in Sec. 11.45 already broadly prohibits the transmission of the EAS
codes or attention signal ``in any circumstances other than in an
actual National, State or Local area emergency.'' The Commission finds
that this language is sufficiently broad to encompass EAS codes and
attention signals generated from the receipt of a SAME-formatted or
CAP-formatted message. The Commission also observes that the ECIG
Implementation Guide, which the Commission adopts as the standard for
CAP-to-SAME conversion, already requires that CAP messages have an
``ACTUAL'' status indicator for EAS activation.
45. Section 11.51. The Commission adopts the tentative conclusion
in the Third FNPRM that there is no basis for adopting CSRIC's
recommendation to revise the language in section 11.51 of the
Commission's rules to state that equipment must be capable of
transmitting (or ``rendering'') a CAP-compliant message to EAS. The
Commission observes that to the extent CSRIC meant to revise Sec.
11.51 to ensure conversion of CAP messages into SAME-compliant
messages, that requirement has been incorporated into section 11.56.
The Commission also observes that this is a fundamental requirement
that will be cross-referenced in other sections of Part 11.
46. Section 11.51(d), (g)(3), (h)(3), and (j)(2). The Commission
amends Sec. 11.51(d), (g)(3), (h)(3), and (j)(2) of the Commission's
rules to require EAS Participants to derive the visual display
elements, including the originator, event, location and the valid time
period of the EAS message, from the CAP text data as described in
section 3.6 of the ECIG Implementation Guide. The Commission observes
that every commenter addressing this issue favored allowing EAS
Participants to construct the video crawl from the enhanced text in CAP
per the ECIG Implementation Guide. The Commission further observes that
the ECIG Implementation Guide provides procedures for deriving the
video crawl translation of a CAP-formatted message to include not only
the EAS codes required under the Part 11 rules, but also additional
text relating to the event, which it believes would provide more visual
information to alert message viewers. The Commission observes that the
utility of such additional text has never been in question. The
Commission explains, for example, that the ability to provide
additional descriptive information will make alerts more focused, which
could be vitally important for Amber alerts and other alerts that
require more specific information than the basic who, what, when and
where that EAS codes

[[Page 16694]]

provide. The Commission also observes that CAP alert originators will
also be able to include in alerts suggested actions to avoid or prepare
for the emergency condition; identify URLs and other sources of
additional information; or provide a textual translation of the audio
portion of a message, which would be particularly beneficial to the
deaf and hard of hearing community.
47. The Commission concludes that its concerns expressed in the
Third FNPRM regarding the potential for confusion that might arise if
stations serving the same geographic area displayed differing video
crawls (one based on the SAME elements only and the other based on the
enhanced CAP text) are outweighed by the benefit that the enhanced text
provides. The Commission observes that such scenarios would arise only
when one (or more) of the stations in the geographic area affected by
the emergency loses its ability to receive CAP messages but continues
to receive over-the-air SAME messages. The Commission also observes
that the ECIG Implementation Guide procedure for displaying enhanced
CAP text has already been adopted by the industry and FEMA. The
Commission also finds that requiring display of enhanced CAP text will
provide an incentive for state and local alert message originators to
deploy and use CAP-based alert systems and integrate such CAP systems
with the EAS and FEMA's IPAWS system.
48. The Commission clarifies that it will continue to use the EAS
header codes as the baseline requirement for the visual display. The
Commission acknowledges that these codes take up some portion of the
1800 characters available for scrolling and that the EAS header codes
may not always sufficiently describe the alert. However, the Commission
nonetheless finds that some measure of uniformity and consistency in
how alert messages are processed over the EAS is necessary. In this
regard, the Commission observes that the ECIG Implementation Guide does
not specify minimum descriptive information, and thus if the baseline
requirement to include the EAS header codes were eliminated, there is
no guarantee that such basic information would be included by the CAP
message originator, and descriptive information could vary greatly from
state to state and locality to locality. The Commission also finds that
ensuring that the EAS header codes are included in CAP messages is
critical because stations responsible for regenerating (via the AFSK
encoding process) a CAP alert message that has been converted into a
SAME-compliant message for the benefit of downstream monitoring
stations can only encode the EAS header codes.
49. Section 11.54. The Commission declines to adopt CSRIC's
recommendations to mandate that CAP-formatted messages be broadcast
only if the scope of the alert is ``Public,'' and to revise Sec.
11.54(b)(1) to include IPAWS monitoring. The Commission observes that
it is only requiring EAS equipment to produce a SAME-compliant output,
and there is no requirement in the EAS Protocol, or more broadly, in
the Part 11 rules, to broadcast only ``Public'' EAS messages. The
Commission also observes that the ECIG Implementation Guide, with which
the Commission is requiring conformance, already specifies that EAS
Participants must ignore CAP-formatted messages with a value in the
``scope'' field other than ``Public.'' With respect to CSRIC's proposal
to revise Sec. 11.54(b)(1) to include IPAWS monitoring, the Commission
observes that it is deleting Sec. 11.54(b)(1), and therefore this
issue is moot.
50. Waivers. The Commission concludes that it would not be
appropriate to adopt any form of blanket exemption from the basic
obligations of monitoring for, receiving, and processing CAP-formatted
messages. The Commission finds that waivers or exemptions from these
requirements are best addressed on a case-by-case basis under the
waiver standard, where the facts and circumstances of each individual
case can be determined on its own merits. The Commission observes,
however, that the primary method of distributing CAP messages will be
via a broadband Internet connection and concludes that the physical
unavailability of broadband Internet service offers a presumption in
favor of a waiver. The Commission clarifies that any waiver based on
the physical unavailability of broadband Internet access likely would
not exceed six months, with the option of renewal if circumstances have
not changed. The Commission also clarifies that questions concerning
whether the cost of broadband Internet access in a given geographic
area (or other potential substitute CAP alert distribution mechanisms)
would constitute grounds for a waiver of the basic CAP-related
obligations would be relative to the facts and circumstances of an
individual case. The Commission observes that to the extent a waiver
applies, the affected party would be required to continue to operate
its legacy EAS equipment.
51. The Commission rejects the request of the American Cable
Association to exempt cable systems of 500 subscribers or less from the
Part 11 rules, concluding that there is no evidence that the costs of
meeting the CAP-related obligations would jeopardize any class of
entities subject to the Part 11 rules or are otherwise unreasonable.
The Commission clarifies that noncommercial educational broadcast
satellite stations operating pursuant to a ``main studio waiver'' need
not deploy CAP-capable EAS equipment, provided that the EAS equipment
deployed at the parent (hub) station site meets all applicable CAP-
related and other requirements set forth in the Fifth Report and Order.

C. EAS Equipment Certification

52. The Commission incorporates conformance with the ECIG
Implementation Guide into its existing equipment certification process.
The Commission concludes that EAS equipment must be certified as CAP
compliant because it is amending Part 11 to require CAP-to-SAME
conversion in conformance with the ECIG Implementation Guide, and thus,
as part of the required Part 11 functions, it necessarily falls under
Part 11's certification requirements.
53. In terms of implementation, the Commission finds that the test
procedures developed and utilized in FEMA's IPAWS CA program constitute
the most logical basis for demonstrating compliance with the CAP
compliance requirements. The Commission further finds that integrated
CAP-capable EAS devices that have passed the conformance testing
performed under FEMA's IPAWS CA program may use the Supplier's
Declaration of Conformity (SDoC) issued under that program to
demonstrate CAP-to-SAME conversion in conformance with the ECIG
Implementation Guide. The Commission also finds that integrated CAP-
capable EAS devices that have not already passed the conformance
testing performed under FEMA's IPAWS CA program must independently show
conformance with the ECIG Implementation Guide through device testing
pursuant to the test procedures developed and utilized in FEMA's IPAWS
CA program. The Commission indicates that such testing can be performed
by (i) the National Incident Management System (NIMS) Support Center--
Supporting Technology Evaluation Project (STEP), which has assumed the
role of testing for CAP and IPAWS profile compliance for EAS devices
from the IPAWS CA program, or (ii) any other entity. The procedures and
time periods for all cases described above are summarized as follows:
[cir] For integrated CAP-capable EAS devices that already have FCC

[[Page 16695]]

certification, the grantee must submit a Class II Permissive Change
filing that includes: (i) A cover letter explaining that the purpose of
the filing is to apprise the Commission that the device has been tested
for compliance with the ECIG Implementation Guide pursuant to the
procedures adopted in this order and that the filing is being made to
update the device's existing certification file; (ii) a statement
signed by the grantee of the device's underlying FCC equipment
authorization confirming compliance with section 11.56 of the
Commission's rules; and (iii) a copy of either (a) the IPAWS CA program
SDoC, if tested under FEMA's program; (b) the NIMS SDoC, if tested
under the NIMS CAP testing program; or (c) for devices tested outside
these programs, a copy of the test report showing that the device
passed the test elements. If the integrated CAP-capable EAS device has
already been marketed, the Class II Permissive Change filing must be
submitted by June 30, 2012, the effective deadline for overall CAP
compliance.
[cir] For integrated CAP-capable EAS devices that do not already
have FCC certification, the grantee must include with the FCC
certification application materials: (i) A cover letter explaining that
the device has been tested for compliance with the ECIG Implementation
Guide pursuant to the procedures adopted in this order; (ii) a
statement signed by the grantee confirming compliance with section
11.56 of the Commission's rules; and (iii) a copy of either (a) the
IPAWS CA program SDoC, if tested under FEMA's IPAWS CA program, (b) the
NIMS SDoC, if tested under the NIMS CAP testing program, or (c) for
devices tested outside these programs, a copy of the test report
showing that the device passed the test elements.
54. Intermediary Devices. As a preliminary matter, the Commission
finds that universal intermediary devices and component intermediary
devices perform encoder or decoder functions and as such are subject to
certification under Sec. 11.34 of the Commission's rules.
Specifically, the Commission observes that universal intermediary
devices monitor, acquire, and decode CAP messages, using the relevant
CAP data to generate (i.e., encode) the EAS codes (FSK audio tones) and
if present, an audio message, which can be received by the audio input
of a legacy EAS device just as it would receive any other over-the-air
SAME-formatted message. Accordingly, the Commission finds that
universal intermediary devices are subject to certification both as
decoders and encoders under Sec. 11.34(a) and (b) of our rules,
respectively.
55. The Commission observes that component intermediary devices
also monitor for, acquire, and decode CAP messages, but because they
are configured to interface with a specific legacy EAS device model,
they may be capable of communicating the extracted data to the
companion legacy EAS device model in a non-AFSK format and thus may not
themselves be encoding the SAME data. The Commission concludes that
under these circumstances, a component intermediary device would not be
subject to certification as an encoder under Sec. 11.34(a) in its
capacity as a stand-alone device. The Commission also observes,
however, that component intermediary devices are designed for and
intended to be operated with specific legacy EAS device models.
Accordingly, the Commission finds that the output of the combined
system configuration of these devices performs encoding functions which
subjects such configuration to certification under Sec. 11.34(a). In
addition, the Commission observes that component intermediary devices
perform decoding functions in their capacity as stand-alone devices
that subject them to certification under Sec. 11.34(b).
56. With respect to incorporating conformance with the ECIG
Implementation Guide for intermediary devices into the existing
certification process, the Commission observes that FEMA's IPAWS CA
program tested intermediary devices for conformance with the ECIG
Implementation Guide. Given the nature of the two types of intermediary
devices, the Commission concludes that the test procedures developed
and utilized in FEMA's IPAWS CA program for testing intermediary
devices constitute a sufficient basis for demonstrating compliance with
the ECIG Implementation Guide in a way that would impose minimal costs
on the affected parties. Accordingly, the Commission concludes that the
streamlined certification processes outlined above for integrated CAP-
capable EAS devices are equally suitable for intermediary devices.
However, with respect to certification testing for ECIG Implementation
Guide compliance and Part 11 compliance, the Commission concludes that,
because component intermediary devices are designed and intended to be
operated with specific legacy EAS device models, certification testing
for ECIG Implementation Guide compliance and Part 11 compliance of
these devices must be performed on the combined system--i.e., the
component intermediary device as configured with the specific legacy
EAS device model(s) with which it is marketed and intended to be used.
The Commission also clarifies that universal type intermediary devices
can be tested as stand-alone devices. The procedures and time periods
for all cases described above are summarized as follows:
[cir] For intermediary devices that already have FCC certification,
the grantee must submit a Class II Permissive Change filing that
includes: (i) A cover letter explaining that the purpose of the filing
is to apprise the Commission that the device has been tested for
compliance with the ECIG Implementation Guide pursuant to the
procedures adopted in this order and that the filing is being made to
update the device's existing certification file; and (ii) a copy of
either (a) the IPAWS CA program SDoC, if tested under FEMA's IPAWS CA
program; (b) the MINS SDoC, if tested under the NIMS CAP testing
program; or (c) for devices tested outside these programs, a copy of
the test report showing that the device passed the test elements. If
the intermediary device has already been marketed, the Class II
Permissive Change filing must be submitted by June 30, 2012, the
effective deadline for overall CAP compliance.
[cir] For intermediary devices that do not already have FCC
certification, the grantee must include with the FCC certification
application materials: (i) A cover letter explaining that the device
has been tested for compliance with the ECIG Implementation Guide
pursuant to the procedures adopted in this order; and (ii) a copy of
either (a) the IPAWS CA program SDoC, if tested under FEMA's IPAWS CA
program; (b) the NIMS SDoC, if tested under the NIMS CAP testing
program; or (c) for devices tested outside these programs, a copy of
the test report showing that the device passed the test elements.
57. Modified Equipment. The Commission concludes that the existing
requirements governing modifications to certified equipment in section
2.1043 of the Commission's rules are sufficient to cover CAP-enabled
equipment. The Commission clarifies that modifications to authorized
EAS equipment that are necessary to implement revisions to the EAS
event codes, originator codes, or location codes set forth in section
11.31 may be implemented as Class I permissive changes. The Commission
also observes that any future revisions to the CAP-related standards
adopted by FEMA could not become effective in the Part 11 rules absent
a rulemaking proceeding.

[[Page 16696]]

E. CAP Messages Originated by State Governors

58. The Commission concludes that the mandate to receive and
transmit CAP-formatted messages initiated by state governors is not
necessary at this time and is potentially detrimental to effective
deployment of CAP-based alerts. Accordingly, the Commission eliminates
the mandate from Part 11. In arriving at this determination, the
Commission observes that there are a number of practical problems
associated with implementing the mandate within the existing EAS system
architecture, and overcoming these problems would likely impose
significant costs on and disruption to its transitional approach for
accommodating CAP within the EAS. The Commission points out as
particularly problematic the issue of whether and how the gubernatorial
CAP-formatted message could be converted into an EAS Protocol-formatted
message for the benefit of downstream monitoring stations. The
Commission observes, for example, that the ECIG Implementation Guide
procedures for identifying a CAP message as being from a governor only
works for an EAS Participant that receives the CAP message, as the CAP-
formatted gubernatorial alert cannot be converted and encoded as an
existing EAS Protocol-formatted message.
59. The Commission also observes that adding a new originator code
to make the gubernatorial CAP mandate operational within the legacy EAS
domain presents a range of problems. The Commission points out, for
example, that such a revision to the EAS Protocol would require updates
to every integrated CAP-capable EAS device, intermediary device, and
legacy EAS device, the latter of which may not be capable of being
updated and would have to be replaced (along with any intermediary
device with which they might be configured). The Commission also points
out that implementing the mandatory gubernatorial alert within the
revised EAS rules would present other equally troubling issues for
which there are no ready or obvious technical solutions. The Commission
observes that these problems include implementing priority status
within CAP for a gubernatorial alert and mandating broadcast of a
category of messages that do not specify an actual emergency. The
Commission further observes that such an open ended mandate might, in
some cases, allow the issuance of a mandatory message that may be
inappropriate for an alert.
60. The Commission also questions whether the mandatory
gubernatorial alert requirement would provide any tangible benefit. The
Commission observes that while the mandate was adopted in 2007 as an
incentive to encourage and facilitate state use of the EAS network, it
does not appear that this rationale applies today. In this regard, the
Commission observes that approximately twenty-four states (including
one territory) have either deployed CAP systems or are in the planning
stages of deploying CAP systems, and given the current economic
climate, it seems unlikely that states that have not already deployed
or begun plans to deploy CAP systems will do so simply because of an
enforceable mandate to carry CAP-formatted gubernatorial messages. The
Commission further observes that there is near universal voluntary
participation by EAS Participants in carrying state and local EAS
messages. Accordingly, the Commission concludes that having an
enforceable means to guarantee carriage of gubernatorial CAP alert
messages seems unnecessary. Finally, the Commission observes that
FEMA's IPAWS will provide a means for a State governor, or the
governor's authorized representative, to issue targeted CAP-based
alerts, not only over the EAS, but over mobile devices.

F. Revising the Procedures for Processing EANs

61. The Commission amends the Part 11 EAS rules so that EANs will
be processed on a message-by-message basis, like any other EAS message,
only on a mandatory and priority basis. As part of this rule
simplification, the Commission eliminates the Emergency Action
Termination (EAT) event code. Under the Commission's revised approach,
receipt of an EAN will effectively open an audio channel between the
originating source and the EAS Participant's facilities until the EAS
Participant receives an End of Message (EOM) code. After the EAS
Participant receives the EOM, the EAS equipment will return to regular
programming until receipt of the next EAS message. If that message is
another EAN, then the process would repeat; if that message is a state
or local EAS message, then that message would be aired in accordance
with the specifications in the State or Local Area EAS Plan. The
Commission concludes that revising the rules governing EAN processing
is necessary because they were designed to accommodate the EAN Network,
which was phased out in 1995, and purely manual operation. The
Commission also observes that the current EAN processing rules do not
translate well for automated operation, are confusing, and in some
cases, inconsistent with other Part 11 rules.
62. With respect to the question raised in the Third FNPRM
regarding whether to eliminate the option for EAS Participants to
manually process EANs (but not state or local EAS messages), the
Commission finds that it would be premature to take any action on such
matter until after it has reviewed the test data from the November 9,
2011, Nationwide EAS Test. Accordingly, the Commission defers taking
any action on this matter at this time.
63. Revising Section 11.54. The Commission deletes Sec. Sec.
11.54(b)(1), (3), (4), (10), and 11.54(c) from the Part 11 rules. The
Commission finds that these provisions are superfluous in the context
of the message-by-message processing it is adopting for EANs.
64. Deleting Section 11.42. The Commission deletes Sec. 11.42 from
the Part 11 rules because it no longer serves any purpose.
65. Eliminating the EAS Operating Handbook. With respect to the
question raised in the Third FNPRM regarding whether to eliminate the
EAS Operating Handbook, the Commission finds that it would be premature
to take any actions on such matter until after it has reviewed the test
data from the November 9, 2011, Nationwide EAS Test. Accordingly, the
Commission defers taking any action on this issue at this time.
66. However, the Commission is deleting Sec. Sec. 11.54(a),
(b)(2), and (5)-(8) because they serve no purpose under the message-by-
message processing approach it adopts for handling EANs. The Commission
observes that these provisions all refer to procedures set forth in the
EAS Operating Handbook designed to implement the National Emergency
Condition, which the Commission is eliminating. The Commission observes
that if it elects to retain the EAS Operating Handbook, it will at most
serve as an informational document to aid EAS Participant personnel in
handling EAS messages manually and will not itself establish any
procedures (such as on-air announcements) that must be followed.
67. Non-Participating National (NN) Sources. The Commission
eliminates NN status on the grounds that it is not necessary.
Accordingly, the Commission deletes references to NN status from
Sec. Sec. 11.18, 11.41, 11.54, and 11.55 of the Commission's rules,
and deletes Sec. 11.19 altogether. The Commission clarifies that any
existing stations operating under NN status must meet the full message-
by-message EAN processing requirements, and CAP-related requirements,
by the June 30, 2012,

[[Page 16697]]

general deadline for processing CAP-formatted messages. The Commission
finds that elimination of NN status is warranted because it does not
appear to serve any purpose today, as NN entities already are required
to deploy a decoder that complies with all EAS message processing
requirements and follow all of the EAN processing requirements, except
broadcasting the audio message. The Commission also observes that there
are relatively few NN stations, and that no entity with or without NN
status filed comments objecting to the proposal to eliminate NN status
raised in the Third FNPRM.
68. Deleting Section 11.44. The Commission deletes Sec. 11.44 from
the Part 11 rules on grounds that this section is superfluous under the
message-by-message approach adopted by the Commission for processing
EANs. Although priority for EANs already is provided for in the other
sections of Part 11, the Commission also incorporates language on EAN
preemption and priority into the definition of the EAN in section 11.2.
69. Revising Section 11.53. The Commission deletes Sec. 11.53 from
the Part 11 rules as superfluous in light of its decisions to delete
almost all of Sec. 11.54 and implement message-by-message processing
for EANs. For informational purposes, however, the Commission
incorporates the relevant language in Sec. 11.53(a) and (b),
describing Federal, State, and local origination of the EAN, into the
definition of EAN in Sec. 11.2 and clarifies that such origination
applies only to EANs formatted and transmitted in accordance with the
EAS Protocol requirements in Sec. 11.31.
70. Revising Section 11.11(a). The Commission revises section
11.11(a) to remove the references therein to ``participating broadcast
networks, cable networks and program suppliers; and other entities and
industries operating on an organized basis during emergencies at the
National, State and local levels'' on grounds that these references are
a holdover from the Emergency Broadcasting System (EBS) rules and serve
no purpose under the message-by-message approach adopted by the
Commission for processing EANs.
71. Deleting Section 11.16. With respect to the question raised in
the Third FNPRM regarding whether to delete Sec. 11.16, the Commission
observes that the test data from the November 9, 2011, Nationwide EAS
Test, which is under review, may provide insight on this matter.
Accordingly, the Commission defers taking any action on this issue at
this time.
72. However, the Commission is deleting Sec. 11.54(b)(12) and
incorporating that section's requirement for Primary Entry Point (PEP)
stations to follow the National Control Point Procedures into Sec.
11.16.

G. Miscellaneous Part 11 Revisions Not Related to CAP

73. LP-1 Definition. The Commission's assessment of State EAS Plans
confirms that there are both radio and TV stations serving as LP-1
stations and it therefore revises the definition for LP-1 stations in
section 11.2(b) to reflect that these stations can be a radio or a TV
station.
74. PEP Definition. The Commission deletes section 11.14, which
describes PEP stations, from the Part 11 rules because it mirrors the
definition of PEP stations in section 11.2(a) and is therefore
superfluous. The Commission also revises section 11.2(a) to delete the
numerical reference to the actual number of PEP stations in existence,
and clarify that the PEP stations distribute EAS messages in accordance
with the EAS Protocol requirements in section 11.31.
75. EAN and EAT Definitions. The Commission deletes section 11.13
from the Part 11 rules and folds the definition for the EAN currently
in section 11.13 into section 11.2. The Commission observes that the
proper location in Part 11 for the EAN definition, currently at section
11.13(a), is the definitions section in section 11.2. Because the
Commission also is deleting the EAT, the remaining subsection in
section 11.13, section 11.13(b), which describes the EAT, is
superfluous, leaving no purpose for retaining section 11.13 in Part 11.
76. Geographic Codes. The Commission changes the references to the
Federal Information Processing Standard (FIPS) numbers (as described by
the U.S. Department of Commerce in National Institute of Standards and
Technology publication FIPS PUB 6-4.FIPS number codes) in sections
11.31 and 11.34(d) of the Commission's rules to reflect the American
National Standards Institute (ANSI) Codes INCITS 31.200x (Formerly FIPS
6-4), Codes for the Identification of Counties and Equivalent Entities
of the United States, its Possessions, and Insular Areas standard that
superseded it. The Commission observes that the FIPS standard is
outdated and requires revision to keep the Part 11 rules current.
77. LPTV and LPFM. The Commission revises the analog and digital
broadcast station equipment deployment table in section 11.11(a) of the
Commission's rules to correctly identify ``LPFM'' (Low Power FM) and
``LPTV'' (Low Power TV) in their respective columns. The Commission
also revises sections 11.61(a)(1)(i) and 11.61(a)(2)(ii) to include
LPFM stations. The Commission observes that these corrections are
necessary to ensure that the rules reflect prior decisions.
78. Attention Signal. The Commission concludes that the Attention
Signal continues to serve a useful purpose in the EAS framework as an
audio notification to the general public that an alert is about to be
aired, and therefore will retain the Attention Signal in the Part 11
rules. However, the Commission revises section 11.32(a)(9)(iv) to
require that the Attention Signal be set to eight seconds in duration,
which reflects what has become common practice and ensures that when
the signal is aired, it is done in a consistent manner. In addition,
the Commission deletes section 11.33(b), which establishes Attention
Signal requirements for decoders, because these requirements were used
for demuting and activation functions that do not apply to the EAS. The
Commission also deletes section 11.12, which specifies that EBS
Attention Signal encoders and decoders can remain in operation until
January 1, 1998, because this section is obsolete.
79. Section 11.33(a)(9). With respect to the decoder reset
requirements specified in section 11.39(a)(9) of the Commission's
rules, the Commission finds that EAS Participants should be allowed to
relay, for the benefit of downstream monitoring stations, messages they
received that did not include an EOM within the reset time limit set on
their decoder (presumably, two minutes). More specifically, the
Commission finds that when a non-EAN alert exceeds that two minute
mark, the EAS Participant's EAS device should be allowed to generate an
EOM to make up for the EOM that was not received with the original
message. The Commission observes that the record indicates that current
EAS equipment already functions in this manner, and that there are many
reasons why an EOM might not arrive before the reset value triggers
that have nothing to do with the reliability of the message. The
Commission further observes that the only way to ensure that an EOM did
arrive for a given EAS message prior to the reset value would be to
delay relay of that message until the entire message and its EOM has
been received, which could take up to two minutes (or more), which it
concludes is not in the public interest.
80. Section 11.33(a)(3)(ii). The Commission declines to eliminate
the

[[Page 16698]]

requirement in section 11.33(a)(3)(ii) to delete messages upon
expiration of their time periods, as proposed in the Third FNPRM. The
Commission concludes that the valid time period should continue to be
set by the message originator, which is the party most responsible for
the public's safety. The Commission also observes that EAS Participants
have repeatedly stressed that they do not want the responsibility of
alert origination, and allowing them to air expired alerts would
effectively put them in that role.
81. Training. The Commission reiterates that it lacks the authority
to raise or distribute funds for EAS-related purposes and therefore
cannot provide training for state and local emergency managers. The
Commission observes, however, that it can hold workshops and summits as
part of its outreach mission. The Commission also observes that it
intends to examine the relative merits of making the FCC Mapbook and
EAS Operator Handbook more informative and useful for EAS Participants
and their personnel.
82. Persons with Disabilities. The Commission observes that its
decision to require EAS Participants to meet the video display
requirements in sections 11.51(d), (g)(3), (h)(3), and (j)(2) by using
the enhanced text in the CAP message will enable CAP alert message
originators to provide a transcript of the audio message, which helps
harmonize the EAS rules with the requirements of section 79.2 of the
Commission's rules. The Commission also observes that requiring display
of enhanced CAP text will provide an incentive for state and local
alert message originators to deploy and use CAP-based alert systems.
The Commission believes that providing state and local alert message
originators with a conduit for the transmission of transcripts of the
audio portions of their messages should encourage alert originators to
craft messages that will provide accessible alerting for persons with
hearing and vision disabilities.
83. Proposals Beyond the Scope of the Fifth Report and Order. The
Commission identifies several issues raised by comments responding to
the Third FNPRM that were not raised in the Third FNPRM. Because these
issues were not raised in the Third FNPRM, the Commission does not
resolve them in the Fifth Report and Order.

III. Procedural Matters

A. Regulatory Flexibility Analysis

84. As required by the Regulatory Flexibility Act of 1980, see 5
U.S.C. 603, the Commission has prepared a Final Regulatory Flexibility
Analysis (FRFA) of possible significant economic impact on small
entities of the policies and rules addressed in this document. The FRFA
is set forth in Appendix A.

B. Paperwork Reduction Act Analysis

85. This Fifth Report and Order adopts modified information
collection requirements subject to the Paperwork Reduction Act of 1995
(PRA), Public Law 104-13. These modified requirements will be submitted
to the Office of Management and Budget (OMB) under an emergency request
for review under Section 3507(d) of the PRA. OMB, the general public,
and other Federal agencies are invited to comment on the new or
modified information collection requirements contained in this
proceeding. In addition, the Commission notes that pursuant to the
Small Business Paperwork Relief Act of 2002, Public Law 107-198, see 44
U.S.C. 3506(c)(4), it previously sought specific comment on how the
Commission might further reduce the information collection burden for
small business concerns with fewer than 25 employees.
86. In this present document, the Commission has assessed the
effects of revisions to current Part 11 reporting, recordkeeping, or
compliance requirements as set forth in this Fifth Report and Order,
and does not expect these revisions to alter the recordkeeping burden
of any EAS Participants to any appreciable degree. There are no results
specific to businesses with fewer than 25 employees.

C. Congressional Review Act

87. The Commission will send a copy of this Fifth Report and Order
to Congress and the Government Accountability Office pursuant to the
Congressional Review Act (``CRA''), see 5 U.S.C. 801(a)(1)(A).

IV. Ordering Clauses

88. Accordingly, it is ordered that pursuant to sections 1, 2,
4(i), 4(o), 301, 303(r), 303(v), 307, 309, 335, 403, 624(g), 706, and
715 of the Communications Act of 1934, as amended, 47 U.S.C. 151, 152,
154(i), 154(o), 301, 303(r), 303(v), 307, 309, 335, 403, 544(g), 606,
and 615, this Fifth Report and Order is adopted.
89. It is further ordered that the rules adopted herein will become
effective thirty (30) days after the date of their publication in the
Federal Register, except for any reporting, recordkeeping or third-
party collection requirements that contain new or modified information
collections. Those rules will become effective on the date specified in
a Commission notice published in the Federal Register announcing their
approval under the Paperwork Reduction Act by the Office of Management
and Budget.
90. It is further ordered that the Commission's Consumer and
Governmental Affairs Bureau, Reference Information Center, shall send a
copy of this Fifth Report and Order, including the Regulatory
Flexibility Analysis, to the Chief Counsel for Advocacy of the Small
Business Administration.

List of Subjects in 47 CFR Part 11

Incorporation by reference, Radio, Television.

Federal Communications Commission.
Marlene H. Dortch,
Secretary.

For the reasons discussed in the preamble, the Federal
Communications Commission amends 47 CFR Part 11 as follows:

PART 11--EMERGENCY ALERT SYSTEM (EAS)

0
1. The authority citation for part 11 continues to read as follows:

Authority: 47 U.S.C. 151, 154(i) and (o), 303(r), 544(g) and
606.

0
2. Revise Sec. 11.2 to read as follows:

Sec. 11.2 Definitions.

The definitions of terms used in part 11 are:
(a) Emergency Action Notification (EAN). The Emergency Action
Notification is the notice to all EAS Participants and to the general
public that the EAS has been activated for a national emergency. EAN
messages that are formatted in the EAS Protocol (specified in Sec.
11.31) are sent from a government origination point to broadcast
stations and other entities participating in the PEP system, and are
subsequently disseminated via EAS Participants. Dissemination
arrangements for EAN messages that are formatted in the EAS Protocol
(specified in Sec. 11.31) at the State and local levels are specified
in the State and Local Area plans (defined at Sec. 11.21). A national
activation of the EAS for a Presidential message with the Event code
EAN as specified in Sec. 11.31 must take priority over any other
message and preempt it if it is in progress.
(b) Primary Entry Point (PEP) System. The PEP system is a
nationwide network of broadcast stations and other entities connected
with government activation points. It is used to distribute EAS
messages that are formatted in the EAS Protocol (specified in Sec.
11.31), including the EAN and EAS national

[[Page 16699]]

test messages. FEMA has designated some of the nation's largest radio
broadcast stations as PEPs. The PEPs are designated to receive the
Presidential alert from FEMA and distribute it to local stations.
(c) Local Primary One (LP-1). The LP-1 is a radio or TV station
that acts as a key EAS monitoring source. Each LP-1 station must
monitor its regional PEP station and a back-up source for Presidential
messages.
(d) EAS Participants. Entities required under the Commission's
rules to comply with EAS rules, e.g., analog radio and television
stations, and wired and wireless cable television systems, DBS, DTV,
SDARS, digital cable and DAB, and wireline video systems.
(e) Wireline Video System. The system of a wireline common carrier
used to provide video programming service.
(f) Participating National (PN). PN stations are broadcast stations
that transmit EAS National, state, or local EAS messages to the public.
(g) National Primary (NP). Stations that are the primary entry
point for Presidential messages delivered by FEMA. These stations are
responsible for broadcasting a Presidential alert to the public and to
State Primary stations within their broadcast range.
(h) State Primary (SP). Stations that are the entry point for State
messages, which can originate from the Governor or a designated
representative.
(i) Intermediary Device. An intermediary device is a stand-alone
device that carries out the functions of monitoring for, receiving and/
or acquiring, and decoding EAS messages formatted in the Common
Alerting Protocol (CAP) in accordance with Sec. 11.56, and converting
such messages into a format that can be inputted into a separate EAS
decoder, EAS encoder, or unit combining such decoder and encoder
functions, so that the EAS message outputted by such separate EAS
decoder, EAS encoder, or unit combining such decoder and encoder
functions, and all other functions attendant to processing such EAS
message, comply with the requirements in this part.

0
3. Amend Sec. 11.11 by revising paragraphs (a) and (d) to read as
follows:

Sec. 11.11 The Emergency Alert System (EAS).

(a) The EAS is composed of analog radio broadcast stations
including AM, FM, and Low-power FM (LPFM) stations; digital audio
broadcasting (DAB) stations, including digital AM, FM, and Low-power FM
stations; Class A television (CA) and Low-power TV (LPTV) stations;
digital television (DTV) broadcast stations, including digital CA and
digital LPTV stations; analog cable systems; digital cable systems
which are defined for purposes of this part only as the portion of a
cable system that delivers channels in digital format to subscribers at
the input of a Unidirectional Digital Cable Product or other navigation
device; wireline video systems; wireless cable systems which may
consist of Broadband Radio Service (BRS), or Educational Broadband
Service (EBS) stations; DBS services, as defined in Sec. 25.701(a) of
this chapter (including certain Ku-band Fixed-Satellite Service Direct
to Home providers); and SDARS, as defined in Sec. 25.201 of this
chapter. These entities are referred to collectively as EAS
Participants in this part, and are subject to this part, except as
otherwise provided herein. At a minimum EAS Participants must use a
common EAS protocol, as defined in Sec. 11.31, to send and receive
emergency alerts, and comply with the requirements set forth in Sec.
11.56, in accordance with the following tables:

Table 1--Analog and Digital Broadcast Station Equipment Deployment Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
Analog & Analog &
EAS equipment requirement AM & FM Digital AM & digital FM Analog & DTV digital class Analog &
FM class D digital LPFM A TV digital LPTV
--------------------------------------------------------------------------------------------------------------------------------------------------------
EAS decoder \1\......................... Y Y Y Y Y Y Y
EAS encoder............................. Y Y N N Y Y N
Audio message........................... Y Y Y Y Y Y Y
Video message........................... N/A N/A N/A N/A Y Y Y
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec. 11.56 to decode and convert CAP-formatted messages into EAS Protocol-compliant
messages by deploying an Intermediary Device, as specified in Sec. 11.56(b).

Analog Cable Systems

Analog cable systems are subject to the requirements in Table 2
below. Analog cable systems serving fewer than 5,000 subscribers from a
headend may either provide the National level EAS message on all
programmed channels including the required testing, or comply with the
requirements in Table 2.

Table 2--Analog Cable System Equipment Deployment Requirements
------------------------------------------------------------------------
>=5,000 <5,000
EAS equipment requirement subscribers subscribers
------------------------------------------------------------------------
EAS decoder \1\................. Y Y
EAS encoder..................... Y Y \2\
Audio and Video EAS Message on Y N
all channels...................
Video interrupt and audio alert N Y
message on all channels;\3\
Audio and Video EAS message on
at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
11.56 to decode and convert CAP-formatted messages into EAS Protocol-
compliant messages by deploying an Intermediary Device, as specified
in Sec. 11.56(b).
\2\ Analog cable systems serving <5,000 subscribers are permitted to
operate without an EAS encoder if they install an FCC-certified
decoder.
\3\ The Video interrupt must cause all channels that carry programming
to flash for the duration of the EAS emergency message. The audio
alert must give the channel where the EAS messages are carried and be
repeated for the duration of the EAS message. [Note: Programmed
channels do not include channels used for the transmission of data
such as interactive games.]

[[Page 16700]]

Wireless Cable Systems (BRS/EBS Stations)

Wireless cable systems are subject to the requirements in Table 3
below. Wireless cable systems serving fewer than 5,000 subscribers from
a single transmission site must either provide the National level EAS
message on all programmed channels including the required testing, or
comply with the requirements in Table 3.

Table 3--Wireless Cable System Equipment Deployment Requirements
------------------------------------------------------------------------
>=5,000 <5,000
EAS equipment requirement subscribers subscribers
------------------------------------------------------------------------
EAS decoder \1\................. Y Y
EAS encoder..................... Y Y \2\
Audio and Video EAS Message on Y N
all channels \3\...............
Video interrupt and audio alert N Y
message on all channels; \4\
Audio and Video EAS message on
at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
11.56 to decode and convert CAP-formatted messages into EAS Protocol-
compliant messages by deploying an Intermediary Device, as specified
in Sec. 11.56(b).
\2\ Wireless cable systems serving <5,000 subscribers are permitted to
operate without an EAS encoder if they install an FCC-certified
decoder.
\3\ All wireless cable systems may comply with this requirement by
providing a means to switch all programmed channels to a predesignated
channel that carries the required audio and video EAS messages.
\4\ The Video interrupt must cause all channels that carry programming
to flash for the duration of the EAS emergency message. The audio
alert must give the channel where the EAS messages are carried and be
repeated for the duration of the EAS message. [Note: Programmed
channels do not include channels used for the transmission of data
services such as Internet.]

Digital Cable Systems and Wireline Video Systems

Digital cable systems and Wireline Video Systems must comply with
the requirements in Table 4 below. Digital cable systems and Wireline
Video Systems serving fewer than 5,000 subscribers from a headend must
either provide the National level EAS message on all programmed
channels including the required testing, or comply with the
requirements in Table 4.

Table 4--Digital Cable System and Wireline Video System Equipment
Deployment Requirements
------------------------------------------------------------------------
>=5,000 <5,000
EAS equipment requirement subscribers subscribers
------------------------------------------------------------------------
EAS decoder \1\................. Y Y
EAS encoder..................... Y Y \2\
Audio and Video EAS Message on Y N
all channels \3\...............
Video interrupt and audio alert N Y
message on all channels; \4\
Audio and Video EAS message on
at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
11.56 to decode and convert CAP-formatted messages into EAS Protocol-
compliant messages by deploying an Intermediary Device, as specified
in Sec. 11.56(b).
\2\ Digital cable systems and wireline video systems serving <5,000
subscribers are permitted to operate without an EAS encoder if they
install an FCC-certified decoder.
\3\ All digital cable systems and wireline video systems may comply with
this requirement by providing a means to switch all programmed
channels to a predesignated channel that carries the required audio
and video EAS messages.
\4\ The Video interrupt must cause all channels that carry programming
to flash for the duration of the EAS emergency message. The audio
alert must give the channel where the EAS messages are carried and be
repeated for the duration of the EAS message. [Note: Programmed
channels do not include channels used for the transmission of data
services such as Internet access.]

SDARS and DBS
------------------------------------------------------------------------
EAS equipment requirement SDARS DBS
------------------------------------------------------------------------
EAS decoder \1\................. Y Y
EAS encoder..................... Y Y
Audio message on all channels Y Y
\2\............................
Video message on all channels N/A Y
\2\............................
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
11.56 to decode and convert CAP-formatted messages into EAS Protocol-
compliant messages by deploying an Intermediary Device, as specified
in Sec. 11.56(b).
\2\ All SDARS and DBS providers may comply with this requirement by
providing a means to switch all programmed channels to a predesignated
channel that carries the required audio and video EAS messages or by
any other method that ensures that viewers of all channels receive the
EAS message.

* * * * *
(d) Local franchise authorities may use any EAS codes authorized by
the FCC in any agreements.
* * * * *

Sec. 11.12 [Removed and Reserved]

0
4. Remove and reserve Sec. 11.12.

Sec. 11.13 [Removed and Reserved]

0
5. Remove and reserve Sec. 11.13.

Sec. 11.14 [Removed and Reserved]

0
6. Remove and reserve Sec. 11.14.

Sec. 11.18 [Amended]

0
7. Amend Sec. 11.18 by removing paragraph (f).

Sec. 11.19 [Removed]

0
8. Remove Sec. 11.19.

0
9. Amend Sec. 11.21 by revising paragraph (a) to read as follows:

[[Page 16701]]

Sec. 11.21 State and Local Area plans and FCC Mapbook.

* * * * *
(a) The State EAS Plan contains procedures for State emergency
management and other State officials, the NWS, and EAS Participants'
personnel to transmit emergency information to the public during a
State emergency using the EAS. State EAS Plans should include a data
table, in computer readable form, clearly showing monitoring
assignments and the specific primary and backup path for emergency
action notification (EAN) messages that are formatted in the EAS
Protocol (specified in Sec. 11.31), from the PEP to each station in
the plan. If a state's emergency alert system is capable of initiating
EAS messages formatted in the Common Alerting Protocol (CAP), its State
EAS Plan must include specific and detailed information describing how
such messages will be aggregated and distributed to EAS Participants
within the state, including the monitoring requirements associated with
distributing such messages.
* * * * *

0
10. Amend Sec. 11.31 by revising paragraphs (c), (e) and (f) to read
as follows:

Sec. 11.31 EAS protocol.

* * * * *
(c) The EAS protocol, including any codes, must not be amended,
extended or abridged without FCC authorization. The EAS protocol and
message format are specified in the following representation.
Examples are provided in FCC Public Notices.

[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTT-JJJHHMM-LLLLLLLL-(one second pause)
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTTpJJJHHMM-LLLLLLLL-(one second pause)
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTT-JJJHHMM-LLLLLLLL-(at least a one
second pause)
(transmission of 8 to 25 seconds of Attention Signal)
(transmission of audio, video or text messages)
(at least a one second pause)
[PREAMBLE]NNNN (one second pause)
[PREAMBLE]NNNN (one second pause)
[PREAMBLE]NNNN (at least one second pause)
[PREAMBLE] This is a consecutive string of bits (sixteen bytes of AB
hexadecimal [8 bit byte 10101011]) sent to clear the system, set AGC
and set asynchronous decoder clocking cycles. The preamble must be
transmitted before each header and End of Message code.
ZCZC--This is the identifier, sent as ASCII characters ZCZC to indicate
the start of ASCII code.
ORG--This is the Originator code and indicates who originally initiated
the activation of the EAS. These codes are specified in paragraph (d)
of this section.
EEE--This is the Event code and indicates the nature of the EAS
activation. The codes are specified in paragraph (e) of this section.
The Event codes must be compatible with the codes used by the NWS
Weather Radio Specific Area Message Encoder (WRSAME).
PSSCCC--This is the Location code and indicates the geographic area
affected by the EAS alert. There may be 31 Location codes in an EAS
alert. The Location code uses the codes described in the American
National Standards Institute (ANSI) standard, ANSI INCITS 31-2009
(``Information technology--Codes for the Identification of Counties and
Equivalent Areas of the United States, Puerto Rico, and the Insular
Areas''). Each state is assigned an SS number as specified in paragraph
(f) of this section. Each county and some cities are assigned a CCC
number. A CCC number of 000 refers to an entire State or Territory. P
defines county subdivisions as follows: 0 = all or an unspecified
portion of a county, 1 = Northwest, 2 = North, 3 = Northeast, 4 = West,
5 = Central, 6 = East, 7 = Southwest, 8 = South, 9 = Southeast. Other
numbers may be designated later for special applications. The use of
county subdivisions will probably be rare and generally for oddly
shaped or unusually large counties. Any subdivisions must be defined
and agreed to by the local officials prior to use.
+TTTT--This indicates the valid time period of a message in 15 minute
segments up to one hour and then in 30 minute segments beyond one hour;
i.e., +0015, +0030, +0045, +0100, +0430 and +0600.
JJJHHMM--This is the day in Julian Calendar days (JJJ) of the year and
the time in hours and minutes (HHMM) when the message was initially
released by the originator using 24 hour Universal Coordinated Time
(UTC).
LLLLLLLL--This is the identification of the EAS Participant, NWS
office, etc., transmitting or retransmitting the message. These codes
will be automatically affixed to all outgoing messages by the EAS
encoder.
NNNN--This is the End of Message (EOM) code sent as a string of four
ASCII N characters.
* * * * *
(e) The following Event (EEE) codes are presently authorized:

------------------------------------------------------------------------
Nature of activation Event codes
------------------------------------------------------------------------
National Codes (Required):
Emergency Action Notification (National EAN.
only).
National Information Center.............. NIC
National Periodic Test................... NPT.
Required Monthly Test.................... RMT.
Required Weekly Test..................... RWT.
State and Local Codes (Optional):
Administrative Message................... ADR.
Avalanche Warning........................ AVW \1\.
Avalanche Watch.......................... AVA \1\.
Blizzard Warning......................... BZW.
Child Abduction Emergency................ CAE \1\.
Civil Danger Warning..................... CDW \1\.
Civil Emergency Message.................. CEM.
Coastal Flood Warning.................... CFW \1\.
Coastal Flood Watch...................... CFA \1\.
Dust Storm Warning....................... DSW \1\.
Earthquake Warning....................... EQW \1\.
Evacuation Immediate..................... EVI.
Fire Warning............................. FRW \1\.
Flash Flood Warning...................... FFW.
Flash Flood Watch........................ FFA.
Flash Flood Statement.................... FFS.
Flood Warning............................ FLW.
Flood Watch.............................. FLA.
Flood Statement.......................... FLS.
Hazardous Materials Warning.............. HMW \1\.
High Wind Warning........................ HWW.
High Wind Watch.......................... HWA.
Hurricane Warning........................ HUW.
Hurricane Watch.......................... HUA.
Hurricane Statement...................... HLS.
Law Enforcement Warning.................. LEW \1\.
Local Area Emergency..................... LAE \1\.
Network Message Notification............. NMN \1\.
911 Telephone Outage Emergency........... TOE \1\.
Nuclear Power Plant Warning.............. NUW \1\.
Practice/Demo Warning.................... DMO.
Radiological Hazard Warning.............. RHW \1\.
Severe Thunderstorm Warning.............. SVR.
Severe Thunderstorm Watch................ SVA.
Severe Weather Statement................. SVS.
Shelter in Place Warning................. SPW \1\.
Special Marine Warning................... SMW \1\.
Special Weather Statement................ SPS.
Tornado Warning.......................... TOR.
Tornado Watch............................ TOA.
Tropical Storm Warning................... TRW \1\.
Tropical Storm Watch..................... TRA \1\.
Tsunami Warning.......................... TSW.
Tsunami Watch............................ TSA.
Volcano Warning.......................... VOW \1\.
Winter Storm Warning..................... WSW.

[[Page 16702]]

Winter Storm Watch....................... WSA.
------------------------------------------------------------------------
\1\ Effective May 16, 2002, analog radio and television broadcast
stations, analog cable systems and wireless cable systems may upgrade
their existing EAS equipment to add these event codes on a voluntary
basis until the equipment is replaced. All models of EAS equipment
manufactured after August 1, 2003 must be capable of receiving and
transmitting these event codes. EAS Participants that install or
replace their EAS equipment after February 1, 2004 must install
equipment that is capable of receiving and transmitting these event
codes.

(f) The State, Territory and Offshore (Marine Area) ANSI number
codes (SS) are as follows. County ANSI numbers (CCC) are contained in
the State EAS Mapbook.

------------------------------------------------------------------------
ANSI No.
------------------------------------------------------------------------
State:
AL.................................................. 01
AK.................................................. 02
AZ.................................................. 04
AR.................................................. 05
CA.................................................. 06
CO.................................................. 08
CT.................................................. 09
DE.................................................. 10
DC.................................................. 11
FL.................................................. 12
GA.................................................. 13
HI.................................................. 15
ID.................................................. 16
IL.................................................. 17
IN.................................................. 18
IA.................................................. 19
KS.................................................. 20
KY.................................................. 21
LA.................................................. 22
ME.................................................. 23
MD.................................................. 24
MA.................................................. 25
MI.................................................. 26
MN.................................................. 27
MS.................................................. 28
MO.................................................. 29
MT.................................................. 30
NE.................................................. 31
NV.................................................. 32
NH.................................................. 33
NJ.................................................. 34
NM.................................................. 35
NY.................................................. 36
NC.................................................. 37
ND.................................................. 38
OH.................................................. 39
OK.................................................. 40
OR.................................................. 41
PA.................................................. 42
RI.................................................. 44
SC.................................................. 45
SD.................................................. 46
TN.................................................. 47
TX.................................................. 48
UT.................................................. 49
VT.................................................. 50
VA.................................................. 51
WA.................................................. 53
WV.................................................. 54
WI.................................................. 55
WY.................................................. 56
Terr.:
AS.................................................. 60
FM.................................................. 64
GU.................................................. 66
MH.................................................. 68
MH.................................................. 68

[[Page 16703]]

PR.................................................. 72
PW.................................................. 70
UM.................................................. 74
VI.................................................. 78
Offshore (Marine Areas)\1\:
Eastern North Pacific Ocean, and along U.S. West 57
Coast from Canadian border to Mexican border.......
North Pacific Ocean near Alaska, and along Alaska 58
coastline, including the Bering Sea and the Gulf of
Alaska.............................................
Central Pacific Ocean, including Hawaiian waters.... 59
South Central Pacific Ocean, including American 61
Samoa waters.......................................
Western Pacific Ocean, including Mariana Island 65
waters.............................................
Western North Atlantic Ocean, and along U.S. East 73
Coast, from Canadian border south to Currituck
Beach Light, N.C...................................
Western North Atlantic Ocean, and along U.S. East 75
Coast, south of Currituck Beach Light, N.C.,
following the coastline into Gulf of Mexico to
Bonita Beach, FL., including the Caribbean.........
Gulf of Mexico, and along the U.S. Gulf Coast from 77
the Mexican border to Bonita Beach, FL.............
Lake Superior....................................... 91
Lake Michigan....................................... 92
Lake Huron.......................................... 93
Lake St. Clair...................................... 94
Lake Erie........................................... 96
Lake Ontario........................................ 97
St. Lawrence River above St. Regis.................. 98
------------------------------------------------------------------------
\1\ Effective May 16, 2002, analog radio and television broadcast
stations, analog cable systems and wireless cable systems may upgrade
their existing EAS equipment to add these marine area location codes
on a voluntary basis until the equipment is replaced. All models of
EAS equipment manufactured after August 1, 2003, must be capable of
receiving and transmitting these marine area location codes. EAS
Participants that install or replace their EAS equipment after
February 1, 2004, must install equipment that is capable of receiving
and transmitting these location codes.

0
11. Amend Sec. 11.32 by revising paragraphs (a)(2), (a)(3) and
(a)(9)(iv) to read as follows:

Sec. 11.32 EAS Encoder.

(a) * * *
(2) Inputs. The encoder shall have at least one input port used for
audio messages and at least one input port used for data messages. (3)
Outputs. The encoder shall have at least one audio output port and at
least one data output port.
* * * * *
(9) * * *
(iv) Time Period for Transmission of Tones. The encoder shall have
timing circuitry that automatically generates the two tones
simultaneously for a time period of 8 seconds.
* * * * *

0
12. Amend Sec. 11.33 by:
0
a. Revising paragraphs (a) introductory text, (a)(1), (a)(4), (a)(7),
and (a)(11); and
0
b. Removing paragraph (b) and re-designating paragraph (c) as paragraph
(b).
The revisions read as follows:

Sec. 11.33 EAS Decoder.

(a) An EAS Decoder must at a minimum be capable of providing the
EAS monitoring functions described in Sec. 11.52, decoding EAS
messages formatted in accordance with the EAS Protocol described in
Sec. 11.31, and converting Common Alerting Protocol (CAP)-formatted
EAS messages into EAS alert messages that comply with the EAS Protocol,
in accordance with Sec. 11.56(a)(2), with the exception that the CAP-
related monitoring and conversion requirements set forth in Sec. Sec.
11.52(d)(2) and 11.56(a)(2) can be satisfied via an Intermediary
Device, as specified in Sec. 11.56(b), provided that all other
requirements set forth in this part are met. An EAS Decoder also must
be capable of the following minimum specifications:
(1) Inputs. Decoders must have the capability to receive at least
two audio inputs from EAS monitoring assignments, and at least one data
input. The data input(s) may be used to monitor other communications
modes such as Radio Broadcast Data System (RBDS), NWR, satellite,
public switched telephone network, or any other source that uses the
EAS protocol.
* * * * *
(4) Display and logging. For received alert messages formatted in
both the EAS Protocol and Common Alerting Protocol, a visual message
shall be developed from any valid header codes for tests and national
activations and any preselected header codes received. The message
shall at a minimum include the Originator, Event, Location, the valid
time period of the message and the local time the message was
transmitted. The message shall be in the primary language of the EAS
Participant and be fully displayed on the decoder and readable in
normal light and darkness. The visual message developed from received
alert messages formatted in the Common Alerting Protocol must conform
to the requirements in Sec. Sec. 11.51(d), (g)(3), (h)(3), and (j)(2)
of this part. All existing and new models of EAS decoders manufactured
after August 1, 2003 must provide a means to permit the selective
display and logging of EAS messages containing header codes for state
and local EAS events. Effective May 16, 2002, analog radio and
television broadcast stations, analog cable systems and wireless cable
systems may upgrade their decoders on an optional basis to include a
selective display and logging capability for EAS messages containing
header codes for state and local events. EAS Participants that install
or replace their decoders after February 1, 2004 must install decoders
that provide a means to permit the selective display and logging of EAS
messages containing header codes for state and local EAS events.
* * * * *
(7) Outputs. Decoders shall have at least one data port where
received valid EAS header codes and received preselected header codes
are available, at least one audio port that is capable of monitoring
each decoder audio input, and an internal speaker to enable personnel
to hear audio from each input.
* * * * *
(11) A header code with the EAN Event code specified in Sec.
11.31(c) that is received through any of the audio or data inputs must
override all other messages.
* * * * *

0
13. Amend Sec. 11.34 by revising paragraph (d) to read as follows:

[[Page 16704]]

Sec. 11.34 Acceptability of the equipment.

* * * * *
(d) Manufacturers must include instructions and information on how
to install, operate and program an EAS Encoder, EAS Decoder, or
combined unit and a list of all State and county ANSI numbers with each
unit sold or marketed in the U.S.
* * * * *

0
14. Amend Sec. 11.35 by revising paragraphs (a) and (b) to read as
follows:

Sec. 11.35 Participation in EAS.

(a) EAS Participants are responsible for ensuring that EAS
Encoders, EAS Decoders, Attention Signal generating and receiving
equipment, and Intermediate Devices used as part of the EAS to decode
and/or encode messages formatted in the EAS Protocol and/or the Common
Alerting Protocol are installed so that the monitoring and transmitting
functions are available during the times the stations and systems are
in operation. Additionally, EAS Participants must determine the cause
of any failure to receive the required tests or activations specified
in Sec. 11.61(a)(1) and (2). Appropriate entries indicating reasons
why any tests were not received must be made in the broadcast station
log as specified in Sec. Sec. 73.1820 and 73.1840 of this chapter for
all broadcast streams and cable system records as specified in
Sec. Sec. 76.1700, 76.1708, and 76.1711 of this chapter. All other EAS
Participants must also keep records indicating reasons why any tests
were not received and these records must be retained for two years,
maintained at the EAS Participant's headquarters, and made available
for public inspection upon reasonable request.
(b) If an EAS Encoder, EAS Decoder or Intermediary Device used as
part of the EAS to decode and/or encode messages formatted in the EAS
Protocol and/or the Common Alerting Protocol becomes defective, the EAS
Participant may operate without the defective equipment pending its
repair or replacement for 60 days without further FCC authority.
Entries shall be made in the broadcast station log, cable system
records, and records of other EAS Participants, as specified in
paragraph (a) of this section, showing the date and time the equipment
was removed and restored to service. For personnel training purposes,
the required monthly test script must still be transmitted even though
the equipment for generating the EAS message codes, Attention Signal
and EOM code is not functioning.
* * * * *

0
15. Revise Sec. 11.41 to read as follows:

Sec. 11.41 Participation in EAS.

All EAS Participants specified in Sec. 11.11 are categorized as
Participating National (PN) sources, and must have immediate access to
an EAS Operating Handbook.

Sec. 11.42 [Removed and Reserved]

0
16. Remove and reserve Sec. 11.42.

Sec. 11.44 [Removed and Reserved]

0
17. Remove and reserve Sec. 11.44.

0
18. Amend Sec. 11.51 by revising paragraphs (a), (c), (d), (g)(3),
(h)(3), (i) introductory text, (j) introductory text, (j)(2), paragraph
(m) introductory text, and adding paragraph (p) to read as follows:

Sec. 11.51 EAS code and Attention Signal Transmission requirements.

(a) Analog and digital broadcast stations must transmit, either
automatically or manually, national level EAS messages and required
tests by sending the EAS header codes, Attention Signal, emergency
message and End of Message (EOM) codes using the EAS Protocol. The
Attention Signal must precede any emergency audio message.
* * * * *
(c) All analog and digital radio and television stations shall
transmit EAS messages in the main audio channel. All DAB stations shall
also transmit EAS messages on all audio streams. All DTV broadcast
stations shall also transmit EAS messages on all program streams.
(d) Analog and digital television broadcast stations shall transmit
a visual message containing the Originator, Event, Location and the
valid time period of an EAS message. Effective June 30, 2012, visual
messages derived from CAP-formatted EAS messages shall contain the
Originator, Event, Location and the valid time period of the message
and shall be constructed in accordance with Sec. 3.6 of the ``ECIG
Recommendations for a CAP EAS Implementation Guide, Version 1.0'' (May
17, 2010), except that if the EAS Participant has deployed an
Intermediary Device to meet its CAP-related obligations, this
requirement shall be effective June 30, 2015, and until such date shall
be subject to the general requirement to transmit a visual message
containing the Originator, Event, Location and the valid time period of
the EAS message. If the message is a video crawl, it shall be displayed
at the top of the television screen or where it will not interfere with
other visual messages.
* * * * *
(g) * * *
(3) Shall transmit a visual EAS message on at least one channel.
The visual message shall contain the Originator, Event, Location, and
the valid time period of the EAS message. Effective June 30, 2012,
visual messages derived from CAP-formatted EAS messages shall contain
the Originator, Event, Location and the valid time period of the
message and shall be constructed in accordance with Sec. 3.6 of the
``ECIG Recommendations for a CAP EAS Implementation Guide, Version
1.0'' (May 17, 2010), except that if the EAS Participant has deployed
an Intermediary Device to meet its CAP-related obligations, this
requirement shall be effective June 30, 2015, and until such date shall
be subject to the general requirement to transmit a visual message
containing the Originator, Event, Location and the valid time period of
the EAS message. If the visual message is a video crawl, it shall be
displayed at the top of the subscriber's television screen or where it
will not interfere with other visual messages.
* * * * *
(h) * * *
(3) Shall transmit the EAS visual message on all downstream
channels. The visual message shall contain the Originator, Event,
Location, and the valid time period of the EAS message. Effective June
30, 2012, visual messages derived from CAP-formatted EAS messages shall
contain the Originator, Event, Location and the valid time period of
the message and shall be constructed in accordance with Sec. 3.6 of
the ``ECIG Recommendations for a CAP EAS Implementation Guide, Version
1.0'' (May 17, 2010), except that if the EAS Participant has deployed
an Intermediary Device to meet its CAP-related obligations, this
requirement shall be effective June 30, 2015, and until such date shall
be subject to the general requirement to transmit a visual message
containing the Originator, Event, Location and the valid time period of
the EAS message. If the visual message is a video crawl, it shall be
displayed at the top of the subscriber's television screen or where it
will not interfere with other visual messages.
* * * * *
(i) SDARS licensees shall transmit national audio EAS messages on
all channels in the same order specified in paragraph (a) of this
section.
* * * * *
(j) DBS providers shall transmit national audio and visual EAS
messages on all channels in the same order specified in paragraph (a)
of this section.
* * * * *

[[Page 16705]]

(2) The visual message shall contain the Originator, Event,
Location, and the valid time period of the EAS message. Effective June
30, 2012, visual messages derived from CAP-formatted EAS messages shall
contain the Originator, Event, Location and the valid time period of
the message and shall be constructed in accordance with Sec. 3.6 of
the ``ECIG Recommendations for a CAP EAS Implementation Guide, Version
1.0'' (May 17, 2010), except that if the EAS Participant has deployed
an Intermediary Device to meet its CAP-related obligations, this
requirement shall be effective June 30, 2015, and until such date shall
be subject to the general requirement to transmit a visual message
containing the Originator, Event, Location and the valid time period of
the EAS message. If the visual message is a video crawl, it shall be
displayed at the top of the subscriber's television screen or where it
will not interfere with other visual messages.
* * * * *
(m) EAS Participants are required to transmit all received EAS
messages in which the header code contains the Event codes for
Emergency Action Notification (EAN) and Required Monthly Test (RMT),
and when the accompanying location codes include their State or State/
county. These EAS messages shall be retransmitted unchanged except for
the LLLLLLLL-code which identifies the EAS Participant retransmitting
the message. See Sec. 11.31(c). If an EAS source originates an EAS
message with the Event codes in this paragraph, it must include the
location codes for the State and counties in its service area. When
transmitting the required weekly test, EAS Participants shall use the
event code RWT. The location codes are the state and county for the
broadcast station city of license or system community or city. Other
location codes may be included upon approval of station or system
management. EAS messages may be transmitted automatically or manually.
* * * * *
(p) The standard required in this section is incorporated by
reference into this section with the approval of the Director of the
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce
any edition other than that specified in this section, the Federal
Communications Commission must publish notice of change in the Federal
Register and the material must be available to the public. All approved
material is available for inspection at the Federal Communications
Commission, 445 12th Street, SW., Washington, DC (Reference Information
Center) and is available from the source indicated below. It is also
available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(1) The following standard is available from the EAS-CAP Industry
Group (ECIG), 21010 Southbank Street, 365, Sterling, VA,
20165, go to http://www.eas-cap.org.
(i) ``ECIG Recommendations for a CAP EAS Implementation Guide,
Version 1.0'' (May 17, 2010).
(ii) [Reserved].

0
19. Amend Sec. 11.52 by revising paragraphs (a) introductory text,
(d), (e) introductory text and (e)(2) to read as follows:

Sec. 11.52 EAS code and Attention Signal Monitoring requirements.

(a) EAS Participants must be capable of receiving the Attention
Signal required by Sec. 11.31(a)(2) and emergency messages of other
broadcast stations during their hours of operation. EAS Participants
must install and operate during their hours of operation, equipment
that is capable of receiving and decoding, either automatically or
manually, the EAS header codes, emergency messages and EOM code, and
which complies with the requirements in Sec. 11.56.
* * * * *
(d) EAS Participants must comply with the following monitoring
requirements:
(1) With respect to monitoring for EAS messages that are formatted
in accordance with the EAS Protocol, EAS Participants must monitor two
EAS sources. The monitoring assignments of each broadcast station and
cable system and wireless cable system are specified in the State EAS
Plan and FCC Mapbook. They are developed in accordance with FCC
monitoring priorities.
(2) With respect to monitoring EAS messages formatted in accordance
with the specifications set forth in Sec. 11.56(a)(2), EAS
Participants' EAS equipment must interface with the Federal Emergency
Management Agency's Integrated Public Alert and Warning System (IPAWS)
to enable (whether through ``pull'' interface technologies, such as
Really Simple Syndication (RSS) and Atom Syndication Format (ATOM), or
``push'' interface technologies, such as instant messaging and email)
the distribution of Common Alert Protocol (CAP)-formatted alert
messages from the IPAWS system to EAS Participants' EAS equipment.
(3) Monitoring specifications associated with the distribution of
CAP-formatted alert messages by state alert message systems are
described in the State EAS Plan, as set forth in Sec. 11.21(a).
(4) If the required EAS message sources cannot be received,
alternate arrangements or a waiver may be obtained by written request
to the Chief, Public Safety and Homeland Security Bureau. In an
emergency, a waiver may be issued over the telephone with a follow up
letter to confirm temporary or permanent reassignment.
(5) The management of EAS Participants shall determine which header
codes will automatically interrupt their programming for State and
Local Area emergency situations affecting their audiences.
(e) EAS Participants are required to interrupt normal programming
either automatically or manually when they receive an EAS message in
which the header code contains the Event codes for Emergency Action
Notification (EAN) or the Required Monthly Test (RMT) for their State
or State/county location.
* * * * *
(2) Manual interrupt of programming and transmission of EAS
messages may be used. EAS messages with the EAN Event code must be
transmitted immediately and Monthly EAS test messages within 60
minutes. All actions must be logged and recorded as specified in
Sec. Sec. 11.35(a) and 11.54(a)(3). Decoders must be programmed for
the EAN Event header code and the RMT and RWT Event header codes (for
required monthly and weekly tests), with the appropriate accompanying
State and State/county location codes.

Sec. 11.53 [Removed and Reserved]

0
20. Remove and reserve Sec. 11.53.

0
21. Revise Sec. 11.54 to read as follows:

Sec. 11.54 EAS operation during a National Level emergency.

(a) Immediately upon receipt of an EAN message, EAS Participants
must comply with the following requirements, as applicable:
(1) Analog and digital broadcast stations may transmit their call
letters and analog cable systems, digital cable systems and wireless
cable systems may transmit the names of the communities they serve
during an EAS activation. State and Local Area identifications must be
given as provided in State and Local Area EAS Plans.
(2) Analog and digital broadcast stations are exempt from complying

[[Page 16706]]

with Sec. Sec. 73.62 and 73.1560 of this chapter (operating power
maintenance) while operating under this part.
(3) The time of receipt of the EAN shall be entered by analog and
digital broadcast stations in their logs (as specified in Sec. Sec.
73.1820 and 73.1840 of this chapter), by analog and digital cable
systems in their records (as specified in Sec. 76.1711 of this
chapter), by subject wireless cable systems in their records (as
specified in Sec. 21.304 of this chapter), and by all other EAS
Participants in their records as specified in Sec. 11.35(a).
(b) EAS Participants originating emergency communications under
this section shall be considered to have conferred rebroadcast
authority, as required by section 325(a) of the Communications Act of
1934, 47 U.S.C. 325(a), to other EAS Participants.
(c) During a national level EAS emergency, EAS Participants may
transmit in lieu of the EAS audio feed an audio feed of the President's
voice message from an alternative source, such as a broadcast network
audio feed.

0
22. Amend Sec. 11.55 by revising paragraph (a) introductory text,
paragraph (c) introductory text, and paragraphs (c)(3), (4), (7), and
(8) and add paragraph (d) to read as follows:

Sec. 11.55 EAS operation during a State or Local Area emergency.

(a) The EAS may be activated at the State and Local Area levels by
EAS Participants at their discretion for day-to-day emergency
situations posing a threat to life and property. Examples of natural
emergencies which may warrant state EAS activation are: Tornadoes,
floods, hurricanes, earthquakes, heavy snows, icing conditions,
widespread fires, etc. Man-made emergencies warranting state EAS
activation may include: Toxic gas leaks or liquid spills, widespread
power failures, industrial explosions, and civil disorders.
* * * * *
(c) Immediately upon receipt of a State or Local Area EAS message
that has been formatted in the EAS Protocol, EAS Participants
participating in the State or Local Area EAS must do the following:
* * * * *
(3) Participating National (PN) sources monitor the Local Area LP
sources for instructions.
(4) EAS Participants participating in the State or Local Area EAS
must discontinue normal programming and follow the procedures in the
State and Local Area Plans. Analog and digital television broadcast
stations must transmit all EAS announcements visually and aurally as
specified in Sec. 11.51(a) through (e) and 73.1250(h) of this chapter,
as applicable; analog cable systems, digital cable systems, and
wireless cable systems must transmit all EAS announcements visually and
aurally as specified in Sec. 11.51(g) and (h); and DBS providers must
transmit all EAS announcements visually and aurally as specified in
Sec. 11.51(j). EAS Participants providing foreign language programming
should transmit all EAS announcements in the same language as the
primary language of the EAS Participant.
* * * * *
(7) The times of the above EAS actions must be entered in the EAS
Participants' records as specified in Sec. Sec. 11.35(a) and
11.54(a)(3).
(8) Use of the EAS codes or Attention Signal automatically grants
rebroadcast authority as specified in Sec. 11.54(b).
(d) Immediately upon receipt of a State or Local Area EAS message
that has been formatted in the Common Alerting Protocol, EAS
Participants must do the following:
(1) EAS Participants participating in the State or Local Area EAS
must follow the procedures for processing such messages in the State
and Local Area Plans.
(2) Analog and digital television broadcast stations must transmit
all EAS announcements visually and aurally as specified in Sec.
11.51(a) through (e) and 73.1250(h) of this chapter, as applicable;
analog cable systems, digital cable systems, and wireless cable systems
must transmit all EAS announcements visually and aurally as specified
in Sec. 11.51(g) and (h); and DBS providers must transmit all EAS
announcements visually and aurally as specified in Sec. 11.51(j). EAS
Participants providing foreign language programming should transmit all
EAS announcements in the same language as the primary language of the
EAS Participant.
(3) Resume normal operations upon conclusion of the message.
(4) The times of the above EAS actions must be entered in the EAS
Participants' records as specified in Sec. Sec. 11.35(a) and
11.54(a)(3).

0
23. Revise Sec. 11.56 to read as follows:

Sec. 11.56 Obligation to Process CAP-Formatted EAS Messages.

(a) On or by June 30, 2012, EAS Participants must have deployed
operational equipment that is capable of the following:
(1) Acquiring EAS alert messages in accordance with the monitoring
requirements in Sec. 11.52(d)(2);
(2) Converting EAS alert messages that have been formatted pursuant
to the (i) ``Common Alerting Protocol Version 1.2'' (July 1, 2010), and
(ii) ``Common Alerting Protocol, v. 1.2 USA Integrated Public Alert and
Warning System Profile Version 1.0'' (Oct. 13, 2009), into EAS alert
messages that comply with the EAS Protocol, such that the Preamble and
EAS Header Codes, audio Attention Signal, audio message, and Preamble
and EAS End of Message (EOM) Codes of such messages are rendered
equivalent to the EAS Protocol (set forth in Sec. 11.31), in
accordance with the technical specifications governing such conversion
process set forth in the ``ECIG Recommendations for a CAP EAS
Implementation Guide, Version 1.0'' (May 17, 2010) (except that any and
all specifications set forth therein related to using text-to-speech
technology and gubernatorial ``must carry'' shall not be followed); and
(3) Processing such converted messages in accordance with the other
sections of this part.
(b) EAS Participants may comply with the requirements of this
section by deploying an Intermediary Device. If an EAS Participant
elects to meet the requirements of this section by deploying an
Intermediary Device, it shall be required to construct visual messages
from CAP-formatted EAS messages in accordance with Sec. 3.6 of the
``ECIG Recommendations for a CAP EAS Implementation Guide, Version
1.0'' (May 17, 2010), as set forth in Sec. Sec. 11.51(d), (g)(3),
(h)(3), and (j)(2) of this part, on or by June 30, 2015.
(c) The standards required in this section are incorporated by
reference into this section with the approval of the Director of the
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce
any edition other than that specified in this section, the Federal
Communications Commission must publish notice of change in the Federal
Register and the material must be available to the public. All approved
material is available for inspection at the Federal Communications
Commission, 445 12th Street SW., Washington, DC (Reference Information
Center) and is available from the sources indicated below. It is also
available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(1) The following standard is available from the EAS-CAP Industry
Group (ECIG), 21010 Southbank Street, 365, Sterling, VA 20165,
or go to http://www.eas-cap.org.

[[Page 16707]]

(i) ``ECIG Recommendations for a CAP EAS Implementation Guide,
Version 1.0'' (May 17, 2010).
(ii) [Reserved].
(2) The following standards are available from Organization for the
Advancement of Structured Information Standards (OASIS), 25 Corporate
Drive, Suite 103, Burlington, MA 01803-4238, call 781-425-5073, or go
to http://www.oasis-open.org.
(i) ``Common Alerting Protocol Version 1.2'' (July 1, 2010).
(ii) ``Common Alerting Protocol, v. 1.2 USA Integrated Public Alert
and Warning System Profile Version 1.0'' (Oct. 13, 2009).

0
24. Amend Sec. 11.61 by revising paragraphs (a) introductory text,
(a)(1)(i), (a)(2)(ii) and (b) to read as follows:

Sec. 11.61 Tests of EAS procedures.

(a) EAS Participants shall conduct tests at regular intervals, as
specified in paragraphs (a)(1) and (a)(2) of this section. Additional
tests may be performed anytime. EAS activations and special tests may
be performed in lieu of required tests as specified in paragraph (a)(4)
of this section.
(1) * * *
(i) Tests in odd numbered months shall occur between 8:30 a.m. and
local sunset. Tests in even numbered months shall occur between local
sunset and 8:30 a.m. They will originate from Local or State Primary
sources. The time and script content will be developed by State
Emergency Communications Committees in cooperation with affected EAS
Participants. Script content may be in the primary language of the EAS
Participant. These monthly tests must be transmitted within 60 minutes
of receipt by EAS Participants in an EAS Local Area or State. Analog
and digital class D non-commercial educational FM, analog and digital
LPFM stations, and analog and digital LPTV stations are required to
transmit only the test script.
* * * * *
(2) * * *
(ii) DBS providers, analog and digital class D non-commercial
educational FM stations, analog and digital LPFM stations, and analog
and digital LPTV stations are not required to transmit this test but
must log receipt, as specified in Sec. 11.35(a) and 11.54(a)(3).
* * * * *
(b) Entries shall be made in EAS Participant records, as specified
in Sec. 11.35(a) and 11.54(a)(3).

The following appendix will not be published in the Code of
Federal Regulations.

Appendix A

Final Regulatory Flexibility Analysis

1. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), an Initial Regulatory Flexibility Analysis (IRFA) was
incorporated into the Third Further Notice of Proposed Rulemaking
(Third FNPRM) in this proceeding. The Commission sought written
comment on the proposals in the Third FNPRM, including comment on
the IRFA. This Final Regulatory Flexibility Analysis (FRFA) conforms
to the RFA.

A. Need for, and Objectives of, the Fifth Report and Order

2. This Fifth Report and Order adopts changes to the
Commission's Part 11 rules governing the Emergency Alert System
(EAS) to codify the obligation to process alert messages formatted
in the Common Alerting Protocol (CAP) and to streamline and clarify
these rules generally to enhance their effectiveness.
3. Specifically, the Fifth Report and Order:
Clarifies that the scope of the CAP-related obligations
addressed in this order are limited to those necessary to ensure
that CAP-formatted alert messages distributed to EAS Participants
will be converted into and processed in the same way as messages
formatted in the current EAS Protocol.
Amends Sec. 11.56 of the Commission's rules to require
EAS Participants to convert CAP-formatted EAS messages into messages
that comply with the EAS Protocol requirements, following the
procedures for such conversion set forth in the EAS-CAP Industry
Group's (ECIG) ECIG Implementation Guide.
Amends Sec. 11.52 of the Commission's rules to require
that EAS Participants monitor FEMA's Integrated Public Alert and
Warning System (IPAWS) for Federal CAP-formatted alert messages
using whatever interface technology is appropriate.
Clarifies that the language from the Second Report and
Order (Second Report and Order) in this docket regarding receipt of
CAP-formatted messages from Next Generation EAS delivery systems was
intended to put EAS Participants on notice that, should FEMA adopt
technical standards covering delivery of CAP-formatted messages to
EAS Participants over specific platforms, such as satellite systems,
EAS Participants would ultimately need to configure their systems to
be able to interface with such systems to meet their existing
obligation to process CAP-formatted messages.
Permits EAS Participants to use intermediary devices to
meet their CAP-related obligations, provided that all intermediary
devices must provide that capability of utilizing the enhanced text
in a CAP message to meet the visual display requirements in section
11.51(d), (g)(3), (h)(3), and (j)(2) of the Commission's rules, as
set forth in section 3.6 of the ECIG Implementation Guide, by June
30, 2015.
Declines to make any changes to the minimum encoder
requirements set forth in section 11.32(a) regarding CAP-to-EAS
Protocol conversion.
Revises the input and output configuration requirements
in Sec. Sec. 11.32(a)(2) and (a)(3) of the Commission's rules to
require at least one audio port and at least one data port, and to
delete references to RS232-C and 1200 baud rate.
Revises the minimum requirements for decoders in
section 11.33(a) to include the capability to decode CAP-formatted
messages and convert them into EAS Protocol-compliant messages, as
set forth in section 11.56 and clarifies that this requirement can
be met through the deployment of an intermediary device.
Revises the input and output configuration requirements
in Sec. Sec. 11.33(a)(1) and (a)(7) of the Commission's rules to
require at least one audio port and at least one data port, and to
delete references to RS232-C and 1200 baud rate.
Amends section 11.33(a)(4) of the Commission's rules to
include selective display and logging of text that was compiled from
CAP-formatted messages be added to the EAS device log.
Declines to revise Sec. 11.33(a)(10) of the
Commission's rules to require processing of CAP-formatted message by
default when duplicate messages are received in both the EAS
Protocol and CAP formats, as recommended in the Communications
Security, Reliability, and Interoperability Council (CSRIC) Final
Report (CSRIC Final Report).
Revises section 11.33(a)(11) of the Commission's rules
to ensure that Emergency Action Notification (EAN) messages receive
priority over all other EAS messages, regardless of whether the EAN
message was received via the audio port or data port, or was
formatted in EAS Protocol or CAP.
Declines to revise section 11.1 of the Commission's
rules to include new CAP-related alert originators, as recommended
in the CSRIC Final Report.
Revises the text of Sec. 11.11(a) of the Commission's
rules to include as a minimum requirement compliance with the CAP-
related requirements in Sec. 11.56 of the Commission's rules, and
to delete the reference to ``analog television broadcast stations.''
Revises the equipment deployment tables in Sec. 11.11
of the Commission's rules by adding a footnote to the ``EAS
decoder'' entries in the tables to clarify that the obligation to
receive and translate CAP-formatted messages may be met by deploying
an intermediary device, and by deleting the date references in the
equipment deployment tables in section 11.11 (as well as cross-
references to these dates in other sections of Part 11, such as
section 11.51(c) and (d)), along with the entry for two-tone
encoders. Declines to incorporate references to the monitoring
requirements in section 11.52 in section 11.11.
Declines to revise the language of Sec. 11.20 of the
Commission's rules to require a specific reference to CAP alerts,
CAP relay networks, or CAP monitoring requirements.
Revises Sec. 11.21(a) of the Commission's rules to
make clear that the State EAS Plans specify the monitoring
assignments and the specific primary and backup path for EAS
Protocol-formatted EANs and that the monitoring requirements for
CAP-formatted EANs are set forth in section 11.52, and to

[[Page 16708]]

make clear that to the extent a state may distribute CAP-formatted
EANs to EAS Participants via its state alerting system, its State
EAS Plan must include specific and detailed information describing
how such messages will be aggregated and delivered, just as it must
for state CAP-formatted non-EAN messages.
Defers taking any action with respect to revising Sec.
11.21(c) of the Commission's rules until, at a minimum, review of
the test data received from EAS Participants as a result of the
November 9, 2011, nationwide EAS test has been completed.
Declines to revise the language in Sec. 11.31(a) of
the Commission's rules to better reflect CAP's capabilities.
Amends sections 11.35(a) and (b) of the Commission's
rules to clarify that these subsections apply to all equipment used
as part of the EAS, including all equipment that performs the
functions of decoding and encoding messages formatted in the EAS
Protocol and the Common Alerting Protocol.
Declines to revise Sec. 11.45 of the Commission's
rules to prohibit CAP messages lacking ``Actual'' status indicators,
as recommended in the CSRIC Final Report.
Declines to revise Sec. 11.51 of the Commission's
rules to require EAS Participants to transmit (or ``render'') a CAP-
compliant message, as recommended in the CSRIC Final Report.
Amends sections 11.51(d), (g)(3), (h)(3), and (j)(2) of
the Commission's rules to require EAS Participants to derive the
visual display elements, including the originator, event, location
and the valid time period of the EAS message, from the CAP text data
as described in section 3.6 of the ECIG Implementation Guide
(intermediary devices must provide for such functionality by June
30, 2015).
Declines to revise section 11.54(b) of the Commission's
rules to mandate that CAP-formatted messages be broadcast only if
the scope of the alert is ``Public,'' and to include IPAWS
monitoring, as recommended in the CSRIC Final Report.
Clarifies that it would be inappropriate to adopt any
form of blanket exemption from the basic obligations of monitoring
for, receiving, and processing CAP-formatted messages, but concludes
that the physical unavailability of broadband Internet service
offers a presumption in favor of a waiver.
Incorporates conformance with the ECIG Implementation
Guide into the Commission's existing certification scheme.
Amends section 11.55 of the Commission's rules to
eliminate the requirement that EAS Participants receive and transmit
CAP-formatted messages initiated by state governors.
Amends the procedures for processing EANs set forth in
Sec. 11.54 of the Commission's rules and related Part 11 rule
sections so that EAS Participants process EANs like any other EAS
message, only on a mandatory and priority basis. To effect these
changes, deletes Sec. Sec. 11.16, 11.42, 11.44, 11.53, 11.54(a),
(b)(1)-(8), (b)(10), (b)(12) and (c) of the Commission's rules, as
well as the Emergency Action Termination (EAT) event code.
Eliminates Non-Participating National (NN) deleting
references to status, and in this regard, revise sections 11.18,
11.41, 11.54, and 11.55 of the Commission's rules to remove
references to NN status, and deletes section 11.19 altogether.
Seeks comment on whether the option for EAS
Participants to manually process EANs (but not state or local EAS
messages) should be eliminated.
Defers taking any action with respect to the EAS
Operating Handbook until, at a minimum, review of the test data
received from EAS Participants as a result of the November 9, 2011,
nationwide EAS test has been completed.
Revises section 11.11(a) of the Commission's rules to
remove the references therein to ``participating broadcast networks,
cable networks and program suppliers; and other entities and
industries operating on an organized basis during emergencies at the
National, State and local levels.''
Revises the definition for LP-1 station in Sec.
11.2(b) of the Commission's rules to reflect that these stations can
be a radio or TV station.
Deletes Sec. 11.14 of the Commission's rules.
Revises section 11.2(a) to delete the numerical
reference to the actual number of Primary Entry Point (PEP) stations
in existence, and to clarify that PEP stations distribute EAS
messages in accordance with the EAS Protocol requirements in section
11.31.
Deletes section 11.13 of the Commission's rules and
folds the definition for the EAN currently in section 11.13 into
section 11.2.
Revises Sec. Sec. 11.31 and 11.34(d) of the
Commission's rules to replace the references to the Federal
Information Processing Standard (FIPS) numbers with references to
the American National Standards Institute (ANSI) Codes INCITS
31.200x (Formerly FIPS 6-4), Codes for the Identification of
Counties and Equivalent Entities of the United States, its
Possessions, and Insular Areas standard.
Revises the analog and digital broadcast station
equipment deployment table in Sec. 11.11(a) of the Commission's
rules so that ``LPFM'' and ``LPTV'' are identified with the columns
listing the requirements for those categories, and revises
Sec. Sec. 11.61(a)(1)(i) and 11.61(a)(2)(ii) of the Commission's
rules to include ``LPFM'' stations.
Revises section 11.32(a)(9)(iv) of the Commission's
rules to limit the duration of the Attention Signal to no more than
eight seconds, and deletes as obsolete sections 11.33(b) and 11.12.
Clarifies that EAS Participants may relay, for the
benefit of downstream monitoring stations, messages they received
that did not include an End of Message (EOM) code within the reset
time limit set on their decoder.
Declines to revise Sec. 11.33(a)(3)(ii) of the
Commission's rules to eliminate the requirement to delete messages
upon expiration of their time periods, thus allowing EAS
Participants to air alert messages after expiration of the effective
time period set by the alert message originator.
Reiterates that the Commission lacks the authority to
raise or distribute funds for EAS-related purposes and therefore
cannot provide training for state and local emergency managers.
Observes that the decision to require EAS Participants
to meet the video display requirements in section 11.51(d), (g)(3),
(h)(3), and (j)(2) by using the enhanced text in the CAP message, as
outlined in the ECIG Implementation Guide, will help harmonize the
EAS rules with the requirements of section 79.2.
Identifies several proposals raised in the comments
submitted in response to the Third FNPRM as being outside the scope
of the Third FNPRM and thus not taken up by the Fifth Report and
Order.

B. Summary of Significant Issues Raised by Public Comments in Response
to the IRFA

4. SBA filed no comments in this proceeding, and there were no
other comments specifically addressed to the IRFA.

C. Description and Estimate of the Number of Small Entities to Which
Rules Will Apply

5. The RFA directs agencies to provide a description of and,
where feasible, an estimate of, the number of small entities that
may be affected by the rules adopted herein. The RFA generally
defines the term ``small entity'' as having the same meaning as the
terms ``small business,'' ``small organization,'' and ``small
governmental jurisdiction.'' In addition, the term ``small
business'' has the same meaning as the term ``small business
concern'' under the Small Business Act. A ``small business concern''
is one which: (1) Is independently owned and operated; (2) is not
dominant in its field of operation; and (3) satisfies any additional
criteria established by the Small Business Administration (SBA).
6. Small Businesses, Small Organizations, and Small Governmental
Jurisdictions. The Commission's action may, over time, affect small
entities that are not easily categorized at present. The Commission
therefore describe here, at the outset, three comprehensive,
statutory small entity size standards. First, nationwide, there are
a total of approximately 27.5 million small businesses, according to
the SBA. In addition, a ``small organization'' is generally ``any
not-for-profit enterprise which is independently owned and operated
and is not dominant in its field.'' Nationwide, as of 2007, there
were approximately 1,621,315 small organizations. Finally, the term
``small governmental jurisdiction'' is defined generally as
``governments of cities, towns, townships, villages, school
districts, or special districts, with a population of less than
fifty thousand.'' Census Bureau data for 2011 indicate that there
were 89,476 local governmental jurisdictions in the United States.
The Commission estimates that, of this total, as many as 88, 506
entities may qualify as ``small governmental jurisdictions.'' Thus,
the Commission estimates that most governmental jurisdictions are
small.
7. Television Broadcasting. The SBA defines a television
broadcasting station as a small business if such station has no more
than $14.0 million in annual receipts. Business concerns included in
this industry

[[Page 16709]]

are those ``primarily engaged in broadcasting images together with
sound.'' The Commission has estimated the number of licensed
commercial television stations to be 1,390. According to Commission
staff review of the BIA Kelsey Inc. Media Access Pro Television
Database (BIA) as of January 31, 2011, 1,006 (or about 78 percent)
of an estimated 1,298 commercial television stations in the United
States have revenues of $14 million or less and, thus, qualify as
small entities under the SBA definition. The Commission has
estimated the number of licensed noncommercial educational (NCE)
television stations to be 391. The Commission notes, however, that,
in assessing whether a business concern qualifies as small under the
above definition, business (control) affiliations must be included.
The Commission's estimate, therefore, likely overstates the number
of small entities that might be affected by its action, because the
revenue figure on which it is based does not include or aggregate
revenues from affiliated companies. The Commission does not compile
and otherwise does not have access to information on the revenue of
NCE stations that would permit it to determine how many such
stations would qualify as small entities.
8. In addition, an element of the definition of ``small
business'' is that the entity not be dominant in its field of
operation. The Commission is unable at this time to define or
quantify the criteria that would establish whether a specific
television station is dominant in its field of operation.
Accordingly, the estimate of small businesses to which rules may
apply do not exclude any television station from the definition of a
small business on this basis and are therefore over-inclusive to
that extent. Also, as noted, an additional element of the definition
of ``small business'' is that the entity must be independently owned
and operated. The Commission notes that it is difficult at times to
assess these criteria in the context of media entities and its
estimates of small businesses to which they apply may be over-
inclusive to this extent.
9. Radio Stations. The rules and policies adopted in the Fifth
Report and Order potentially will apply to all AM and FM radio
broadcasting applicants, and proponents for new FM allotments, who
qualify for the Tribal Priority adopted in the First Report and
Order in this proceeding. The ``Radio Stations'' Economic Census
category ``comprises establishments primarily engaged in
broadcasting aural programs by radio to the public. Programming may
originate in their own studio, from an affiliated network, or from
external sources.'' The SBA has established a small business size
standard for this category, which is: Such firms having $7 million
or less in annual receipts. According to BIA/Kelsey, MEDIA Access
Pro Database on January 13, 2011, 10,820 (97%) of 11,127 commercial
radio stations have revenue of $7 million or less. Therefore, the
majority of such entities are small entities. The Commission notes,
however, that in assessing whether a business concern qualifies as
small under the above size standard, business affiliations must be
included. In addition, to be determined to be a ``small business,''
the entity may not be dominant in its field of operation. The
Commission notes that it is difficult at times to assess these
criteria in the context of media entities, and its estimate of small
businesses may therefore be over-inclusive.
10. Cable and Other Program Distribution. Since 2007, these
services have been defined within the broad economic census category
of Wired Telecommunications Carriers; that category is defined as
follows: ``This industry comprises establishments primarily engaged
in operating and/or providing access to transmission facilities and
infrastructure that they own and/or lease for the transmission of
voice, data, text, sound, and video using wired telecommunications
networks. Transmission facilities may be based on a single
technology or a combination of technologies.'' The SBA has developed
a small business size standard for this category, which is: All such
firms having 1,500 or fewer employees. According to Census Bureau
data for 2007, there were a total of 955 firms in this previous
category that operated for the entire year. Of this total, 939 firms
had employment of 999 or fewer employees, and 16 firms had
employment of 1000 employees or more. Thus, under this size
standard, the majority of firms can be considered small entities.
11. Cable System Operators (Rate Regulation Standard). The
Commission has developed its own small business size standards, for
the purpose of cable rate regulation. Under the Commission's rules,
a ``small cable company'' is one serving 400,000 or fewer
subscribers, nationwide. Industry data indicate that, of 1,076 cable
operators nationwide, all but eleven are small under this size
standard. In addition, under the Commission's rules, a ``small
system'' is a cable system serving 15,000 or fewer subscribers.
Industry data indicate that, of 7,208 systems nationwide, 6,139
systems have under 10,000 subscribers, and an additional 379 systems
have 10,000-19,999 subscribers. Thus, under this second size
standard, most cable systems are small and may be affected by the
rules adopted in the Fifth Report and Order.
12. Cable System Operators (Telecom Act Standard). The Act also
contains a size standard for small cable system operators, which is
``a cable operator that, directly or through an affiliate, serves in
the aggregate fewer than 1 percent of all subscribers in the United
States and is not affiliated with any entity or entities whose gross
annual revenues in the aggregate exceed $250,000,000.'' The
Commission has determined that an operator serving fewer than
677,000 subscribers shall be deemed a small operator, if its annual
revenues, when combined with the total annual revenues of all its
affiliates, do not exceed $250 million in the aggregate. Industry
data indicate that, of 1,076 cable operators nationwide, all but ten
are small under this size standard. The Commission notes that it
neither requests nor collects information on whether cable system
operators are affiliated with entities whose gross annual revenues
exceed $250 million, and therefore it is unable to estimate more
accurately the number of cable system operators that would qualify
as small under this size standard.
13. Open Video Services. The open video system (``OVS'')
framework was established in 1996, and is one of four statutorily
recognized options for the provision of video programming services
by local exchange carriers. The OVS framework provides opportunities
for the distribution of video programming other than through cable
systems. Because OVS operators provide subscription services, OVS
falls within the SBA small business size standard covering cable
services, which is ``Wired Telecommunications Carriers.'' The SBA
has developed a small business size standard for this category,
which is: All such firms having 1,500 or fewer employees. According
to Census Bureau data for 2007, there were a total of 3,188 firms in
this previous category that operated for the entire year. Of this
total, 3,144 firms had employment of 999 or fewer employees, and 44
firms had employment of 1000 employees or more. Thus, under this
size standard, most cable systems are small and may be affected by
the rules adopted in the Fifth Report and Order. In addition, we
note that the Commission has certified some OVS operators, with some
now providing service. Broadband service providers (``BSPs'') are
currently the only significant holders of OVS certifications or
local OVS franchises. The Commission does not have financial or
employment information regarding the entities authorized to provide
OVS, some of which may not yet be operational. Thus, again, at least
some of the OVS operators may qualify as small entities.
14. Wired Telecommunications Carriers. The 2007 North American
Industry Classification System (``NAICS'') defines ``Wired
Telecommunications Carriers'' as follows: ``This industry comprises
establishments primarily engaged in operating and/or providing
access to transmission facilities and infrastructure that they own
and/or lease for the transmission of voice, data, text, sound, and
video using wired telecommunications networks. Transmission
facilities may be based on a single technology or a combination of
technologies. Establishments in this industry use the wired
telecommunications network facilities that they operate to provide a
variety of services, such as wired telephony services, including
VoIP services; wired (cable) audio and video programming
distribution; and wired broadband Internet services. By exception,
establishments providing satellite television distribution services
using facilities and infrastructure that they operate are included
in this industry.'' The SBA has developed a small business size
standard for wireline firms within the broad economic census
category, ``Wired Telecommunications Carriers.'' Under this
category, the SBA deems a wireline business to be small if it has
1,500 or fewer employees. Census data for 2007, which supersede data
from the 2002 Census, show that 3,188 firms operated n 2007 as Wired
Telecommunications Carriers. 3,144 had 1,000 or fewer employees,
while 44 operated with more than 1,000 employees.
15. Broadband Radio Service and Educational Broadband Service
(FCC

[[Page 16710]]

Auction Standard). The established rules apply to Broadband Radio
Service (``BRS,'' formerly known as Multipoint Distribution Systems,
or ``MDS'') operated as part of a wireless cable system. The
Commission has defined ``small entity'' for purposes of the auction
of BRS frequencies as an entity that, together with its affiliates,
has average gross annual revenues that are not more than $40 million
for the preceding three calendar years. The SBA has approved this
definition of small entity in the context of MDS auctions. The
Commission completed its MDS auction in March 1996 for
authorizations in 493 basic trading areas. Of 67 winning bidders, 61
qualified as small entities. At this time, the Commission estimates
that of the 61 small business MDS auction winners, 48 remain small
business licensees. In addition to the 48 small businesses that hold
BTA authorizations, there are approximately 392 incumbent BRS
licensees that are considered small entities. After adding the
number of small business auction licensees to the number of
incumbent licensees not already counted, the Commission finds that
there are currently approximately 440 BRS licensees that are defined
as small businesses under either the SBA or the Commission's rules.
In 2009, the Commission conducted Auction 86, which offered 78 BRS
licenses. Auction 86 concluded with ten bidders winning 61 licenses.
Of the ten, two bidders claimed small business status and won 4
licenses; one bidder claimed very small business status and won
three licenses; and two bidders claimed entrepreneur status and won
six licenses.
16. The rules and policies adopted in the Fifth Report and Order
would also apply to Educational Broadband Service (``EBS,'' formerly
known as Instructional Television Fixed Service, or ``ITFS'')
facilities operated as part of a wireless cable system. The SBA
definition of small entities for pay television services, Cable and
Other Subscription Programming, also appears to apply to EBS. There
are presently 2,032 EBS licensees. All but 100 of these licenses are
held by educational institutions. Educational institutions are
included in the definition of a small business. However, the
Commission does not collect annual revenue data for EBS licensees
and is not able to ascertain how many of the 100 non-educational
licensees would be categorized as small under the SBA definition.
Thus, the Commission tentatively concludes that at least 1,932 are
small businesses and may be affected by the rules and policies
adopted in the Fifth Report and Order.
17. Wireless Telecommunications Carriers (except Satellite).
Since 2007, the Census Bureau has placed wireless firms within this
new, broad, economic census category. Prior to that time, such firms
were within the now-superseded categories of ``Paging'' and
``Cellular and Other Wireless Telecommunications.'' Under the
present and prior categories, the SBA has deemed a wireless business
to be small if it has 1,500 or fewer employees. For the category of
Wireless Telecommunications Carriers (except Satellite), Census data
for 2007, which supersede data contained in the 2002 Census, show
that there were 1,383 firms that operated that year. Of those 1,383,
1,368 had fewer than 100 employees, and 15 firms had more than 100
employees. Thus under this category and the associated small
business size standard, the majority of firms can be considered
small. Similarly, according to Commission data, 413 carriers
reported that they were engaged in the provision of wireless
telephony, including cellular service, Personal Communications
Service (PCS), and Specialized Mobile Radio (SMR) Telephony
services. Of these, an estimated 261 have 1,500 or fewer employees
and 152 have more than 1,500 employees. Consequently, the Commission
estimates that approximately half or more of these firms can be
considered small. Thus, using available data, the Commission
estimates that the majority of wireless firms can be considered
small.
18. Incumbent Local Exchange Carriers (LECs). The Commission has
included small incumbent LECs in this IRFA analysis. As noted above,
a ``small business'' under the RFA is one that, inter alia, meets
the pertinent small business size standard (e.g., a telephone
communications business having 1,500 or fewer employees) and ``is
not dominant in its field of operation.'' The SBA's Office of
Advocacy contends that, for RFA purposes, small incumbent LECs are
not dominant in their field of operation because any such dominance
is not ``national'' in scope. The Commission has therefore included
small incumbent local exchange carriers in this RFA analysis,
although the Commission emphasizes that this RFA action has no
effect on its analyses and determinations in other, non-RFA
contexts. Neither the Commission nor the SBA has developed a small
business size standard specifically for incumbent local exchange
services. The appropriate size standard under SBA rules is for the
category Wired Telecommunications Carriers. Under that size
standard, such a business is small if it has 1,500 or fewer
employees. According to Commission data, 1,303 carriers have
reported that they are engaged in the provision of incumbent local
exchange services. Of these 1,303 carriers, an estimated 1,020 have
1,500 or fewer employees, and 283 have more than 1,500 employees.
Consequently, the Commission estimates that most providers of
incumbent local exchange service are small businesses that may be
affected by the rules and policies adopted in the Fifth Report and
Order.
19. Competitive (LECs), Competitive Access Providers (CAPs),
``Shared-Tenant Service Providers,'' and ``Other Local Service
Providers.'' Neither the Commission nor the SBA has developed a
small business size standard specifically for these service
providers. The appropriate size standard under SBA rules is for the
category Wired Telecommunications Carriers. Under that size
standard, such a business is small if it has 1,500 or fewer
employees. According to Commission data, 769 carriers have reported
that they are engaged in the provision of either competitive access
provider services or competitive local exchange carrier services. Of
these 769 carriers, an estimated 676 have 1,500 or fewer employees,
and 93 have more than 1,500 employees. In addition, 12 carriers have
reported that they are ``Shared-Tenant Service Providers,'' and all
12 are estimated to have 1,500 or fewer employees. In addition, 39
carriers have reported that they are ``Other Local Service
Providers.'' Of the 39, an estimated 38 have 1,500 or fewer
employees, and one has more than 1,500 employees. Consequently, the
Commission estimates that most providers of competitive local
exchange service, competitive access providers, ``Shared-Tenant
Service Providers,'' and ``Other Local Service Providers'' are small
entities.
20. Satellite Telecommunications Providers. Two economic census
categories address the satellite industry. The first category has a
small business size standard of $15 million or less in average
annual receipts, under SBA rules. The second has a size standard of
$25 million or less in annual receipts.
21. The category of Satellite Telecommunications ``comprises
establishments primarily engaged in providing telecommunications
services to other establishments in the telecommunications and
broadcasting industries by forwarding and receiving communications
signals via a system of satellites or reselling satellite
telecommunications.'' Census Bureau data for 2007 show that 512
Satellite Telecommunications firms operated for that entire year. Of
this total, 464 firms had annual receipts of under $10 million, and
18 firms had receipts of $10 million to $24,999,999. Consequently,
the majority of Satellite Telecommunications firms can be considered
small entities.
22. The second category, i.e. ``All Other Telecommunications''
comprises ``establishments primarily engaged in providing
specialized telecommunications services, such as satellite tracking,
communications telemetry, and radar station operation. This industry
also includes establishments primarily engaged in providing
satellite terminal stations and associated facilities connected with
one or more terrestrial systems and capable of transmitting
telecommunications to, and receiving telecommunications from,
satellite systems. Establishments providing Internet services or
voice over Internet protocol (VoIP) services via client-supplied
telecommunications connections are also included in this industry.''
For this category, Census Bureau data for 2007 show that there were
a total of 2,383 firms that operated for the entire year. Of this
total, 2,347 firms had annual receipts of under $25 million and 12
firms had annual receipts of $25 million to $49,999,999.
Consequently, the Commission estimates that the majority of All
Other Telecommunications firms are small entities that might be
affected by the rules and policies adopted in the Fifth Report and
Order.
23. Direct Broadcast Satellite (``DBS'') Service. DBS service is
a nationally distributed subscription service that delivers video
and audio programming via satellite to a small parabolic ``dish''
antenna at the subscriber's location. DBS, by exception, is now
included in the SBA's broad economic

[[Page 16711]]

census category, ``Wired Telecommunications Carriers,'' which was
developed for small wireline firms. Under this category, the SBA
deems a wireline business to be small if it has 1,500 or fewer
employees. To gauge small business prevalence for the DBS service,
the Commission relies on data currently available from the U.S.
Census for the year 2007. According to that source, there were 3,188
firms that in 2007 were Wired Telecommunications Carriers. Of these,
3,144 operated with less than 1,000 employees, and 44 operated with
more than 1,000 employees. However, as to the latter 44 there is no
data available that shows how many operated with more than 1,500
employees. Based on this data, the majority of these firms can be
considered small. Currently, only two entities provide DBS service,
which requires a great investment of capital for operation: DIRECTV
and EchoStar Communications Corporation (``EchoStar'') (marketed as
the DISH Network). Each currently offers subscription services.
DIRECTV and EchoStar each report annual revenues that are in excess
of the threshold for a small business. Because DBS service requires
significant capital, the Commission believes it is unlikely that a
small entity as defined by the SBA would have the financial
wherewithal to become a DBS service provider.

D. Description of Projected Reporting, Recordkeeping, and Other
Compliance Requirements

24. There are revisions to current Part 11 reporting,
recordkeeping, or compliance requirements set forth in the Fifth
Report and Order. Specifically, the Fifth Report and Order:
Revises section 11.21(a) to make clear that the State
EAS Plans specify the monitoring assignments and the specific
primary and backup path for SAME-formatted EANs. This revision
merely applies a current reporting requirement to a new technical
protocol and the Commission does not expect it to alter the
reporting burden to any appreciable degree. The revision will ensure
the accuracy of EAS operational documents and thus contributes to
public safety. Accordingly, the Commission believes the revision to
be necessary.
Revises section 11.33(a)(4) to require that if an alert
message is derived from a CAP-formatted message, the contents of the
text, assembled pursuant to ECIG Implementation Guide, should be
added to the EAS device log. This revision merely applies a current
reporting requirement to a new technical protocol and the Commission
does not expect it to alter the reporting burden to any appreciable
degree.
Eliminates Non-Participating National source (NN)
status and thus deletes all references to NN status from section
11.41 (and other sections) of the Part 11 rules. Obtaining NN status
required the submission of paperwork to the FCC, thus, eliminating
such status eliminates a potential paperwork requirement. Because NN
stations were otherwise required to meet the same logging and
reporting requirements of non-NN stations, the elimination of this
status did not impact other logging or reporting requirements to
which NN stations are subject.
Deletes section 11.42 in its entirety, which set forth
certain reporting requirements for common carrier stations involved
in national level EAS operations. Like all of the provisions in
section 11.42, the provisions related to common carriers facilitated
EAS operations that were phased out in 1995. Accordingly, deleting
section 11.42 formally eliminates reporting requirements that were
effectively eliminated long ago.
Revises section 11.54(b)(13) to eliminate the
requirement that EAS Participants enter into their logs/records the
time of receipt of EAT messages during a national level emergency.
This action is necessary because the Fifth Report and Order
eliminates the EAT from the Part 11 rules, and incrementally lessens
the logging/recording requirements associated with EANs.
Revises section 11.55 section to clarify that the time
of receipt of CAP-formatted emergency alert messages must be entered
into the stations/systems' logs/records. The requirement in section
11.55 directing stations/systems to enter into their logs/records
the time of receipt of an emergency alert message already broadly
applies to any emergency alert message, regardless of how it is
formatted; this revision merely makes this point clearer.
Adopts, in paragraphs 164-167, 170-171 and 175-176,
streamlined procedures for equipment certification that take into
account standards and testing procedures adopted by FEMA. This
revision merely applies a current certification requirement to
equipment that complies with a new technical protocol and the
Commission does not expect it to alter the certification burden to
any appreciable degree.
25. These requirements are intended to advance our public safety
mission and enhance the performance of the EAS while reducing
regulatory burdens wherever possible.

E. Steps Taken To Minimize the Significant Economic Impact on Small
Entities, and Significant Alternatives Considered

26. The RFA requires an agency to describe any significant
alternatives that it has considered in developing its approach,
which may include the following four alternatives (among others):
``(1) The establishment of differing compliance or reporting
requirements or timetables that take into account the resources
available to small entities; (2) the clarification, consolidation,
or simplification of compliance and reporting requirements under the
rule for such small entities; (3) the use of performance rather than
design standards; and (4) an exemption from coverage of the rule, or
any part thereof, for such small entities.''
27. EAS Participants currently are required to receive and
process CAP-formatted alert messages, as set forth in section 11.56.
The Fifth Report and Order adopts dozens of revisions to Part 11 of
the Commission's rules that are necessary in order for EAS
Participants to meet this obligation and, more generally, to
streamline and make more efficient the operation of the EAS. The
majority of the rule revisions are not designed to introduce new
obligations that do not already exist, but rather, more clearly
identify and effect within Part 11 the CAP obligations previously
adopted in the Second Report and Order. In many cases, the rule
revisions eliminate or reduce recordkeeping and reporting
requirements. In all instances, the Commission chose the least
costly, technically feasible option. In this regard, these revisions
are designed to minimally impact all EAS Participants, including
small entities, to the extent feasible, while at the same time
protecting the lives and property of all Americans. This confers a
direct benefit on small entities. For example, the rule revisions
maintain the existing EAS architecture and permit affected parties
to meet their CAP-related obligations via intermediary devices,
which potentially may alleviate the need to obtain new EAS equipment
for many EAS Participants. Similarly, the revisions to EAN
processing make the Part 11 rules simpler both to understand and
implement within equipment designs.
28. Removing redundant or obsolete sections from the EAS rules
not only streamlines EAS operation, but also decreases costs to all
involved in the functioning of the EAS. Moreover, the CAP-related
amendments that the Commission makes to its EAS rules are designed
to minimize costs. For example, the Fifth Report and Order removes
the obligation to receive and process CAP-formatted alerts messages
initiated by state governors. This will eliminate the costs of
upgrading EAS equipment to comply with this requirement.
29. Commenters were invited to suggest steps that the Commission
may take to further minimize any significant economic impact on
small entities. When considering proposals made by other parties,
commenters were also invited to propose alternatives that serve the
goal of minimizing the impact on small entities. Virtually all
commenters agreed that incorporation of CAP into the Part 11 rules
will significantly benefit both public safety officials and the
public by creating a more efficient, reliable and effective EAS. The
new rules require EAS Participants to monitor FEMA's IPAWS system
for Federal CAP-formatted alert messages using whatever interface
technology is appropriate. This approach marks an alternative from
the Commission's proposal in the Third FNPRM and is in response to
comments received in response to the Third FNPRM that advocated for
more flexibility for this requirement. Moreover, the new rules
permit, with certain limitations, EAS Participants to use
intermediary devices to meet their CAP-related obligations. The
approach taken in the Fifth Report and Order strikes a balance by
allowing use of these devices by EAS Participants--many of whom are
small or are non-commercial--but only to the extent such devices can
comply with the rules adopted today by June 30, 2015. This is a
significantly less costly alternative to requiring immediate
compliance.
30. Report to Congress: The Commission will send a copy of the
Fifth Report and Order, including this FRFA, in a report to be sent
to Congress and the Government

[[Page 16712]]

Accountability Office pursuant to the Congressional Review Act. In
addition, the Commission will send a copy of the Fifth Report and
Order, including this FRFA, to the Chief Counsel for Advocacy of the
SBA. A copy of the Fifth Report and Order and FRFA (or summaries
thereof) will also be published in the Federal Register.

[FR Doc. 2012-6601 Filed 3-21-12; 8:45 am]
BILLING CODE 6712-01-P