[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]
[[Page 35810]]
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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.
[[Page 35811]]
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.
[[Page 35812]]
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)
[[Page 35813]]
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