[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]


=======================================================================
-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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