[Federal Register Volume 63, Number 78 (Thursday, April 23, 1998)]
[Rules and Regulations]
[Pages 20131-20134]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10742]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 15 and 73

[ET Docket 97-206; FCC 98-36]


Technical Requirements To Enable Blocking of Video Programming 
Based on Program Ratings

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: By this Report and Order (``R&O''), the Commission is amending 
the rules to require that television receivers with picture screens 33 
cm (13 inches) or greater be equipped with technological features to 
allow parents to block the display of violent, sexual, or other 
programming they believe is harmful to their children. These features 
are commonly referred to as ``v-chip'' technology. This action is in 
response to the Parental Choice in Television Programming requirements. 
These rules are intended to give parents the ability to block video 
programming that they do not want their children to watch.

DATES: This regulation is effective May 26, 1998. The incorporation by 
reference of certain publications listed in the rule is approved by the 
Director of the Office of the Federal Register as of May 26, 1998.

FOR FURTHER INFORMATION CONTACT: Neal McNeil, Office of Engineering and 
Technology, (202) 418-2408, TTY (202) 418-2989.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report 
and Order, ET Docket 97-206, FCC 98-36, adopted March 12, 1998 and 
released March 13, 1998. The full text of this decision is available 
for inspection and copying during regular business hours in the FCC 
Reference Center, Room 239, 1919 M Street, NW, Washington, DC. The 
complete text of this decision also may be purchased from the 
Commission's duplication contractor, International Transcription 
Service, Inc., (202) 857-3800, 1231 20th Street, NW, Washington, DC 
20036.

Summary of the Report and Order

    1. In section 551(a)(9) of the Telecommunications Act of 1996 
(``1996 Act''), Congress determined that parents should be provided 
``with timely information about the nature of upcoming video 
programming and with the technological tools that allow them easily to 
block violent, sexual, or other programming that they believe harmful 
to their children * * *.'' Section 551(c) directs the Commission to 
adopt rules requiring that any ``apparatus designed to receive 
television signals that are shipped in interstate commerce or 
manufactured in the United States and that have a picture screen 13 
inches or greater in size (measured diagonally) * * * be equipped with 
a feature designed to enable viewers to block display of all programs 
with a common rating * * *.'' Section 551(d) states that the Commission 
must ``require that all such apparatus be able to receive the rating 
signals which have been transmitted by way of line 21 of the vertical 
blanking interval * * *.'' That provision also instructs the Commission 
to oversee ``the adoption of standards by industry for blocking 
technology,'' and to ensure that blocking capability continues to be 
available to consumers as technology advances.
    2. The Notice of Proposed Rule Making (``Notice'') in this 
proceeding, 62 FR 52677, October 9, 1997, began the process of 
fulfilling the requirements of section 551. In the Notice the 
Commission proposed to rely on industry standard EIA-608 to provide the 
methodology for television receivers to decode rating information 
transmitted on line 21 of the vertical blanking interval (``VBI''). A 
total of 26 parties filed comments, and 13 parties filed replies to 
comments in response to the Notice.
    3. Comments received in response to the Notice were uniform in 
support of the Commission's proposal to adopt EIA-608 and EIA-744 as 
the transmission standards for program rating information. No 
commenters suggested other transmission standards that the Commission 
should consider. The Commission continues to believe that EIA-608 
provides an appropriate means of transmitting program rating 
information on line 21. Therefore, the Commission is amending its rules 
to require that all television receivers with picture screens 33 cm (13 
inches) or larger, measured diagonally, shipped in interstate commerce 
or manufactured in the United States, receive program ratings 
transmitted pursuant to industry standards EIA-608 and EIA-744 and 
block both the video and the associated audio on the main and second 
audio program (SAP) channels, based on a rating level specified by the 
user of the television receiver. By adopting EIA-608 and EIA-744 we are 
fulfilling our mandate under section 551(d) to oversee the adoption of 
standards by industry for blocking technology. The Commission is 
incorporating EIA-608 and EIA-744 into its rules by reference. To 
incorporate EIA-608-B by reference we will publish notice of the change 
in the Federal Register and amend the CFR.
    4. The Commission is requiring that television manufacturers 
include blocking technology on at least half of their new product 
models with a picture screen 33 cm (13 inches) or greater in size by 
July 1, 1999. The remainder of the models would be required to contain 
blocking technology by January 1, 2000.

Final Regulatory Flexibility Analysis

    5. As required by the Regulatory Flexibility Act (``RFA''),\1\ an 
Initial Regulatory Flexibility Analysis (``IRFA'') was incorporated in 
the ``Notice of Proposed Rule Making

[[Page 20132]]

(Notice)''.\2\ The Commission sought written public comment on the 
proposals in the Notice, including comment on the IRFA. The 
Commission's Final Regulatory Flexibility Analysis (``FRFA'') in this 
Report and Order conforms to the RFA.\3\
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    \1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 et seq., has 
been amended by the Contract with America Advancement Act of 1996, 
Pub. L. 104-121, 110 Stat 847 (1996) (CWAAA). Title II of the CWAAA 
is the Small Business Regulatory Enforcement Fairness Act of 1966 
(SBREFA).
    \2\ See ET Docket 97-206, 12 FCC Rcd 15573 (1997), Appendix A.
    \3\ See 5 U.S.C. 604.
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A. Need for and Objective of the Rules

    6. The rules adopted in this Report and Order are intended to give 
parents the ability to block video programming that they do not want 
their children to watch. This action is taken in response to the 
Parental Choice in Television Programming requirements contained in 
sections 551 (c) , (d), and (e) of the Telecommunications Act of 1996 
(the ``1996 Act'').\4\ As described in the present Notice, Congress 
determined that parents should be provided ``with timely information 
about the nature of upcoming video programming and with the 
technological tools that allow them to block violent, sexual, or other 
programming that they believe harmful to children.'' Section 551(c) of 
the 1996 Act directs the Commission to adopt rules requiring that any 
``apparatus designed to receive television signals that are shipped in 
interstate commerce or manufactured in the United States and that have 
a picture screen 13 inches or greater in size (measured diagonally) * * 
* be equipped with a feature designed to enable viewers to block 
display of all programs with a common rating.'' Section 551(d) states 
that the Commission must ``require that all such apparatus be able to 
receive the rating signals which have been transmitted by way of line 
21 of the vertical blanking interval.'' That provision also instructs 
the Commission to oversee ``the adoption of standards by industry for 
blocking technology,'' and to ensure that blocking capability continues 
to be available to consumers as technology advances.
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    \4\ Pub. L. 104-104, 111 Stat. 56 (1996).
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B. Summary of Significant Issues Raised by Public Comments in Response 
to the IRFA

    7. No comments were filed in direct response to the IRFA. 
Commenters, including possible small entity commenters, wrote general 
comments regarding the deadlines for compliance with the blocking 
technology rules.\5\
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    \5\ See FRFA Section E, infra, ``Steps Taken to Minimize 
Significant Economic Impact on Small Entities and Significant 
Alternatives Considered.''
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C. Description and Estimate of the Number of Small Entities To Which 
the Rules Will Apply

    8. This action requires television manufacturers to include program 
blocking technology in television receivers that have a display size of 
33 cm (13 inches) or larger. Personal computers that have a display 
size of 33 cm (13 inches) or larger and include the ability to receive 
NTSC or DTV TV signals (i.e., television broadcasting) are also subject 
to the requirement to include program blocking technology. The 
requirements do not apply to computers receiving video transmissions 
over the Internet or via computer networks.
    9. The RFA generally defines the term ``small entity'' as having 
the same meaning as the terms ``small business'' ``small 
organization,'' and ``small governmental jurisdictions.'' In addition, 
the term ``small business'' has the same meaning as the term ``small 
business concern'' under the Small Business Act, 15 U.S.C. 632, unless 
the Commission has developed one or more definitions that are 
appropriate to its activities.\6\ Under the Small Business Act, a 
``small business concern'' is one that: (1) Is independently owned and 
operated; (2) is not dominant in its field of operation; and (3) meets 
any additional criteria established by the Small Business 
Administration (SBA).\7\
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    \6\ See 5 U.S.C. 601(3).
    \7\ 15 U.S.C. 632.
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    10. The Commission has not developed a definition of small entities 
applicable to V-chip technology. Therefore, the Commission will utilize 
the SBA definition applicable to manufacturers of Radio and Television 
Broadcasting and Communications Equipment. According to the SBA's 
regulations, television equipment manufacturers must have 750 or fewer 
employees in order to qualify as a small business concern.\8\ Census 
Bureau data indicates that there are 858 U.S. companies that 
manufacture radio and television broadcasting and communications 
equipment, and that 778 of these firms have fewer than 750 employees 
and would be classified as small entities.\9\ The Census Bureau 
category is very broad, and specific figures are not available as to 
how many of these firms are manufacturers of television equipment. 
However, we believe that many of the companies that manufacture 
television equipment may qualify as small entities.
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    \8\ 13 CFR 121.201, (SIC) Code 3663.
    \9\ U.S. Department of Commerce, 1992 Census of Transportation, 
Communications, and Utilities, SIC Code 3663 (issued May 1995).
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    11. According to SBA regulations, a computer manufacturer must have 
1,000 or fewer employees in order to qualify as a small entity.\10\ 
Census Bureau data indicates that there are 716 firms that manufacture 
electronic computers. Of those, 659 have fewer than 500 employees and 
qualify as small entities.\11\ The remaining 57 firms have 500 or more 
employees; however, we were unable to determine how many of those have 
1,000 or fewer employees and therefore also qualify as small entities 
under the SBA definition.
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    \10\ 13 CFR 121.201. (SIC) Code 3571.
    \11\ U.S. Small Business Administration 1995 Economic Census 
Industry and Enterprise Report, Table 3, SIC Code 3571. (Bureau of 
the Census data adapted by the Office of Advocacy of the U.S. Small 
Business Administration).
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D. Description of Projected Reporting, Recordkeeping and Other 
Compliance Requirements

    12. The Commission's rules require television receivers to be 
verified for compliance with applicable FCC technical requirements. See 
47 CFR 15.101, 15.117, and 2.951, et seq. Documentation concerning the 
verification must be kept by the manufacturer or importer. The rules 
adopted in this proceeding require that television receivers comply 
with industry-developed standards for blocking display of video 
programming based on program ratings. However, verification testing 
regarding program blocking is not necessary because compliance with the 
industry-developed standards, and the associated Commission rules, can 
be determined easily during the television receiver design process. The 
Commission may, of course, ask manufacturers and importers to document 
upon occasion how a particular television receiver complies with the 
program blocking requirements.

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

    13. In the Notice we invited comment regarding the existence of 
such alternate blocking technologies and whether it would be 
appropriate to permit them at this time in lieu of ratings-based 
blocking technology. In order to evaluate possible alternative blocking 
technologies, we solicited information regarding the cost of any 
alternative blocking technology as well as the cost of implementing 
ratings-based technology pursuant to EIA-608.
    14. EIA-608 has provided television programmers, closed-captioning 
service

[[Page 20133]]

providers and television receiver manufacturers with a standard method 
for transmitting and using data information transmitted on line 21. It 
ensures compatibility between the various uses of this information and 
minimizes the need for government regulation in this area. In the 
Notice we recognized the broad acceptance of EIA-608 for transmission 
of data on line 21. Accordingly, we proposed to amend our rules to 
require that most television receivers receive program ratings 
information transmitted pursuant to EIA-608 and block video programming 
based on a ratings level specified by the user. To accomplish this, we 
proposed to incorporate the appropriate provisions of EIA-608 into our 
regulations. We invited comment on whether other technical standards 
for blocking technology were being developed or have been developed, 
and whether they should be used instead of or in addition to EIA-608.
    15. Commenters were uniform in their support of our proposal to 
adopt EIA-608 as the transmission standard for program ratings 
information. No commenters suggested other transmission standards that 
the Commission should consider. We continue to believe that EIA-608 
provides an appropriate means of transmitting program ratings 
information on line 21. Therefore, we are amending our rules to require 
that all television receivers with picture screens 33 cm (13 inches) or 
larger, measured diagonally, shipped in interstate commerce or 
manufactured in the United States, receive program ratings transmitted 
pursuant to industry standard EIA-608 and block both the video and the 
associated audio on the main and second audio program (SAP) channels, 
based on a ratings level specified by the user of the television 
receiver. We are also incorporating the relevant parts of EIA-608 into 
our rules, along with EIA-744 which contains a proposed amendment to 
EIA-608 that will include pertinent information on transmission of 
program ratings information.
    16. In the Notice we also proposed to require television 
manufacturers to include blocking technology on at least half of their 
product models with a picture screen 33 cm (13 inches) or greater in 
size by July 1, 1998. The remainder of the models would be required to 
contain blocking technology by July 1, 1999. While all commenters agree 
that program blocking technology should be made available to the public 
as soon as possible, television manufacturers contend that the 
deadlines proposed by the Commission are impossible to meet.
    17. CEMA states that the design cycle for a television receiver 
model takes approximately 18-24 months. According to CEMA, ``The cycle 
generally begins in January, and leads to product introduction the 
summer of the following year in time for the holiday buying season.'' 
Other commenters state that this production cycle can not be compressed 
without creating the possibility of releasing an inferior product to 
the market. Additionally, CEMA, Philips, and Thomson also state that 
the Commission must release final rules in both this proceeding and CS 
Docket 97-55 before the production cycle may begin for v-chip equipped 
televisions. They request that the Commission delay the implementation 
deadline for at least one year subsequent to the release of rules in 
these proceedings.
    18. After reviewing all of the comments filed in this proceeding, 
we conclude that it is appropriate to delay our implementation 
deadlines. Manufacturers were consistent in describing typical design 
and production schedules for TV receivers. We believe that our rules 
should conform with these schedules and provide a smooth transition for 
product introduction. We realize that, given these schedules, 
manufacturers are well into the production phase of sets that will be 
released in July 1998. Therefore, it would be infeasible to demand that 
these sets contain blocking technology. Furthermore, it would be 
detrimental to consumer confidence if forced compression of 
manufacturer design schedules resulted in the release of an 
unsatisfactory product. Accordingly, we are revising the implementation 
schedule proposed in the Notice to require that television 
manufacturers include blocking technology on at least half of their new 
product models with a picture screen 33 cm (13 inches) or greater in 
size by July 1, 1999. The remainder of the models would be required to 
contain blocking technology by January 1, 2000.

Report to Congress

    The Commission will send a copy of the Report and Order, including 
this FRFA, in a report to Congress pursuant to the Small Business 
Regulatory Enforcement Fairness Act of 1966, see 5 U.S.C. 801(a)(1)(A). 
A copy of the Report and Order and this FRFA (or summary thereof) will 
also be published in the Federal Register, see 5 U.S.C. 604(b), and 
will be sent to the Chief Counsel for Advocacy of the Small Business 
Administration.

List of Subjects

47 CFR Part 15

    Communications equipment, Computer technology, Incorporation by 
reference.

47 CFR Part 73

    Communications equipment, Television.

Federal Communications Commission.
Magalie Roman Salas,
Secretary.

Rule Changes

    For the reasons discussed in the preamble part 15 and 73 of title 
47 of the Code of Federal Regulations, are amended as follows:

PART 15--RADIO FREQUENCY DEVICES

    1. The authority citation for part 15 continues to read as follows:

    Authority: 47 U.S.C. 154, 302, 303, 304, 307 and 544A.

    2. A new Sec. 15.120 is added to read as follows:


Sec. 15.120  Program blocking technology requirements for television 
receivers.

    (a) Effective July 1, 1999, manufacturers of television broadcast 
receivers as defined in section 15.3(w) of this chapter, including 
personal computer systems meeting that definition, must ensure that 
one-half of their product models with picture screens 33 cm (13 in) or 
larger in diameter shipped in interstate commerce or manufactured in 
the United States comply with the provisions of paragraphs (c), (d), 
and (e) of this section.

    Note: This paragraph places no restrictions on the shipping or 
sale of television receivers that were manufactured before July 
1999.

    (b) Effective January 1, 2000, all TV broadcast receivers as 
defined in section 15.3(w) of this chapter, including personal computer 
systems meeting that definition, with picture screens 33 cm (13 in) or 
larger in diameter shipped in interstate commerce or manufactured in 
the United States shall comply with the provisions of paragraphs (c), 
(d), and (e) of this section.
    (c) Transmission format.
    (1) Analog television program rating information shall be 
transmitted on line 21 of field 2 of the vertical blanking interval of 
television signals, in accordance with Sec. 73.682(a)(22) of this 
chapter.
    (2) [Reserved]
    (d) Operation.
    (1) Analog television receivers will receive program ratings 
transmitted

[[Page 20134]]

pursuant to industry standard EIA-744 ``Transport of Content Advisory 
Information Using Extended Data Service (XDS)'', October 1997, 
Electronics Industries Association and EIA-608 ``Recommended Practice 
for Line 21 Data Service'', September 1994, Electronics Industries 
Association. This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Blocking of programming shall occur when a program 
rating is received that meets the pre-determined user requirements. 
Copies of EIA-744 and EIA-608 may be obtained from: Global Engineering 
Documents, 15 Inverness Way East, Englewood, Co 80112-5704. Copies of 
EIA-744 and EIA-608 may be inspected during normal business hours at 
the following locations: Federal Communications Commission, 2000 M 
Street, NW, Technical Information Center (Suite 230), Washington, DC, 
or the Office of the Federal Register, 800 North Capitol Street, NW, 
suite 700 Washington, DC.
    (2) Digital television receivers shall react in a similar manner as 
analog televisions when programmed to block specific rating categories.
    (e) All television receivers as described in paragraph (a) of this 
section shall block programming as follows:
    (1) Channel Blocking. Channel Blocking should occur as soon as a 
program rating packet with the appropriate Content Advisory or MPAA 
rating level is received. Program blocking is described as a receiver 
performing all of the following:

     Muting the program audio.
     Rendering the video black or otherwise indecipherable.
     Eliminating program-related captions.

    (2) Default State. The default state of a receiver (i.e., as 
provided to the consumer) should not block unrated programs. However, 
it is permissible to include features that allow the user to reprogram 
the receiver to block programs that are not rated.
    (3) Picture-In-Picture (PIP). If a receiver has the ability to 
decode program-related rating information for the Picture-In-Picture 
(PIP) video signal, then it should block the PIP channel in the same 
manner as the main channel. If the receiver does not have the ability 
to decode PIP program-related rating information, then it should block 
or otherwise disable the PIP if the viewer has enabled program 
blocking.
    (4) Selection of Ratings. Each television receiver, in accordance 
with user input, shall block programming based on the age based 
ratings, the content based ratings, or a combination of the two.
    (i) If the user chooses to block programming according to its age 
based rating level, the receiver must have the ability to automatically 
block programs with a more restrictive age based rating. For example, 
if all shows with an age-based rating of TV-PG have been selected for 
blocking, the user should be able to automatically block programs with 
the more restrictive ratings of TV-14 and TV-MA.
    (ii) If the user chooses to block programming according to a 
combination of age based and content based ratings the receiver must 
have the ability to automatically block programming with a more 
restrictive age rating but a similar content rating. For example, if 
all shows rated TV-PG-V have been selected for blocking, the user 
should be able to block automatically shows with the more restrictive 
ratings of TV-14-V and TV-MA-V.
    (iii) The user should have the capability of overriding the 
automatic blocking described in paragraphs (e)(4)(i) and (4)(ii) of 
this section.

PART 73--RADIO BROADCAST SERVICES

    1. The authority citation for part 73 continues to read as follows:

    Authority: 47 U.S.C. 154, 303, 334 and 336.

    2. Section 73.682 is amended by revising paragraphs (a)(22)(i) and 
(a)(24)(iii)(A) to read as follows:


Sec. 73.682  TV transmission standards.

    (a) * * *
    (22)(i) Line 21, in each field, may be used for the transmission of 
a program-related data signal which, when decoded, provides a visual 
depiction of information simultaneously being presented on the aural 
channel (captions). Line 21, field 2 may be used for transmission of a 
program-related data signal which, when decoded, identifies a rating 
level associated with the current program. Such data signals shall 
conform to the format described in figure 17 of Sec. 73.699 of this 
chapter, and may be transmitted during all periods of regular 
operation. On a space available basis, line 21 field 2 may also be used 
for text-mode data and extended data service information.

    Note: The signals on Fields 1 and 2 shall be distinct data 
streams, for example, to supply captions in different languages or 
at different reading levels.
* * * * *
    (24) * * *
    (iii) * * *
    (A) The use of such signals shall not result in significant 
degradation to any portion of the visual, aural, or program-related 
data signals of the television broadcast station;
* * * * *
[FR Doc. 98-10742 Filed 4-22-98; 8:45 am]
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