[Federal Register Volume 76, Number 118 (Monday, June 20, 2011)]
[Proposed Rules]
[Pages 35810-35831]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-15119]



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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 11

[EB Docket No. 04-296; FCC 11-82]


Review of the Emergency Alert System

AGENCY: Federal Communications Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: In this document, the Federal Communications Commission 
(Commission) seeks comment on proposed changes to 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: Comments are due on or before July 20, 2011 and reply comments 
are due on or before August 4, 2011.

ADDRESSES: You may submit comments, identified by EB Docket No. 04-296, 
by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Federal Communications Commission's Web site: http://www.fcc.gov/cgb/ecfs/. Follow the instructions for submitting comments.
     Mail: Filings can be sent by hand or messenger delivery, 
by commercial overnight courier, or by first-class or overnight U.S. 
Postal Service mail (although the Commission continues to experience 
delays in receiving U.S. Postal Service mail). All filings must be 
addressed to the Commission's Secretary, Office of the Secretary, 
Federal Communications Commission.
     People with Disabilities: Contact the Commission to 
request reasonable accommodations (accessible format documents, sign 
language interpreters, CART, etc.) by e-mail: [email protected] or phone: 
202-418-0530 or TTY: 202-418-0432.
    For detailed instructions for submitting comments and additional 
information on the rulemaking process, see the SUPPLEMENTARY 
INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Lisa Fowlkes, Deputy Bureau Chief, 
Public Safety and Homeland Security Bureau, at (202) 418-7452, or by e-
mail at [email protected]. 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 e-mail to [email protected].

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Third 
Further Notice of Proposed Rulemaking (Third FNPRM) in EB Docket No. 
04-296, FCC 11-82, adopted on May 25, 2011, and released on May 26, 
2011. 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: 
http://www.fcc.gov.

Initial Regulatory Flexibility Analysis

    1. As required by the Regulatory Flexibility Act of 1980, as 
amended (RFA), the Commission has prepared this Initial Regulatory 
Flexibility Analysis (IRFA) of the possible significant economic impact 
on a substantial number of small entities of the policies and rules 
proposed in the Third Further Notice of Proposed Rulemaking (Third 
FNPRM). The Commission requests written public comments on this IRFA. 
Comments must be identified as responses to the IRFA and must be filed 
by the deadlines for comments on the Third FNPRM provided in section IV 
of the item. The Commission will send a copy of the Third FNPRM, 
including this IRFA, to the Chief Counsel for Advocacy of the Small 
Business Administration (SBA). In addition, the Third FNPRM and IRFA 
(or summaries thereof) will be published in the Federal Register.

A. Need for, and Objectives of, the Proposed Rules

    2. In 2007, as an initial step towards upgrading the Emergency 
Alert System (EAS) to incorporate the latest technologies and 
capabilities and to facilitate integration of public alerting at the 
national, state, and local levels, the Commission adopted the Second 
Report and Order (Second Report and Order) in EB Docket No. 04-296, 72 
FR 62123, November 2, 2007, which incorporated certain Common Alerting 
Protocol (CAP)-related obligations into the Commission's Part 11 EAS 
rules. First, to ensure the efficient, rapid, and 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.
    3. The Third FNPRM builds on that effort by seeking comment on a 
wide range of tentative conclusions and proposed revisions to the Part 
11 rules that would codify the CAP-related mandates adopted in the 
Second Report and Order, and modernize and streamline the Part 11 rules 
by eliminating outdated technical and procedural requirements. 
Specifically, the Third FNPRM contains the following tentative 
conclusions and proposed rule changes, and seeks comment on each:
     Tentatively concludes that, for the time being, the 
existing legacy EAS, including utilization of the EAS Protocol, will be 
maintained.
     Proposes to amend Sec.  11.56 of the Commission's rules to 
require EAS Participants to convert CAP-formatted EAS messages into 
SAME-compliant EAS messages in accordance with the EAS-CAP Industry 
Group's (ECIG) ECIG Implementation Guide.
     Tentatively concludes that Sec.  11.52 of the Commission's 
rules should be amended to require that EAS Participants monitor the 
Really Simple Syndication 2.0 feed(s) utilized by: (i) FEMA's 
Integrated Public Alert and Warning System for federal CAP-formatted 
messages; and (ii) state alert systems as the source of governor-
originated CAP messages (provided these are described in the State Area 
EAS Plan submitted to and approved by the Commission).
     Proposes that the language from the Second Report and 
Order 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.

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     Seeks comment on whether EAS Participants should be 
permitted to meet their CAP-related obligations by deploying 
intermediary devices that essentially would carry out the function of 
receiving and decoding a CAP-formatted message, and translating and 
encoding such message into a SAME-formatted message that could then be 
inputted into a legacy EAS device via its audio port (just as an over-
the-air SAME-formatted message would be) for broadcast over the EAS 
Participant's transmission platform.
     Seeks comment on whether adding a requirement to Sec.  
11.32(a) of the Commission's rules that EAS encoders must be capable of 
encoding a CAP-formatted message (i.e., originating or somehow 
transmitting a message in the CAP format as opposed to the SAME format) 
would be necessary or appropriate.
     Seeks comment on whether the input and output 
configuration requirements in Sec. Sec.  11.32(a)(2) and (a)(3) of the 
Commission's rules should be modified to include a requirement for a 
single Ethernet port and eliminate the existing requirements for 1200 
baud RS-232C interface.
     Seeks comment on whether the minimum requirements for 
decoders in Sec.  11.33(a) of the Commission's rules should include the 
capability to decode CAP-formatted messages and convert them into SAME 
protocol-compliant messages, and whether this requirement can be met 
through the deployment of an intermediary device.
     Seeks comment on whether the input and output 
configuration requirements in Sec. Sec.  11.33(a)(1) and (a)(7) of the 
Commission's rules should be modified to include a requirement for a 
single Ethernet port and eliminate the existing requirements for 1200 
baud RS-232C interface.
     Seeks comment on whether Sec.  11.33(a)(4) of the 
Commission's rules should be modified 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.
     Tentatively concludes that there is no basis for revising 
Sec.  11.33(a)(10) of the Commission's rules to require processing of 
CAP-formatted messages by default when duplicate messages are received 
in both the EAS Protocol and CAP formats, as recommended by the 
Communications Security, Reliability, and Interoperability Council 
(CSRIC), if EAS Participants are required to translate CAP-formatted 
messages into SAME-formatted messages in conformance with the ECIG 
Implementation Guide.
     Seeks comment on whether Sec.  11.33(a)(11) of the 
Commission's rules should be updated to specify that a CAP-formatted 
message containing a header code with the EAN event code received 
through a non-audio input must override all other messages.
     Seeks comment on whether the text of Sec.  11.11(a) of the 
Commission's rules should be amended to include as a minimum 
requirement compliance with the CAP-related requirements in Sec.  11.56 
of the Commission's rules, and whether the reference to ``analog 
television broadcast stations'' should be deleted.
     Seeks comment, with respect to the equipment deployment 
tables in Sec.  11.11 of the Commission's rules, on whether: For CAP 
purposes, the tables should be revised by adding a footnote to the 
``EAS decoder'' entries in the tables, indicating that EAS Participants 
may elect to meet their obligation to receive and translate CAP-
formatted messages by deploying an intermediary device in addition to 
the EAS decoder used to decode messages transmitted in the EAS 
Protocol; the date references in the tables (as well as cross-
references to these dates in other sections of Part 11, such as 
Sec. Sec.  11.51(c) and (d) of the Commission's rules), along with the 
entry for two-tone encoders, should be deleted; the tables covering 
analog, wireless, and digital cable and wireline video systems can be 
combined into a single table, as well as any other revisions the 
Commission could make to Sec.  11.11 of the Commission's rules to 
streamline it and make it easier to follow.
     Seeks comment on whether the monitoring requirements in 
Sec.  11.52 of the Commission's rules or references thereto should be 
incorporated into Sec.  11.11 of the Commission's rules.
     Seeks comment on whether the language of Sec.  11.20 of 
the Commission's rules requires a specific reference to CAP alerts and/
or CAP relay networks, and whether CAP monitoring requirements need to 
be incorporated into Sec.  11.20 of the Commission's rules.
     Tentatively concludes that the language in Sec.  11.21(a) 
of the Commission's rules should be revised to make clear that the 
State Area 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 of the Commission's rules.
     Tentatively concludes that the text of Sec. Sec.  11.21(a) 
and 11.55(a) of the Commission's rules should be revised to make clear 
that they apply to CAP-formatted EAS messages.
     Seeks comment on whether the FCC Mapbook content 
requirements in Sec.  11.21(c) of the Commission's rules should be 
revised to identify federal and state CAP message origination and 
distribution, and whether alert message distribution should be 
delineated in terms of how the EAN is distributed from the PEP/NP to 
the PN/NN stations in the state as opposed to generating a list of each 
individual station in the state.
     Seeks comment on whether, in light of the tentative 
conclusion to require conversion of CAP-formatted messages into the 
existing EAS Protocol, there would be any utility to changing the 
language in Sec.  11.31(a) of the Commission's rules to better reflect 
CAP's capabilities.
     Tentatively concludes that it is unnecessary to include a 
CAP-receiving requirement in Sec.  11.35(a) of the Commission's rules.
     Seeks comment on whether any revisions to Sec.  11.45 of 
the Commission's rules are needed to accommodate CAP-formatted 
messages.
     Tentatively concludes that, assuming EAS Participants 
should only be required at this time to be capable of retrieving CAP-
formatted Federal EAS alerts from RSS feeds and converting them into 
SAME-compliant messages for transmission to the public (and, as 
applicable and technically feasible, encoding them in SAME for 
rebroadcast), there would be no basis for revising Sec.  11.51 of the 
Commission's rules to require EAS Participants to transmit (or 
``render'') a CAP-compliant message, as recommended by CSRIC.
     Seeks comment on whether the SAME-based protocol codes 
should continue to be used as the baseline for deriving the visual EAS 
message requirements in Sec. Sec.  11.51(d), (g)(3), (h)(3), and (j)(2) 
of the Commission's rules.
     Seeks comment on whether CSRIC's recommendation to mandate 
that CAP-formatted messages be broadcast only if the scope of the alert 
is ``Public'' should be adopted.
     Seeks comment on whether, to the extent that Sec.  
11.54(b)(1) of the Commission's rules is retained in the final rules 
that result from this proceeding, the language in Sec.  11.54(b)(1) of 
the Commission's rules should be revised to reflect federal CAP 
monitoring obligations by adding a cross-reference to the monitoring 
requirements in Sec.  11.52 of the Commission's rules or whether this 
section should be otherwise revised.

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     Seeks comment on whether and how compliance with respect 
to CAP functionality should be incorporated into the Commission's 
existing certification scheme.
     Tentatively concludes that it would be inappropriate to 
incorporate conformance with the CAP v1.2 USA IPAWS Profile v1.0 into 
the Commission's certification process.
     Seeks comment on whether and how the Commission should 
certify equipment conformance with the ECIG Implementation Guide, 
including whether and how conformance testing for the ECIG 
Implementation Guide might be implemented.
     Seeks comment generally as to whether the current FCC 
certification process is sufficient or whether there are any revisions 
specific to EAS equipment that would make that process more effective 
and efficient.
     Seeks comment on whether intermediary devices should 
classified as stand-alone devices as opposed to modifications to 
existing equipment.
     Seeks comment on the certification requirements that 
should apply to modified EAS equipment.
     Seeks comment on whether the September 30, 2011, deadline 
for CAP-compliance set forth in the Waiver Order is sufficient or 
whether the Commission should extend or modify it to be triggered by 
some action other than FEMA's adoption of CAP.
     Tentatively concludes that the obligation to receive and 
transmit CAP-formatted messages initiated by state governors applies 
only to the extent that such CAP messages have been formatted using the 
CAP standard adopted by FEMA for federal CAP messages--specifically, 
OASIS CAP Standard v1.2 and CAP v1.2 USA IPAWS Profile v1.0.
     Tentatively concludes that the obligation to receive and 
transmit only CAP-formatted messages initiated by state governors 
necessitates that such CAP messages will be translated into SAME-
compliant messages consistent with the CAP-to-SAME translation standard 
adopted for federal CAP messages--specifically, the ECIG Implementation 
Guide.
     Seeks comment as to whether a new origination and/or event 
code would be required to fully implement the obligation of EAS 
Participants to process CAP-formatted messages initiated by state 
governors and, if so, what those codes should be.
     Seeks comment on whether the current obligation to process 
CAP-formatted messages delivered by the governor of the state in which 
the EAS Participant is located should be revised to include governors 
of any adjacent states in which the EAS Participant provides service.
     Tentatively concludes that the geo-targeting requirement 
associated with mandatory state governor alerts shall be defined, at 
least for the time being, by the location provisions in the EAS 
Protocol.
     Invites comment on whether local, county, tribal, or other 
state governmental entities should be allowed to initiate mandatory 
state and local alerts and how the Commission should decide which 
public officials should be permitted to activate such alerts.
     Seeks comment on whether the obligation to process CAP-
formatted messages initiated by state governors should apply to Non-
Participating National stations.
     Seeks comment on whether Sec.  11.33(a)(9) of the 
Commission's rules should be revised to accommodate gubernatorial CAP-
formatted messages.
     Seeks comment on whether there is any practical need to 
provide, in Sec.  11.44 of the Commission's rules or elsewhere, 
gubernatorial CAP-formatted messages with priority over local EAS 
messages and whether such a scheme is technically feasible.
     Seeks comment on whether and how Sec.  11.51(m) of the 
Commission's rules should be amended to incorporate the obligation to 
process CAP-formatted messages initiated by state governors.
     Seeks comment generally regarding whether the procedures 
for processing EANs set forth in Sec.  11.54 of the Commission's rules 
and related part 11 rule sections should be substantially simplified so 
that EAS Participants process EANs like any other EAS message, only on 
a mandatory and priority basis.
     Seeks comment on whether the option for EAS Participants 
to manually process EANs (but not state or local EAS messages) should 
be eliminated.
     Seeks comment on whether the EAT should be eliminated and 
replaced where necessary with the EOM in the part 11 rules.
     Seeks comment on whether Sec. Sec.  11.54(b)(1), (b)(3), 
(b)(4), (b)(10), and 11.54(c) of the Commission's rules should be 
deleted.
     Seeks comment on whether Sec.  11.42 of the Commission's 
rules should be deleted.
     Seeks comment on whether the EAS Operating Handbook should 
be deleted and, if so, whether EAS Participants should be required to 
maintain within their facilities a copy of the current, FCC-filed and 
approved versions of the State and Local Area EAS Plans.
     Seeks comment on whether Sec. Sec.  11.54(a), (b)(2), and 
(b)(5) through (b)(8) of the Commission's rules should be deleted.
     Seeks comment on whether Sec.  11.44 of the Commission's 
rules should be deleted.
     Seeks comment on whether, to the extent it should not be 
deleted, Sec.  11.53 of the Commission's rules should be revised to 
incorporate CAP-formatted EAN messages.
     Seeks comment on whether, if streamlined EAN processing 
were adopted, Sec.  11.11(a) of the Commission's rules should be 
revised 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.''
     Seeks comment on whether Sec. Sec.  11.16 and 11.54(b)(12) 
of the Commission's rules should be deleted.
     Seeks comment on whether the definition for LP-1 stations 
in Sec.  11.2(b) of the Commission's rules should be revised to reflect 
that these stations can be a radio or TV station.
     Tentatively concludes that Sec.  11.14 of the Commission's 
rules should be deleted.
     Seeks comment, with respect to the PEP system definition 
in Sec.  11.2(a) of the Commission's rules, on whether the use of 
actual numbers to reflect the number of PEP stations should be 
eliminated, and whether the language in Sec.  11.2(a) of the 
Commission's rules should be revised to clarify that the PEP stations 
distribute the EAN, EAS national test messages, and other EAS messages 
in accordance with the EAS Protocol requirements in Sec.  11.31 of the 
Commission's rules.
     Seeks comment on whether Sec.  11.13 of the Commission's 
rules should be deleted and whether the definition for the EAN 
currently in Sec.  11.13 of the Commission's rules should be moved to 
Sec.  11.2 of the Commission's rules.
     Tentatively concludes that 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 Sec. Sec.  
11.31 and 11.34(d) of the Commission's rules should be replaced by 
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 that superseded it.
     Seeks comment on whether some or all of the current 
provisions relating to the Attention Signal in Sec. Sec.  11.32(a)(9)

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and 11.33(b) of the Commission's rules can be deleted in favor of 
relying upon the minimal standard currently set forth in the EAS 
Protocol (at Sec.  11.31(a)(2) of the Commission's rules) and, if so, 
which of the equipment-related Attention Signal requirements in 
Sec. Sec.  11.32(a)(9) and 11.33(b) of the Commission's rules should be 
incorporated into Sec.  11.31(a)(2) of the Commission's rules.
     Seeks comment on whether the Attention Signal should be 
deleted from the part 11 rules altogether.
     Tentatively concludes that Sec.  11.12 of the Commission's 
rules should be deleted.
     Seeks comment on whether Sec.  11.39(a)(9) of the 
Commission's rules and/or other part 11 rule sections should be amended 
to make clear that an encoder should not transmit an EAS message that 
has been canceled via reset, or whether encoders should be permitted to 
air EAS messages that have been canceled via reset.
     Seeks comment on whether Sec.  11.33(a)(3)(ii) of the 
Commission's rules should be revised by eliminating 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.
     Tentatively concludes that the analog and digital 
broadcast station equipment deployment table in Sec.  11.11(a) of the 
Commission's rules should be corrected so that ``LPFM'' and ``LPTV'' 
are identified with the columns listing the requirements for those 
categories, and that ``LPFM'' is included in Sec. Sec.  11.61(a)(1)(i) 
and 11.61(a)(2)(ii) of the Commission's rules.
     Tentatively concludes that the Commission cannot provide 
training for state and local emergency managers.
     Seeks comment on whether CAP's expansive capacity for 
relaying information could be leveraged within the existing technical 
framework of the EAS to improve access to emergency information to the 
public generally, and in particular, to persons with disabilities.

B. Legal Basis

    4. Authority for the actions proposed in the Third FNPRM may be 
found in sections 1, 4(i), 4(o), 303(r), 403, 624(g), and 706 of the 
Communications Act of 1934, as amended, (Act) 47 U.S.C. 151, 154(i), 
154(j), 154(o), 303(r), 544(g), and 606.

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 describes 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 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 proposed rules and policies potentially will 
apply to all AM and commercial FM radio broadcasting licensees and 
potential licensees. 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,

[[Page 35814]]

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 1,000 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 rules adopted pursuant to the Third 
FNPRM.
    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 
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 1,000 employees or 
more. Thus, under this size standard, most cable systems are small and 
may be affected by rules adopted pursuant to the Third FNPRM. In 
addition, the Commission notes 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 in 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 
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

[[Page 35815]]

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 proposed rules 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 proposed rules.
    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 it 
emphasizes that this RFA action has no effect on Commission 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 
proposed rules.
    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 that 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

[[Page 35816]]

Telecommunications firms are small entities that might be affected the 
proposed actions in the Third FNPRM.
    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 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 possible revisions to current part 11 reporting or 
recordkeeping requirements proposed in this Third FNPRM, specifically 
as regards:
     Potential revisions modifying Sec.  11.33(a)(4) of the 
Commission's rules 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.
     The Commission's tentative conclusion that the language in 
Sec.  11.21(a) of the Commission's rules should be revised 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 thus is not expected to alter the reporting 
burden to any appreciable degree. The revision will ensure the accuracy 
of EAS operational documents and thus contribute to public safety. 
Accordingly, the Commission believes the revision to be necessary.
    25. The proposals set forth in the Third FNPRM are intended to 
advance the Commission's 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 already are required to comply with the CAP-
related obligations set forth in Sec. Sec.  11.55 and 11.56 of the 
Commission's rules. The Third FNPRM seeks comment on dozens of 
potential revisions to part 11 of the Commission's rules that are 
necessary in order for EAS Participants to meet these existing 
obligations and, more generally, to streamline and make more efficient 
the operation of the EAS. The majority of the rule revisions under 
consideration 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 adopted in the Second Report and Order in this 
proceeding. 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, which confers a direct benefit on small entities. For 
example, the rule revisions under consideration would maintain the 
existing EAS architecture and potentially 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 proposed revisions to EAN processing 
would make the part 11 rules simpler both to understand and implement 
within equipment designs. Because the proposed revisions are required 
to implement existing obligations within part 11, no alternatives were 
considered. However, commenters are 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 are invited to propose alternatives that serve the goal of 
minimizing the impact on small entities.

F. Federal Rules That May Duplicate, Overlap, or Conflict With the 
Proposed Rules

    28. None.

Synopsis of the Third FNPRM

    1. In the Third FNPRM, the Commission seeks comment on several 
proposed changes to its Part 11 Emergency Alert System (EAS) rules to 
more fully codify the Common Alerting Protocol (CAP)-related 
obligations adopted in the Second Report and Order (Second Report and 
Order) and to eliminate outdated rules to improve part 11's overall 
effectiveness.
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

[[Page 35817]]

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 
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.
    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.
    6. 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.
    7. 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.
    8. 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 that 
extended the 180-day deadline for meeting the CAP-related obligations 
until September 30, 2011 (the Waiver Order).
II. Discussion
    9. The Third FNPRM builds on the foregoing efforts by seeking 
comment on what changes the Commission should make 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. The specific rule changes proposed for 
consideration in the Third FNPRM are included in the rules section.
    10. The tentative conclusions, proposed rule changes and other 
proposals set forth in the Third FNPRM are summarized below. With 
respect to each, the Commission invites general comments as well as 
comments directed specifically at their technical and operational 
effectiveness. The Commission also seeks comment on whether these 
tentative conclusions, proposed rule changes and other proposals are 
sufficient to capture the overall goals of this proceeding; whether 
they are necessary; their potential costs and benefits; how any 
requirements under consideration might be tailored to impose the least 
amount of burden on those affected; and what explicit performance 
objectives, if any, should be specified to facilitate monitoring the 
success of any potential course of action.

A. Scope of CAP-Related Part 11 Revisions

    11. The Commission's tentative view is that while the EAS Protocol 
is more limited regarding the information it can convey than CAP, the 
many benefits of maintaining the legacy EAS previously outlined by the 
Commission in the Second Report and Order continue to apply today. 
Moreover, FEMA has stated that the legacy EAS will continue to provide 
a nationwide alerting mechanism to operate as part of its IPAWS system. 
Further, even after IPAWS is deployed, it is not clear that state 
alerting authorities and personnel involved with initiating state 
alerts will be able to initiate anything other than SAME-formatted 
messages for some time, and we observe that NWS has yet to indicate a 
date by which it will be switching to a CAP-based alerting format. 
Thus, 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 could be detrimental to the entities that utilize 
the EAS the most: states and NWS. Finally, FEMA has adopted the 
standards necessary for formatting alert messages into CAP and 
translating such CAP-formatted messages into SAME-compliant messages; 
thus, the groundwork for implementing CAP-formatted alert initiation 
within the existing EAS system is already in place.
    12. Accordingly, the Commission tentatively concludes that, for the 
time being, it will continue the approach adopted in the Second Report 
and Order and maintain the existing legacy EAS, including utilization 
of the SAME protocol. To be clear, under this transitional approach, 
the CAP-related changes to Part 11 addressed in this item are designed 
to permit EAS Participants to process and transmit CAP-formatted 
messages over the existing EAS, but subject to the technical 
requirements and limitations of the existing EAS (i.e., the CAP-
formatted message will be converted into and broadcast--and to the 
extent feasible, encoded for rebroadcast--in the SAME format) until the 
Next Generation EAS has been fully deployed and is ready to replace (or 
operate in parallel with) the existing EAS. The Commission also 
tentatively concludes that it will defer to its planned Notice of 
Inquiry on Broadband Alerting consideration of what changes, if any, to 
the part 11 rules may be necessitated by the adoption of a CAP-based 
Next Generation EAS alerting system that might replace or operate in 
parallel with the current EAS. The Commission seeks comment on these 
tentative conclusions.

B. Obligation To Accept CAP Messages

    13. CAP-Formatted Message Translation to SAME. To ensure greater

[[Page 35818]]

uniformity in the output of devices subject to Part 11, the Commission 
tentatively concludes that it should amend Sec.  11.56 of the 
Commission's rules to require EAS Participants to convert CAP-formatted 
EAS messages into SAME-compliant EAS messages in accordance with the 
ECIG Implementation Guide. Adopting the ECIG Implementation Guide as 
the standard for translating CAP-formatted messages into SAME-compliant 
messages should harmonize CAP elements with the part 11 rules, thus 
ensuring that CAP-formatted EAS messages are converted into SAME-
compliant messages in a consistent manner across devices and delivery 
platforms. The Commission seeks comment on this proposal.
    14. CAP-Related Monitoring Requirements. As a preliminary matter, 
the Commission observes that the technical construction and 
distribution methodologies of CAP messages are different from SAME 
messages. For example, SAME-formatted messages are AFSK-modulated data 
messages that are received by monitoring the over-the-air broadcasts of 
designated broadcast stations. CAP messages are IP-based data packets 
that can be distributed using various distribution models. FEMA has 
indicated that the IPAWS system will employ Really Simple Syndication, 
version 2.0 (RSS), to distribute CAP-formatted alerts to EAS 
Participants. Under this alert distribution model, RSS-configured EAS 
equipment will poll FEMA's RSS source at periodic intervals (programmed 
into the EAS equipment by the EAS Participant), and any pending CAP 
messages will be sent via the RSS feed to the EAS equipment. The CAP 
message will be wholly contained within the RSS file's ``description'' 
field, and EAS equipment will extract the CAP data in accordance with 
the ECIG Implementation Guide to ensure an EAS Protocol-compliant 
output. Accordingly, the Commission tentatively concludes that it 
should amend Sec.  11.52 of the Commission's rules to include a 
requirement that EAS Participants monitor FEMA's IPAWS RSS feed(s) for 
federal CAP-formatted messages. The Commission seeks comment on this 
tentative conclusion.
    15. The Commission did not specify monitoring requirements for CAP-
formatted messages initiated by state governors (or their designees) in 
the Second Report and Order, although it did require that the State 
Area EAS Plan submitted for FCC approval specify the methodology for 
aggregating and delivering such messages. The Commission proposes that 
EAS equipment should only be required to employ the same monitoring 
functionality for state CAP messages that are used for federal CAP 
messages (i.e., RSS). Accordingly, the Commission tentatively concludes 
that it should amend Sec.  11.52 of the Commission's rules to include a 
requirement that EAS Participants monitor the RSS feed(s) designated by 
a state as the source of governor-originated CAP messages (and 
identified in the state's EAS Plan submitted to and approved by the 
Commission). The Commission seeks comment on this proposal.
    16. 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.'' The Commission incorporated this obligation into Sec.  
11.56 of the Commission's rules, which provides that ``all EAS 
Participants must be able to receive CAP-formatted EAS alerts * * * 
after FEMA publishes the technical standards and requirements for such 
FEMA transmissions.''
    17. In the Third FNPRM, the Commission clarifies that the above-
quoted language from the Second Report and Order 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. The Commission further clarifies that the intent behind the 
language was not to permit FEMA to create or modify existing 
requirements via publication or adoption of a technical standard. 
Rather, the general intent was to revise the existing Part 11 rules to 
permit initiation and carriage of CAP-based alert messages over the 
existing EAS, subject to the technical requirements and limitations of 
the existing EAS, until such time as the Next Generation EAS has been 
fully deployed. The Commission further indicates that whatever 
obligations may arise with respect to the Next Generation EAS will be 
addressed in future proceedings. The Commission seeks comment on 
whether further clarification of the EAS Participants' obligation to 
receive and process CAP-formatted EAS messages delivered over Next 
Generation EAS distribution systems is necessary.
    18. Equipment Requirements. The Third FNPRM seeks comment on 
several CAP-related proposals related to EAS equipment, as summarized 
below.
    19. Intermediary Devices. The Commission seeks comment on whether 
EAS Participants should be permitted to meet their CAP-related 
obligations by deploying intermediary devices that would carry out the 
function of receiving and decoding the CAP-formatted messages, 
translating those messages into SAME format, and then feeding that 
SAME-formatted message into a legacy EAS device for transmission over 
the EAS Participant's transmission platform.
    20. The Commission observes that these devices would appear to 
receive a CAP-based alert and encode it into a SAME-formatted message 
that is fed into the audio input of the EAS Participant's legacy EAS 
equipment, just as if that message had been received over-the-air from 
another station. Accordingly, in addition to comments generally on this 
topic, the Commission seeks comment on whether intermediary devices 
should be subject to some or all of the encoder requirements set forth 
in Sec.  11.32 of the Commission's rules and the transmission 
requirements in Sec.  11.51 of the Commission's rules and/or the 
decoder requirements set forth in Sec.  11.33 of the Commission's rules 
and the monitoring requirements in Sec.  11.52 of the Commission's 
rules.
    21. Section 11.32(a). With respect to Sec.  11.32(a) of the 
Commission's rules, the Commission seeks comment on whether adding a 
requirement that EAS encoders be required to be capable of encoding a 
CAP-formatted message (i.e., originating or somehow transmitting a 
message in the CAP format as opposed to the SAME format) would be 
necessary or appropriate.
    22. Section 11.32(a)(2) and (a)(3). The Commission seeks comment on 
whether it should modify the input and output configuration 
requirements in Sec. Sec.  11.32(a)(2) and (a)(3) of the Commission's 
rules to include a requirement for a single Ethernet port and eliminate 
the existing requirements for 1200 baud RS-232C interface.
    23. Section 11.33(a). The Commission seeks comment on whether the 
minimum requirements for decoders in Sec.  11.33(a) of the Commission's 
rules should include the capability to decode CAP-formatted messages 
and convert them into SAME protocol-compliant

[[Page 35819]]

messages, and whether this requirement can be met through the 
deployment of an intermediary device.
    24. Section 11.33(a)(1) and (a)(7). The Commission seeks comment on 
whether it should modify the input and output configuration 
requirements in Sec. Sec.  11.33(a)(1) and (a)(7) of the Commission's 
rules to include a requirement for a single Ethernet port and eliminate 
the existing requirements for 1200 baud RS-232C interface.
    25. Section 11.33(a)(4). The Commission seeks comment on whether it 
should amend Sec.  11.33(a)(4) of the Commission's rules 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.
    26. Section 11.33(a)(10). With respect to CSRIC's recommendation to 
revise Sec.  11.33(a)(10) of the Commission's rules such that when 
duplicate messages are received in both the EAS Protocol and CAP 
formats, the CAP message is processed by default, the Commission 
tentatively concludes that no such revision would be required if it 
were to require EAS Participants to translate CAP-formatted messages 
into SAME-formatted messages in conformance with the ECIG 
Implementation Guide. The Commission seeks comment on this tentative 
conclusion.
    27. Section 11.33(a)(11). The Commission seeks comment as to 
whether it should update Sec.  11.33(a)(11) of the Commission's rules 
to specify that a CAP-formatted message containing a header code with 
the EAN event code received through a non-audio input must override all 
other messages.
    28. Miscellaneous Rule Changes Related to Fully Implementing CAP. 
The Third FNPRM seeks comment on several miscellaneous proposals 
related to more fully implementing CAP within Part 11, as summarized 
below.
    29. Section 11.1. The Commission seeks comment on whether Sec.  
11.1 of the Commission's rules should be revised to include CAP alert 
originators, such as state governors, as entities for whom the EAS 
provides a means of emergency communication with the public in their 
state or local area, or whether the language currently in Sec.  11.1 of 
the Commission's rules is broad enough to capture these entities.
    30. Section 11.11. The Commission seeks comment on whether it 
should amend 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 whether it 
should delete the reference to ``analog television broadcast stations'' 
from Sec.  11.11 of the Commission's rules entirely.
    31. With respect to the equipment deployment tables in Sec.  11.11 
of the Commission's rules, the Commission seeks comment on whether, for 
CAP purposes, it should amend these by adding a footnote to the ``EAS 
decoder'' entries in the tables, indicating that EAS Participants may 
elect to meet their obligation to receive and translate CAP-formatted 
messages by deploying an intermediary device in addition to the EAS 
decoder used to decode messages transmitted in the EAS Protocol. The 
Commission further seeks comment on whether it should delete the date 
references in the equipment deployment tables (as well as cross-
references to these dates in other sections of Part 11, such as 
Sec. Sec.  11.51(c) and (d) of the Commission's rules), along with the 
entry for two-tone encoders. The Commission also seeks comment on 
whether the equipment deployment tables covering analog, wireless, and 
digital cable and wireline video systems can be combined into a single 
table, as well as any other revisions to Sec.  11.11 of the 
Commission's rules to streamline it and make it easier to follow. 
Finally, the Commission seeks comment on whether it should incorporate 
the CAP monitoring requirements or references thereto into Sec.  11.11 
of the Commission's rules.
    32. Section 11.20. The Commission seeks comment on whether the 
language of Sec.  11.20 of the Commission's rules requires a specific 
reference to CAP alerts and/or CAP relay networks. The Commission also 
seeks comment on whether there is a need to incorporate CAP monitoring 
into Sec.  11.20 of the Commission's rules.
    33. Section 11.21. The Commission tentatively concludes that it 
should revise the language in Sec.  11.21(a) of the Commission's rules 
to make clear that the State Area 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 of the Commission's rules. The Commission 
seeks comment on this tentative conclusion.
    34. With respect to the State Area EAS Plan requirements in Sec.  
11.21(a) of the Commission's rules, the Commission observes that this 
section does not specify that the obligation to process alert messages 
initiated by state governors only applies to CAP-formatted messages. 
The same omission also occurs in Sec.  11.55(a) of the Commission's 
rules. Because these were inadvertent omissions, the Commission 
tentatively concludes that it should amend the text of both sections to 
make clear that they apply to CAP-formatted EAS messages. The 
Commission seeks comment on this tentative conclusion.
    35. With respect to the FCC Mapbook content requirements in Sec.  
11.21(c) of the Commission's rules, the Commission seeks comment on 
whether and, if so, how it should revise these requirements to identify 
federal and state CAP message origination and distribution. Also with 
respect to Sec.  11.21(c) of the Commission's rules, the Commission 
seeks comment on whether alert message distribution should be 
delineated in terms of how the EAN is distributed from the PEP/NP to 
the PN/NN stations in the state as opposed to generating a list of each 
individual station in the state.
    36. Section 11.31(a)(3). In light of its tentative conclusion to 
require conversion of CAP-formatted messages into the existing EAS 
Protocol, the Commission seeks comment on whether there would be any 
utility to changing the language in Sec.  11.31(a) of the Commission's 
rules to better reflect CAP's capabilities.
    37. Section 11.35(a). The Commission tentatively concludes that it 
is unnecessary to include a CAP-receiving requirement in Sec.  11.35(a) 
of the Commission's rules, and seeks comment on this tentative 
conclusion.
    38. Section 11.45. The Commission seeks comment on whether it 
should make any revisions to Sec.  11.45 of the Commission's rules to 
accommodate CAP-formatted messages.
    39. Section 11.51. In light of its tentative conclusion that EAS 
Participants should only be required at this time to be capable of 
retrieving CAP-formatted Federal EAS alerts and converting them into 
SAME-compliant messages for transmission to the public, the Commission 
further tentatively concludes that there is no basis for adopting 
CSRIC's recommendation to revise the language in Sec.  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 seeks comment on this tentative conclusion.
    40. With respect to Sec. Sec.  11.51(d), (g)(3), (h)(3), and (j)(2) 
of the Commission's rules, the Commission seeks comment on whether it 
should continue to use the SAME-based protocol codes as the baseline 
for deriving the visual EAS message requirements in Sec.  11.51 of the 
Commission's rules.
    41. Section 11.54. The Commission seeks comment on whether to adopt

[[Page 35820]]

CSRIC's recommendation to mandate that CAP-formatted messages be 
broadcast only if the scope of the alert is ``Public.'' To the extent 
that Sec.  11.54(b)(1) of the Commission's rules is retained in the 
final rules that result from this proceeding, the Commission seeks 
comment regarding whether it should revise the language to reflect 
federal CAP monitoring obligations by adding a cross-reference to the 
monitoring requirements in Sec.  11.52 of the Commission's rules or 
otherwise revise this section of the rules.

C. EAS Equipment Certification

    42. The Commission seeks comment on whether and how it should 
incorporate compliance with respect to CAP functionality into the 
Commission's existing certification scheme. The Commission observes 
that there appears to be two CAP-related standards with which 
conformance could be certified: (i) CAP v1.2 USA IPAWS Profile v1.0; 
and (ii) the ECIG Implementation Guide. Because the primary users of 
the CAP v1.2 USA IPAWS Profile v1.0 standard are CAP-based alert 
message originators, as opposed to EAS Participants, and because under 
the Commission's tentative conclusion to maintain a SAME-only output 
for the EAS, the Part 11 rules would not cover CAP message originating 
equipment, the Commission tentatively concludes that it would be 
inappropriate to incorporate conformance with the CAP v1.2 USA IPAWS 
Profile v1.0 into the Commission's certification process. The 
Commission seeks comment on this tentative conclusion.
    43. With respect to the ECIG Implementation Guide, the Commission 
asks whether it would be appropriate for it to certify conformance with 
this document, and if so, whether and how it should implement 
conformance testing to demonstrate compliance with the ECIG 
Implementation Guide. Regardless of whether compliance with the ECIG 
Implementation Guide is adopted as a component of FCC certification, 
the Commission seeks comment generally as to whether the current FCC 
certification process is sufficient or whether there are any revisions 
specific to EAS equipment that would make that process more effective 
and efficient.
    44. The Commission also seeks comment on whether it should classify 
intermediary devices stand-alone devices, as opposed to modifications 
to existing equipment, which would make them subject to the same 
certification requirements that apply to stand-alone decoders and 
encoders (i.e., equipment that carries out all the functions required 
for an EAS Participant to meet its EAS obligations, including 
compliance with any applicable portions of the part 11 and part 15 
rules, including compliance with ECIG Implementation Guide, if 
required). Finally, the Commission seeks comment on the certification 
requirements that should apply to modified EAS equipment.

D. 180-Day CAP Reception Deadline

    45. The Commission seeks comment on whether the current September 
30, 2011, deadline for CAP-compliance adopted in the Waiver Order is 
sufficient or whether the Commission should extend or modify it so it 
is triggered by some action other than FEMA's adoption of CAP, such as 
implementation by the Commission of revised certification rules.

E. CAP Messages Originated by State Governors

    46. Basic Obligation to Receive and Transmit Gubernatorial CAP 
Messages. As a threshold matter, the Commission observes that, while 
its rules require EAS Participants to process gubernatorial CAP-
formatted EAS messages, some measure of uniformity appears warranted to 
ensure that EAS equipment does not need to be designed to accommodate 
multiple variations of state CAP systems that might be deployed now or 
in the future. The Commission observes that the intent behind its CAP-
related obligations has never been to require that EAS Participants 
deploy multiple variations of EAS equipment to meet their basic CAP-
related obligations. The Commission observes that its efforts instead 
have been directed primarily towards implementing rules that will 
enable and obligate the processing of federal CAP-formatted alert 
messages over the existing EAS. Against this backdrop, the Commission 
sought to provide an incentive for state governors to similarly obtain 
mandatory processing of their CAP-formatted messages when (and only 
when) they deploy systems that are fully compatible with federal CAP 
systems.
    47. Accordingly, the Commission tentatively concludes that the 
obligation to receive and transmit CAP-formatted messages initiated by 
state governors applies only to the extent that such CAP messages have 
been formatted using the CAP standard adopted by FEMA for federal CAP 
messages--specifically, OASIS CAP Standard v1.2 and CAP v1.2 USA IPAWS 
Profile v1.0. The Commission also observes that EAS Participants, 
working with state alerting authorities, may voluntarily deploy a state 
CAP message receiving capability that differs from the basic 
requirement to receive CAP messages formatted pursuant to the standards 
adopted by FEMA. The Commission seeks comment on this tentative 
conclusion.
    48. The Commission also tentatively concludes that the obligation 
to receive and transmit only CAP-formatted messages initiated by state 
governors necessitates that such CAP messages will be translated into 
SAME-compliant messages consistent with the CAP-to-SAME translation 
standard adopted for federal CAP messages--specifically, the ECIG 
Implementation Guide. The Commission observes that EAS Participants, 
working with state alerting authorities, may voluntarily implement a 
capability to translate CAP messages in a manner that differs from this 
basic requirement. The Commission also observes, however, a state must 
fully describe any state CAP system in a State Area EAS Plan submitted 
to the Commission for approval. The Commission seeks comment on this 
tentative conclusion.
    49. Gubernatorial CAP Message Originator and Event Codes. The 
Commission seeks comment as to whether new origination and/or event 
codes are required to fully implement the obligation of EAS 
Participants to process CAP-formatted messages initiated by state 
governors and, if so, what those codes should be. The Commission also 
seeks comment on how adoption of new originator and/or event codes 
might impact the existing base of deployed EAS equipment.
    50. Geographic Application and Targeting of Gubernatorial CAP 
Messages. The Commission seeks comment on whether it should revise the 
current obligation to process CAP-formatted messages delivered by the 
governor of the state in which the EAS Participant is located to 
include governors of any adjacent states in which the EAS Participant 
provides service.
    51. With respect to geo-targeting, the Commission observes that 
under its tentative conclusion that, for the time being, CAP messages 
must be converted into SAME-compliant messages, the geo-targeting 
capabilities for state CAP-formatted messages will be defined by the 
geographic codes set forth in Sec.  11.31(f) of the Commission's rules. 
Accordingly, the Commission tentatively concludes that the geo-
targeting requirement associated with mandatory state governor alerts 
shall be defined, at least for the time being, by the location 
provisions in the EAS

[[Page 35821]]

Protocol. The Commission seeks comment on this tentative conclusion.
    52. Governor's ``Designee.'' The Commission observes that the 
obligation to process gubernatorial CAP messages currently only applies 
to CAP-formatted EAS messages initiated by a state governor (or the 
governor's designee), or by FEMA (or its designee) on behalf of a 
state. The Commission also observes that the question of whether local, 
county, tribal, or other state governmental entities should be allowed 
to serve as governor designees, thus initiating mandatory processing of 
gubernatorial CAP alerts, and how the Commission should decide which 
public officials should be permitted to activate such alerts, is still 
pending. The Commission indicated that pending a final resolution of 
this issue, local, county, tribal, or other state governmental entities 
will continue to be ineligible to serve as designees for purposes of 
initiating CAP-formatted messages on behalf of state governors. In the 
meantime, the Commission invites additional comment on this issue.
    53. Non-Participating National (NN) Sources. The Commission seeks 
comment on whether the obligation to process CAP-formatted messages 
initiated by state governors should apply to NN stations. 
Alternatively, the Commission asks whether it should eliminate NN 
status altogether, in which case all EAS Participants would be required 
to transmit both the Presidential EAS messages and the CAP-formatted 
EAS messages initiated by state governors.
    54. Section 11.33(a)(9). Although not raised by CSRIC or the 
parties responding to the Part 11 Public Notice, the Commission seeks 
comment as to whether it should revise Sec.  11.33(a)(9) of the 
Commission's rules to accommodate gubernatorial CAP-formatted messages.
    55. Section 11.44. Assuming that the Commission does not delete 
Sec.  11.44 of the Commission's rules pursuant to its proposals aimed 
at streamlining the processing of EANs, it seeks comment on whether 
there is any practical need to revise Sec.  11.44 of the Commission's 
rules to provide gubernatorial CAP-formatted messages with priority 
over local EAS messages and whether such a scheme is technically 
feasible.
    56. Section 11.51(m). The Commission seeks comment on whether it 
should amend Sec.  11.51(m) of the Commission's rules to incorporate 
the obligation to process CAP-formatted messages initiated by state 
governors. The Commission observes that this obligation does not apply 
unless and until a state specifies the methodology for delivering the 
gubernatorial CAP-formatted messages in the State Area EAS Plan that it 
submits to and is approved by the Commission. Accordingly, the 
Commission seeks comment as to how, assuming it were to adopt a new 
origination code for gubernatorial CAP-formatted messages, an EAS 
Participant's EAS equipment would know that the Commission had approved 
a state's State Area EAS Plan.

F. Revising the Procedures for Processing EANs

    57. The part 11 rules specify that the EAT message is used to 
terminate an EAN. More specifically, as set out in Sec.  11.13 of the 
Commission's rules, the EAN is the notice to EAS Participants that the 
EAS has been activated for a national emergency, while the EAT is the 
notice to EAS Participants that the EAN has terminated. This 
relationship is described in Sec.  11.54 of the Commission's rules, 
which specifies the actions an EAS Participant must take upon receiving 
an EAN. Under these provisions, the EAN commences a ``National Level 
emergency'' condition, during which EAS Participants must discontinue 
regular programming, make certain announcements set forth in the EAS 
Operating Handbook, and broadcast a ``common emergency message,'' as 
prioritized under Sec.  11.44 of the Commission's rules. EAS 
Participants are required to follow this process until receipt of the 
EAT.
    58. The Commission seeks comment on whether the procedures set 
forth in Sec.  11.54 of the Commission's rules for processing EATs and, 
more broadly, EANs, are problematic and technically impractical for 
automated operation. More specifically, the Commission seeks comment 
regarding whether it should substantially simplify 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 on 
a message-by-message basis, like any other EAS message, only on a 
mandatory and priority basis. Under this streamlined EAN processing 
approach, whether EAS Participants operate their EAS equipment in 
automated or manual mode, receipt of an EAN would effectively open an 
audio channel between the originating source and the EAS Participant's 
facilities until the EAS Participant receives an EOM. After the EAS 
Participant receives the EOM, the EAS equipment would 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, including a gubernatorial CAP-formatted message, 
then that message would be aired in accordance with the specifications 
in the State and/or Local Area EAS Plan.
    59. The Commission also invites comment on whether it should 
eliminate the option for EAS Participants to manually process EANs (but 
not state or local EAS messages).
    60. Because the EAT would appear to serve no purpose when there is 
streamlined, message-by-message processing of EANs, the Commission also 
seeks comment on whether it should eliminate the EAT and replace it 
where necessary with the EOM in the Part 11 rules.
    61. Revising Section 11.54. The Commission seeks comment on whether 
it should delete Sec. Sec.  11.54(b)(1), (b)(3), (b)(4), (b)(10), and 
11.54(c) of the Commission's rules.
    62. Deleting Section 11.42. The Commission seeks comment on whether 
Sec.  11.42 of the Commission's rules has become superfluous and should 
therefore be deleted.
    63. Elminating the EAS Operating Handbook. The Commission observes 
that the EAS Operating Handbook may not serve any purpose with respect 
to the streamlined processing of EANs it now proposes. Accordingly, 
assuming that the Commission adopts message-by-message processing of 
EANs, it seeks comment on whether it should eliminate the EAS Operating 
Handbook and, if so, whether it should require EAS Participants to 
maintain within their facilities a copy of the current, FCC-filed and 
approved versions of the State and Local Area EAS Plans.
    64. The Commission also seeks comment on whether, if it were to 
delete the EAS Operating Handbook, it should also delete Sec. Sec.  
11.54(a), (b)(2), and (b)(5) through (b)(8) of the Commission's rules.
    65. Deleting Section 11.44. The Commission observes that if it were 
to revise Sec.  11.54 of the Commission's rules to reflect a 
streamlined, message-by-message processing approach, Sec.  11.44 of the 
Commission's rules would become superfluous. Accordingly, the 
Commission seeks comment on whether, if it were to adopt streamlined 
processing of EANs, it should delete Sec.  11.44 of the Commission's 
rules.
    66. Revising Section 11.53. The Commission seeks comment on whether 
Sec.  11.53 of the Commission's rules has any relevance in the 
streamlined EAN processing model now being proposed. To the extent 
Sec.  11.53 of the Commission's rules is relevant in its own right and 
should be retained, the Commission seeks comment on whether it should 
be revised to incorporate CAP-formatted EAN messages. The Commission 
observes that, unlike PEP-

[[Page 35822]]

originated SAME-formatted EAN messages distributed over the air, under 
the monitoring approach tentatively proposed in this item, EAS 
Participants will obtain CAP-formatted EAN messages from the RSS 
feed(s) utilized by the IPAWS system for EAS distribution. Accordingly, 
the Commission seeks comment as to whether, if Sec.  11.53 of the 
Commission's rules is retained, it should be revised to include a 
cross-reference to Sec.  11.52 of the Commission's rules to capture the 
federal CAP-formatted EAN origination process. The Commission also 
seeks comment on whether the existing language on state EAN origination 
would be sufficient to capture CAP-formatted EANs originated by state 
CAP systems.
    67. Revising Section 11.11(a). The Commission seeks comment on 
whether, if it were to streamline EAN processing, it should revise 
Sec.  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.
    68. Deleting Section 11.16. The Commission seeks comment on whether 
it should delete Sec.  11.16 and Sec.  11.54(b)(12) of the Commission's 
rules.

G. Miscellaneous Part 11 Revisions Not Related to CAP

    69. Definitions. The Commission seeks comment on whether it should 
revise the definition for LP-1 stations in Sec.  11.2(b) of the 
Commission's rules to reflect that these stations can be a radio or TV 
station.
    70. The Commission observes that because the PEP system definition 
in Sec.  11.14 of the Commission's rules mirrors the definition in 
Sec.  11.2(a) of the Commission's rules, it is superfluous. 
Accordingly, the Commission tentatively concludes that it should delete 
Sec.  11.14 of the Commission's rules from the part 11 rules. The 
Commission seeks comment on this tentative conclusion. Also with 
respect to the PEP system definition in Sec.  11.2(a) of the 
Commission's rules, the Commission seeks comment on whether it should 
revise the language in Sec.  11.2(a) of the Commission's rules to 
delete numerical references reflecting the number of PEP stations and 
clarify that the PEP stations distribute the EAN, EAS national test 
messages, and other EAS messages in accordance with the EAS Protocol 
requirements in Sec.  11.31 of the Commission's rules.
    71. Although not raised by any commenter, the Commission seeks 
comment on whether it should delete Sec.  11.13 of the Commission's 
rules and move the definition for the EAN currently in Sec.  11.13 of 
the Commission's rules to Sec.  11.2 of the Commission's rules.
    72. Geographic Codes. The Commission tentatively concludes that it 
should change 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 Sec. Sec.  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 seeks comment on this tentative conclusion.
    73. Attention Signal. Given the limited purpose of the Attention 
Signal in the EAS, the Commission seeks comment on whether it can 
delete most of the current provisions relating to the Attention Signal 
in Sec. Sec.  11.32(a)(9) and 11.33(b) of the Commission's rules in 
favor of the minimal standard currently set forth in the EAS Protocol 
(at Sec.  11.31(a)(2) of the Commission's rules). Under this approach, 
any Attention Signal provisions in Sec. Sec.  11.32(a)(9) and 11.33(b) 
of the Commission's rules that remain relevant could be incorporated 
into Sec.  11.31(a)(2) of the Commission's rules. Assuming it takes 
such action, the Commission seeks comment on which, if any, of the 
equipment-related Attention Signal requirements in Sec. Sec.  
11.32(a)(9) and 11.33(b) of the Commission's rules it should 
incorporate into Sec.  11.31(a)(2) of the Commission's rules. The 
Commission also seeks comment on whether it should delete the Attention 
Signal from the part 11 rules altogether.
    74. The Commission observes that, regardless of whether or how 
might proceed with modifying the Attention Signal requirements, Sec.  
11.12 of the Commission's rules is obsolete. Accordingly, the 
Commission tentatively concludes that it should delete Sec.  11.12 of 
the Commission's rules from Part 11. The Commission seeks comment on 
this tentative conclusion.
    75. Section 11.33(a)(9). Section 11.39(a)(9) of the Commission's 
rules allows EAS Participants to set their decoders to automatically 
reset to the monitoring state if the decoder does not receive an EOM 
for any given EAS message within a predetermined minimum time frame 
(not less than two minutes). This reset function does not apply to 
EANs. By definition, the reset activation in Sec.  11.33(a)(9) of the 
Commission's rules applies only when the EOM for a given EAS message 
has not arrived within the specified time period. The Commission 
observes that transmitting an EOM is a minimum requirement for 
encoders, and that because there is no EOM associated with an EAS 
message that has been canceled via reset, there is no EOM for the 
encoder to transmit. Accordingly, the Commission observes that as the 
rules are currently constructed, the encoder should not transmit an EAS 
message that has been canceled via reset. The Commission seeks comment 
on whether it should amend the rules to make this clearer or whether it 
should allow encoders to air EAS messages that have been canceled via 
reset.
    76. Section 11.33(a)(3)(ii). The Commission seeks comment on 
whether it should revise Sec.  11.33(a)(3)(ii) of the Commission's 
rules by eliminating the requirement to delete messages upon expiration 
of their time periods, and thus allow EAS Participants to air alert 
messages after expiration of the effective time period set by the alert 
message originator.
    77. LPTV and LPFM. The Commission observes that the analog and 
digital broadcast station equipment deployment table in Sec.  11.11(a) 
of the Commission's rules incorrectly identifies ``LPFM'' in the column 
that is supposed to contain Class A TV and incorrectly identifies 
``LPTV'' in the column that should contain ``LPFM.'' The Commission 
further observes that ``LPFM'' appears to have been inadvertently 
omitted from the test requirements in Sec. Sec.  11.61(a)(1)(i) and 
11.61(a)(2)(ii) of the Commission's rules during a prior proceeding. 
The Commission tentatively concludes that it should correct these 
clerical errors and seeks comment on this tentative conclusion.
    78. Training. The Commission observes that it lacks the authority 
to raise or distribute funds for EAS-related purposes, and therefore 
tentatively concludes that it cannot provide training for state and 
local emergency managers. The Commission seeks comment on this 
tentative conclusion.
    79. Persons with Disabilities. The Commission seeks comment on 
whether there is in CAP some functionality that would allow EAS 
Participants to broadcast the same information in the visual portion 
(i.e., the text crawl) of an EAS alert as is contained within the audio 
portion (if any). The Commission also seeks comment on whether it is 
technically feasible for the existing EAS

[[Page 35823]]

system or EAS Participant facilities to broadcast anything in lieu of 
an audio message. The Commission further seeks comment on whether the 
equipment that EAS Participants will be employing to receive CAP-based 
EAS alerts can simultaneously accommodate both an audio and textual 
message that can be delivered over the EAS. The Commission also seeks 
comment on whether intermediary devices designed to translate CAP to 
SAME for current, pre-CAP EAS equipment will have the identical 
capability as ``all-in-one'' CAP EAS equipment in this regard. Finally, 
the Commission invites comment on the effectiveness of speech-to-text 
software and how EAS Participants might use it in a manner that neither 
delays nor inaccurately interprets an EAS alert message.
III. Procedural Matters

A. Ex Parte Presentations

    80. This matter shall be treated as a ``permit-but-disclose'' 
proceeding in accordance with the Commission's ex parte rules. Persons 
making oral ex parte presentations are reminded that memoranda 
summarizing the presentations must contain summaries of the substance 
of the presentations and not merely a listing of the subjects 
discussed. More than a one or two sentence description of the views and 
arguments presented is generally required. Other requirements 
pertaining to oral and written presentations are set forth in Sec.  
1.1206(b) of the Commission's rules.

B. Comment Filing Procedures

    81. Pursuant to Sec. Sec.  1.415 and 1.419 of the Commission's 
rules, 47 CFR 1.415, 1.419, interested parties may file comments and 
reply comments on or before the dates indicated on the first page of 
this document. All filings related to this Third Further Notice of 
Proposed Rulemaking should refer to EB Docket No. 04-296. Comments may 
be filed: (1) Using the Commission's Electronic Comment Filing System 
(ECFS), (2) through the Federal Government's eRulemaking Portal, or (3) 
by filing paper copies. See Electronic Filing of Documents in 
Rulemaking Proceedings, 63 FR 24121 (1998).
     Electronic Filers: Comments may be filed electronically 
using the Internet by accessing the ECFS: http://www.fcc.gov/cgb/ecfs/ 
or the Federal eRulemaking Portal: http://www.regulations.gov. Filers 
should follow the instructions provided on the Web site for submitting 
comments.
     For ECFS filers, if multiple docket or rulemaking numbers 
appear in the caption of this proceeding, filers must transmit one 
electronic copy of the comments for each docket or rulemaking number 
referenced in the caption. In completing the transmittal screen, filers 
should include their full name, U.S. Postal Service mailing address, 
and the applicable docket or rulemaking number. Parties may also submit 
an electronic comment by e-mail. To get filing instructions, filers 
should send an e-mail to [email protected] and include the following words 
in the body of the message, ``get form.'' A sample form and directions 
will be sent in response.
     Paper Filers: Parties who choose to file by paper must 
file an original and four copies of each filing. If more than one 
docket or rulemaking number appears in the caption of this proceeding, 
filers must submit two additional copies for each additional docket or 
rulemaking number.
    Filings can be sent by hand or messenger delivery, by commercial 
overnight courier, or by first-class or overnight U.S. Postal Service 
mail (although we continue to experience delays in receiving U.S. 
Postal Service mail). All filings must be addressed to the Commission's 
Secretary, Office of the Secretary, Federal Communications Commission.
     Effective December 28, 2009, all hand-delivered or 
messenger-delivered paper filings for the Commission's Secretary must 
be delivered to FCC Headquarters at 445 12th St., SW., Room TW-A325, 
Washington, DC 20554. The filing hours at this location are 8 a.m. to 7 
p.m. All hand deliveries must be held together with rubber bands or 
fasteners. Any envelopes must be disposed of before entering the 
building. PLEASE NOTE: The Commission's former filing location at 236 
Massachusetts Avenue, NE. is permanently closed.
     Commercial overnight mail (other than U.S. Postal Service 
Express Mail and Priority Mail) must be sent to 9300 East Hampton 
Drive, Capitol Heights, MD 20743.
     U.S. Postal Service first-class, Express, and Priority 
mail should be addressed to 445 12th Street, SW., Washington, DC 20554.

C. Accessible Formats

    82. To request materials in accessible formats for people with 
disabilities (Braille, large print, electronic files, audio format), 
send an e-mail to [email protected] or call the Consumer & Governmental 
Affairs Bureau at 202-418-0530 (voice), 202-418-0432 (TTY).

D. Regulatory Flexibility Analysis

    83. As required by the Regulatory Flexibility Act of 1980, see 5 
U.S.C. 603, the Commission has prepared an Initial Regulatory 
Flexibility Analysis (IRFA) of the possible significant economic impact 
on small entities of the policies and rules addressed in this document. 
The IRFA is set forth in the Supplementary Information section above. 
Written public comments are requested on the IRFA. These comments are 
subject to the same procedures and filing deadlines as comments filed 
in response to this Third Further Notice of Proposed Rulemaking as set 
forth above and must have a separate and distinct heading designating 
them as responses to the IRFA.

E. Paperwork Reduction Act Analysis

    84. This document contains proposed or modified information 
collection requirements. The Commission, as part of its continuing 
effort to reduce paperwork burdens, invites the general public and the 
Office of Management and Budget (OMB) to comment on the information 
collection requirements contained in this document, as required by the 
Paperwork Reduction Act of 1995, Public Law 104-13. In addition, 
pursuant to the Small Business Paperwork Relief Act of 2002, Public Law 
107-198, see 44 U.S.C. 3506(c)(4), we seek specific comment on how we 
might ``further reduce the information collection burden for small 
business concerns with fewer than 25 employees.''
IV. Ordering Clauses
    85. 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) and (o), 301, 303(r), 303(v), 307, 309, 335, 403, 544(g), 606, 
and 615, this Third Further Notice of Proposed Rulemaking IS Adopted.
    86. It Is Further Ordered that the Commission's Consumer and 
Governmental Affairs Bureau, Reference Information Center, Shall Send a 
copy of this Third Further Notice of Proposed Rulemaking, including the 
Initial Regulatory Flexibility Analysis, to the Chief Counsel for 
Advocacy of the Small Business Administration.
    87. It Is Further Ordered that pursuant to applicable procedures 
set forth in Sec. Sec.  1.415 and 1.419 of the Commission's rules, 47 
CFR 1.415, 1.419, interested parties may file comments on this Third 
Further Notice of Proposed Rulemaking on or before July 20, 2011, and

[[Page 35824]]

interested parties may file reply comments on or before August 4, 2011.

List of Subjects in 47 CFR Part 11

    Emergency alerting, Radio, Television.

Federal Communications Commission.
Gloria J. Miles,
Federal Register Liaison.

Proposed Rules

    For the reasons discussed in the preamble, the Federal 
Communications Commission proposes to amend 47 CFR part 11 to read as 
follows:

PART 11--EMERGENCY ALERT SYSTEM (EAS)

    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.

    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.
    (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 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 stand-alone 
equipment that acquires and decodes EAS messages formatted in the 
Common Alerting Protocol (CAP) in accordance with Sec.  11.56, converts 
such CAP-formatted message into an EAS message (or data stream) that 
complies with the EAS Protocol (set forth in Sec.  11.31), and inputs 
such EAS Protocol-compliant message (or data stream) into a separate 
EAS decoder, EAS encoder, or unit combining such decoder and encoder 
functions, for further processing in accordance with the EAS message 
processing rules in this part.
    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); SDARS, as defined in Sec.  25.201 of this chapter; 
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. 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:
    (1) Analog and digital broadcast station equipment deployment 
requirements.

                                     Table 1--Analog and Digital Broadcast Station Equipment Deployment Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                      Analog &                                  Analog &
               EAS equipment requirement                   AM & FM    Digital AM &   digital FM     Analog &         DTV         digital      Analog &
                                                                           FM          class D    digital LPFM                 class 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.

    (2) 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.

[[Page 35825]]



     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 all                   Y                N
 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.
\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.]

    (3) 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 all                   Y                N
 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.
\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.]

    (4) 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 all                   Y                N
 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.
\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.]


                              SDARS and DBS
------------------------------------------------------------------------
       EAS equipment requirement             SDARS             DBS
------------------------------------------------------------------------
EAS decoder \1\.......................               Y                Y
EAS encoder...........................               Y                Y
Audio message on all channels \2\.....               Y                Y

[[Page 35826]]

 
Video message on all channels \2\.....             N/A                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.
\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]

    4. Remove Sec.  11.12.


Sec.  11.13  [Removed]

    5. Remove Sec.  11.13.


Sec.  11.14  [Removed]

    6. Remove Sec.  11.14.


Sec.  11.15  [Removed]

    7. Remove Sec.  11.15.


Sec.  11.16  [Removed]

    8. Remove Sec.  11.16.
    9. Amend Sec.  11.21 by revising paragraphs (a) and (b) to read as 
follows:


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

* * * * *
    (a) The State Area 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 Area EAS Plans should include a 
data table, in computer readable form, clearly showing monitoring 
assignments and the specific primary and backup path for the emergency 
action notification (``EAN'') from the PEP to each station in the plan. 
The State Area EAS Plan also must include specific and detailed 
information describing how statewide and geographically-targeted EAS 
messages formatted in the Common Alerting Protocol (CAP) that are 
aggregated and delivered by the Governor (or his/her designee, or by 
FEMA on behalf of such Governor), as specified in Sec.  11.55(a), will 
be transmitted to all EAS Participants who provide services in the 
state, and must identify the Really Simple Syndication, version 2.0, 
feed(s) that will be utilized to distribute such CAP-formatted EAS 
messages for purposes of the monitoring obligations set forth in Sec.  
11.52(d)(2). EAS Participants must maintain within the facility wherein 
EAS equipment is located, and if remotely operated, the facility from 
which such equipment is remotely operated, a copy of the most recent 
FCC-approved State Area EAS Plan for the state in which such facility 
is located, such that it is immediately available to staff responsible 
for initiating actions.
    (b) The Local Area EAS Plan contains procedures for local officials 
or the NWS to transmit emergency information to the public during a 
local emergency using the EAS. Local Area EAS Plans may be a part of 
the State Area EAS Plan. A Local Area is a geographical area of 
contiguous communities or counties that may include more than one 
state. EAS Participants must maintain within the facility wherein EAS 
equipment is located, and if remotely operated, the facility from which 
such equipment is remotely operated, a copy of the most recent FCC-
approved Local Area EAS Plan for Local Areas in which such facility is 
located, unless such Local Area EAS Plan is part of a State Area EAS 
Plan already being maintained at such facility, such that it is 
immediately available to staff responsible for initiating actions.
* * * * *
    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+TTTT-JJJHHMM-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

[[Page 35827]]

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
  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

[[Page 35828]]

 
    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
    PR................................................                72
    PW................................................                70
    UM................................................                74
                                                                      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.

Sec.  11.32  [Amended]

    11. In Sec.  11.32, remove paragraph (a)(9).
    12. Amend Sec.  11.33 by revising paragraph (a) introductory text, 
removing paragraph (b), and redesignating paragraphs (c) and (d) as 
paragraphs (b) and (c), respectively, to 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. An EAS Decoder also must be capable of the following minimum 
specifications:
* * * * *
    13. Amend Sec.  11.41 by revising paragraph (c) to read as follows:


Sec.  11.41  Participation in EAS.

* * * * *
    (c) All EAS Participants, including NN sources, must maintain 
within their facilities a copy of the current, FCC-filed and approved 
versions of the State and Local Area EAS Plans (unless the Local Area 
EAS Plan is part of the State Area EAS Plan), as set forth in Sec.  
11.21(a) and (b).


Sec.  11.42  [Removed]

    14. Remove Sec.  11.42.


Sec.  11.44  [Removed]

    15. Remove Sec.  11.44.
    16. Amend Sec.  11.51 by revising paragraphs (a), (c), (d), (i) and 
(j), and paragraph (m) introductory text 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

[[Page 35829]]

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. 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.
* * * * *
    (i) SDARS licensees shall transmit national audio EAS messages on 
all channels in the same order specified in paragraph (a) of this 
section.
    (1) SDARS licensees must install, operate, and maintain equipment 
capable of generating the EAS codes.
    (2) SDARS licensees may determine the distribution methods they 
will use to comply with this requirement.
    (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.
    (1) DBS providers must install, operate, and maintain equipment 
capable of generating the EAS codes.
    (2) The visual message shall contain the Originator, Event, 
Location and the valid time period of the EAS message. These are 
elements of the EAS header code and are described in Sec.  11.31. 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.
    (3) DBS providers may determine the distribution methods they will 
use to comply with this requirement. Such methods may include 
distributing the EAS message on all channels, using a means to 
automatically tune the subscriber's set-top box to a pre-designated 
channel which carries the required audio and video EAS messages, and/or 
passing through the EAS message provided by programmers and/or local 
channels (where applicable).
* * * * *
    (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.
* * * * *
    17. Amend Sec.  11.52 by revising paragraphs (a), (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 Area 
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 must monitor the Really Simple Syndication, version 2.0, 
feed(s):
    (i) Utilized by the Federal Emergency Management Agency's (FEMA) 
Integrated Public Alert and Warning System for distribution of federal 
Common Alert Protocol (CAP)-formatted alert messages to the EAS; and
    (ii) Identified in a State Area EAS Plan as the source for 
distributing governor-originated CAP-formatted alert messages to the 
EAS, provided that such State Area EAS Plan complies fully with Sec.  
11.21(a) and has been reviewed and approved by the Chief, Public Safety 
and Homeland Security Bureau, prior to implementation, as required by 
Sec.  11.21.
    (3) 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.
    (4) 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.
    18. 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, except those holding an 
EAS Non-participating National Authorization letter, are exempt from 
complying with Sec. Sec.  73.62 and 73.1560 of this chapter (operating 
power

[[Page 35830]]

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.
    19. Amend Sec.  11.55 by revising paragraph (a) introductory text, 
adding paragraphs (a)(3) through (5) and revising paragraph (c) 
introductory text and paragraph (c)(4) to read as follows:


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

    (a) Effective [December 30, 2011], all EAS Participants (excepting 
SDARs and DBS providers) must deploy equipment that is capable of:
* * * * *
    (3) Acquiring, in accordance with the State EAS alert message 
monitoring requirements in Sec.  11.52(d)(2), statewide and 
geographically-targeted (as defined by the Location code provisions in 
Sec.  11.31) EAS alert messages that are formatted pursuant to the 
Organization for the Advancement of Structured Information Standards 
(OASIS) specifications OASIS Common Alerting Protocol Version 1.2 (July 
1, 2010), and Common Alerting Protocol, v. 1.2 USA Integrated Public 
Alert and Warning System Profile Version 1.0 (Oct. 13, 2009), as 
aggregated and delivered by the Governor, or his/her designee, or by 
FEMA on behalf of such Governor, of a state in which the EAS 
Participant is located;
    (4) Converting such EAS alert messages 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), developed and published by the EAS-CAP Industry 
Group; and
    (5) Processing such converted messages in accordance with the other 
sections of this part. This obligation does not apply unless and until 
a State Area EAS Plan detailing the delivery of such State Governor-
initiated CAP-formatted messages has been submitted to and approved by 
the Chief, Public Safety and Homeland Security Bureau, in accordance 
with Sec.  11.21. EAS Participants may but are not required to process 
CAP-formatted EAS messages aggregated and delivered by the Sate 
Governor (or his/her designee, or FEMA) that do not conform to the 
specifications identified herein for CAP messages and their translation 
into the EAS Protocol. 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:
* * * * *
    (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.
* * * * *
    20. Revise Sec.  11.56 to read as follows:


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

    (a) On or by [September 30, 2011], 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); and
    (2) Converting EAS alert messages that have been formatted pursuant 
to the:
    (i) Organization for the Advancement of Structured Information 
Standards (OASIS) 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 EAS-CAP Industry Group's (ECIG) 
Recommendations for a CAP EAS Implementation Guide, Version 1.0 (May 
17, 2010); 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 that acquires the CAP-
formatted message, converts it into an EAS Protocol-compliant message, 
and inputs such EAS Protocol-compliant message into a separate EAS 
decoder, EAS encoder, or unit combining such decoder and encoder 
functions, for further processing in accordance with the other sections 
of this part.
    21. Amend Sec.  11.61 by revising paragraphs (a) introductory text, 
(a)(1)(i), (a)(2)(ii) and (b) 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

[[Page 35831]]

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).

[FR Doc. 2011-15119 Filed 6-17-11; 8:45 am]
BILLING CODE 6712-01-P