# Before the

# Federal Communications Commission

# Washington, D.C. 20554

In the Matter of )

)

Amendment of Part 11 of the Commission's Rules ) EB Docket No. 01-66

Regarding the Emergency Alert System ) RM-9156

) RM-9215

)

# NOTICE OF PROPOSED RULEMAKING

**Adopted: March 13, 2001 Released: March 20, 2001**

Comment Date: 75 days after publication in the Federal Register

Reply Comment Date: 105 days after publication in the Federal Register

By the Commission: Commissioner Furchtgott-Roth dissenting and issuing a
statement.

**I. INTRODUCTION**

1.  In this *Notice of Proposed Rulemaking* ("*NPRM*"), we solicit
    comment on requested revisions to the Part 11 rules governing the
    Emergency Alert System ("EAS")[^1] set forth in petitions for
    rulemaking filed by the National Oceanic and Atmospheric
    Administration ("NOAA") National Weather Service ("NWS")[^2] and the
    Society of Broadcast Engineers ("SBE").[^3] In addition, we propose
    to revise Part 11 of the Rules to eliminate references to the
    now-defunct Emergency Action Notification ("EAN") network and its
    participants. We also propose to amend Part 11 to delete the
    requirement that international High Frequency ("HF") broadcast
    stations purchase and install EAS equipment.

    **II. BACKGROUND**

2.  In 1994, the Commission adopted rules establishing the EAS as a
    replacement for the Emergency Broadcast System ("EBS") and requiring
    cable systems as well as broadcast stations to participate in
    EAS.[^4] The Commission extended the EAS requirements to wireless
    cable systems in 1997.[^5] The EAS affords national, state and local
    authorities the capability to provide emergency communications and
    information to the general public via broadcast stations, cable
    systems and wireless cable systems. Participation in national EAS
    alerts is mandatory for broadcast stations, cable systems and
    wireless cable systems.[^6] These entities participate in state and
    local area EAS plans on a voluntary basis. Broadcast stations were
    required to install the new EAS equipment by January 1, 1997. Cable
    systems with 10,000 or more subscribers were required to install new
    EAS equipment by December 31, 1998. Cable systems with fewer than
    10,000 subscribers and wireless cable systems are required to
    install EAS equipment by October 1, 2002.[^7]

3.  The EAS equipment used by broadcast stations and cable systems sends
    and receives messages using a precise format called the EAS
    protocol. Each EAS message has four parts: digital header codes, a
    two-tone attention signal, an audio and/or video message, and an End
    of Message code. The header codes define who originated the
    emergency message (originator code), the nature of the emergency
    (event code), the location of the emergency (location code), and the
    valid time period of the message. The two-tone attention signal,
    which must be transmitted for a minimum of eight seconds, provides
    an audio alert to audiences that emergency information is about to
    be sent.

4.  NWS filed its petition for rulemaking on December 30, 1997.[^8] The
    Commission staff issued a public notice announcing the filing of
    NWS's petition on January 14, 1998.[^9] Comments were filed by SBE.
    NWS plays a significant role in the implementation of the EAS as the
    originator of emergency weather information. The EAS protocol
    described above is identical to the NOAA Weather Radio ("NWR")
    Specific Area Message Encoding ("SAME") technique, which NWS uses to
    transmit messages over NWR transmitters around the country. NWR-SAME
    messages are transmitted on over 500 NWR transmitters throughout the
    country, and NWS has plans to add over 200 more transmitters. Many
    broadcast stations and cable systems directly monitor NWR
    transmissions and relay the NWS messages to their audiences over the
    EAS. In order to ensure that there is equipment operability between
    the EAS and NWR-SAME systems, the Part 11 rules specifically provide
    that EAS codes must be compatible with the codes used by
    NWR-SAME.[^10] In its petition for rulemaking, NWS requests numerous
    additions and modifications to the EAS header codes. NWS also seeks
    revisions to the EAS equipment requirements which it believes are
    necessary to promote smoother operations and compatibility between
    EAS and NWR-SAME systems.

5.  SBE filed its petition for rulemaking on August 14, 1997. The
    Commission staff issued a public notice announcing the filing of
    SBE's petition on August 22, 1997.[^11] Comments were filed by the
    National Association of Broadcasters ("NAB"), Fox Television
    Stations, Inc. ("Fox"), Multi-Technical Services, Inc. ("MTS"), and
    the West Virginia Broadcasters Association. Reply comments were
    filed by SBE. In the petition, SBE requests additions and
    modifications to the EAS header codes. Additionally, SBE seeks
    various revisions to the operational and technical requirements for
    EAS. Among other things, SBE seeks to modify EAS testing
    requirements, make the two-tone attention signal optional, reduce
    the modulation level for EAS codes, establish a protocol for text
    transmissions, and allow the carriage of the audio portion of a
    President's EAS message from a non-EAS source.

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III. **DISCUSSION**

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6.  The proposals set forth for comment in this *NPRM* are, for the most
    part, intended to enhance the performance of the EAS during state
    and local emergencies. While we recognize that EAS plays an
    important role at the state and local levels, we emphasize that
    participation in state and local EAS activities remains voluntary.
    We do not wish to impose additional costs or burdens on broadcast
    stations and cable systems that choose not to participate in state
    and local area EAS plans. Further, we wish to fully understand the
    costs and benefits that might result from our possible endorsement
    of the changes NWS has proposed to state and local emergency
    warnings. As a result, we are requesting specific cost information
    below and will evaluate that information carefully.

    **EAS Codes**

7.  *Event Codes.* Event codes are three-letter codes used in the
    transmission of EAS messages that identify the nature of the event
    or emergency that is causing the EAS activation. A list of
    authorized event codes is set forth in Section 11.31(e) of the
    Rules.[^12] This list includes codes for national EAS events and
    tests, which broadcasters and cable systems are required to receive
    and transmit, and codes for state and local EAS events, which
    broadcasters and cable systems voluntarily participating in state
    and local area EAS plans may transmit on an optional basis.[^13]

8.  NWS requests a number of modifications to the list of authorized
    event codes. First, NWS requests that the Commission adopt a naming
    convention for state and local event codes.[^14] Under the naming
    convention suggested by NWS, the third letter of all hazardous state
    and local event codes would be limited to one of four letters: "W"
    for warnings, "A" for watches, "E" for emergencies, and "S" for
    statements.[^15] Events that pose a significant threat to public
    safety and/or property, have a high probability of occurrence in a
    particular location, and have a relatively short onset time would be
    titled "warnings." Events would be titled "watches" where they pose
    a significant threat to public safety and/or property, but either
    the onset time or probability of occurrence or location is
    uncertain. The title "emergency" would be reserved for future
    applications that do not meet the definition of warning or watch but
    are of such a nature that the information is important and may
    require public response. Follow-up messages would be titled as
    "statements." NWS states that the naming convention would make
    possible a wider range of consumer products without lessening the
    current capabilities of the EAS or NWR-SAME. SBE endorses the
    suggested naming convention, noting that it will make it much easier
    to design consumer grade equipment which allows consumers to select
    the events for which they wish to be alerted.[^16]

9.  We seek comment on whether the suggested naming convention should be
    adopted. We note that adoption of the naming convention would
    require revision of the existing event codes for Tornado Warning
    (TOR), Severe Thunderstorm Warning (SVR) and Evacuation Immediate
    (EVI) to TOW, SVW and IEW, respectively. Adding the revised codes
    and deleting the existing codes for these three events would require
    any broadcast station or cable system that wishes to participate in
    state and local EAS alerts to modify or upgrade its EAS equipment to
    handle the revised codes. In addition, we seek comment on ways to
    ease the transition in the event that we adopt the naming
    convention. Specifically, we seek comment on whether we should add
    the revised codes suggested by NWS for Tornado, Severe Thunderstorm
    and Evacuation Warnings, while also retaining the existing codes for
    these events for some specified length of time to allow continued
    functionality of existing EAS equipment through its expected
    lifespan. Based on discussions between Commission staff and NWS, we
    believe that NWS has the capability to transmit both the existing
    codes and the revised codes for these three events. We seek comment
    on what issues arise for EAS participants if NWS transmits both the
    existing codes and the revised codes for these three events.

10. We are mindful that the Commission has only recently adopted final
    rules requiring that broadcast stations and cable systems install
    EAS equipment.[^17] Thus, we are particularly interested in
    ascertaining any costs that broadcast stations and cable systems
    participating voluntarily in state and local EAS alerts may incur if
    the naming convention is adopted.[^18] In addition, to assist us in
    determining the best course to take, we request specific comment on
    the following questions: Is it possible to modify all existing EAS
    equipment to receive the revised codes through software upgrades or
    will hardware upgrades be required? What will it cost to upgrade
    existing EAS equipment to receive the revised codes? Will some
    broadcast stations and cable systems simply choose not to
    participate voluntarily in state and local EAS alerts rather than
    make the modifications? If so, how many and how does this balance
    with the benefits of the new codes? How can we ensure that revisions
    to state and local event codes do not cause an emergency warning to
    be missed? What happens to an EAS decoder that has not been upgraded
    if it receives a revised code transmitted by NWS? What issues arise
    if we authorize the continued use of EAS equipment that can only
    receive the existing codes for an indefinite period of time? What is
    the expected lifespan of existing EAS equipment? If we authorize the
    manufacture and sale of EAS equipment with the existing codes for a
    specified period of time, how long should we give manufacturers and
    distributors to reduce or upgrade existing stock? Additionally, if
    we authorize the continued use of EAS equipment that can only
    receive the existing codes for a specified period of time, how long
    should we give broadcast stations and cable systems participating
    voluntarily in state and local EAS alerts to replace or upgrade EAS
    equipment? Finally, if we adopt the revised and new EAS codes, will
    there be any adverse effects or additional costs on broadcast
    stations and cable systems that transmit digital signals?

11. NWS also requests that we add new event codes for emergency
    conditions not included in the current list, modify the titles of
    two existing codes to include weather events that are likely to
    occur in tandem, and add new event codes for certain administrative
    messages and non-EAS applications.[^19] The Commission has also
    received other recommendations for new event codes. A complete
    listing of the existing and recommended event codes is attached as
    Appendix A. We seek comment on whether we should amend the rules to
    add the recommended event codes. In addition, we seek comment on
    whether there are other event codes that should be added to the
    list. We also request comment on what equipment modifications would
    be needed to implement the recommended changes and on the costs of
    such modifications. Further, we seek comment on what effect the
    addition of these new event codes would have on existing EAS
    equipment that is not capable of receiving these codes.

12. SBE suggests that the Commission include a cancellation code for
    each event code in the current list and for each event code that
    will be added to the list.[^20] In SBE's view, cancellation codes
    are needed for situations where a warning can be cancelled prior to
    its issued expiration time. SBE notes that in some cases the warning
    code has been reissued to announce cancellation of the event, but
    the EAS generated crawl made it appear that the warning was being
    reissued. NAB supports SBE's suggestion to add cancellation codes,
    asserting that this change would consider the needs of broadcasters
    as well as the need of the listening and viewing public to be
    informed during an emergency situation.[^21] We are not convinced
    that the cancellation codes suggested by SBE are necessary, but seek
    further comment on this suggestion. We question whether cancellation
    codes are necessary given that EAS messages already contain a code
    that specifies the valid time period of the message. In particular,
    we seek comment on how frequently situations arise where a warning
    can be cancelled prior to its issued expiration time. In addition,
    we seek comment on what equipment modifications would be needed to
    implement cancellation codes and on the costs of such modifications.

13. *Location Codes*. Location codes are six-digit numerical codes used
    in the transmission of EAS messages that indicate what geographic
    areas may be affected by an emergency. These codes have three
    separate parts. The "SS" portion of the location code is a two-digit
    number that identifies the state or territory in which the emergency
    is located. The "CCC" portion of the location code is a three-digit
    number that identifies the county or city affected by the emergency.
    The "P" portion of the location code is optional and allows the
    message originator to divide a county into nine sections to further
    pinpoint the affected portion of the county. The "SS" and "CCC"
    numbers are unique Federal Information Processing Standard ("FIPS")
    numbers assigned by the National Institute of Standards and
    Technology. The "SS" numbers are listed in Section 11.31(f) of the
    Rules.[^22] The "CCC" numbers are contained in the State EAS
    Mapbook.

14. NWS requests that we add new location codes to cover marine areas,
    which are not presently included in the location codes specified in
    Section 11.31(f) of the Rules.[^23] The marine areas are immediate
    offshore areas likely to be affected by extreme weather conditions
    and are identified by two-digit numbers that would comprise the "SS"
    portion of the location code.[^24] A listing of the marine location
    codes requested by NWS is attached as Appendix B. We seek comment on
    whether we should include these location codes in Section 11.31. We
    also seek comment on what equipment modifications would be needed to
    implement this request and on the costs of such modifications.
    Further, we seek comment on what effect the addition of these new
    marine location codes would have on existing EAS equipment that is
    not capable of receiving these codes.

15. NWS and SBE both request the addition of an entire country location
    code. SBE states that an entire country location code is needed so
    that multiple alerts are not necessary to activate the entire
    country when a national level emergency situation arises.[^25] NWS
    recommends that the 000000 location code be used for a message
    affecting all or a large portion of the country. We seek comment on
    whether we should ask the Federal Emergency Management Agency
    ("FEMA") to use the 000000 location code when a national level EAS
    message is originated by the federal government. We also request
    comment on whether this would have any effect on existing EAS
    equipment.

16. In addition, NWS points out that since consumer products only
    respond to receipt of the county location code programmed into the
    unit, which is usually the consumer's location, the consumer
    products would not respond to the 000000 location code. To remedy
    this problem, NWS suggests that when the EAS equipment at broadcast
    stations and cable systems receive a national level EAS message, the
    equipment could, in addition to retransmitting the event code and
    the accompanying 000000 location code, also trigger transmission of
    all of the county location codes stored within the equipment. This
    "triggering" proposal would allow consumer products that activate
    only upon the location code for the county in which the product is
    located to be activated for national EAS messages accompanied by the
    000000 location code. We are concerned that adoption of the
    "triggering" proposal would require costly modification of existing
    equipment at broadcast stations and cable systems. However, we seek
    comment on whether we should permit this as an optional feature of
    EAS equipment. Further, we are not aware of any significant number
    of consumer devices which rely upon EAS transmissions of broadcast
    stations and cable systems. We seek comment on the existence of
    consumer devices which monitor broadcast stations and cable systems
    rather than NWS weather transmitters.

17. NWS also requests that we permit the use of any combination of the
    standard alphabet and numbers in the "CCC" portion of the location
    code.[^26] NWS states that organizations responsible for the warning
    communications associated with special facilities -- such as nuclear
    power plants, chemical, biological and nuclear weapons storage
    facilities, and plants that produce and store hazardous materials --
    are now using or evaluating the use of NWR as their primary radio
    communications system. Allowing the geographic code blocks to
    include both numbers and letters plus the \* symbol, NWS says, would
    enable these organizations to create up to 1.4 million possible
    location code and message combinations. Text messages could be
    stored in each receiver that, depending on the code received,
    provide almost site specific information such as shelter in place
    information, evacuation routes, and safe areas. In its comments on
    the NWS Petition, SBE expresses concern that if this regionally
    customized location coding is not explicitly included in the Part 11
    rules, equipment manufacturers will not allow such flexibility in
    their equipment for fear of FCC equipment certification
    problems.[^27] In this regard, SBE states that it has repeatedly
    been told by some manufacturers that unless coding is exactly
    specified in the FCC rules, the modified or supplemental coding will
    not be put into the manufacturer's equipment. Thus, SBE asserts that
    it cannot support NWS's request for customized location coding
    without an assurance that every bit of code customizing is expressly
    included in Part 11. SBE adds that the flexibility sought by NWS
    with the customized location coding could be better accomplished by
    adoption of SBE's suggestion for a protocol for text transmission,
    which we discuss below. We seek comment on NWS's request and on the
    concerns raised by SBE with respect to this request.

18. *Originator Codes*. Originator codes are three-letter codes used in
    the transmission of EAS messages that identify who originally
    initiated the activation of the EAS. A list of authorized originator
    codes is set forth in Section 11.31(d) of the Rules.[^28]

19. NWS asks that we revise its originator code from WXR to NWS. While
    we agree with NWS that this revision would make its originator code
    more easily recognizable to EAS participants, we believe that it
    raises the same concerns discussed above with respect to the
    revision of existing event codes to implement NWS's suggested naming
    convention. Adding the NWS code and deleting the WXR code could have
    a substantial adverse impact on the use of the EAS for state and
    local emergency purposes because NWS is the originator of emergency
    weather information. Any broadcast station or cable system that
    wishes to participate in state and local EAS alerts would need to
    modify or upgrade its EAS equipment to handle the revised code. We
    seek comment on whether we should revise NWS's originator code from
    WXR to NWS. Further, to ease the transition in the event that we
    revise NWS's originator code, we seek comment on whether we should
    add the NWS code, while also retaining the existing WXR code for
    some specified length of time to allow continued functionality of
    existing EAS equipment through its expected lifespan.

20. *Equipment authorization*. EAS equipment is required to be certified
    by the Commission in accordance with the procedures set forth in
    Subpart J of Part 2 of the Commission's Rules.[^29] Accordingly, we
    seek comment on what effect the proposed and requested revisions to
    the EAS codes discussed above may have on Commission certification
    of existing EAS equipment. In addition, we invite comment from
    equipment manufacturers on how we can make the equipment
    authorization process more flexible to accommodate changes in EAS
    codes.

21. We also seek comment on whether, as an alternative to revising the
    lists of State and local EAS event and location codes, we should
    amend the Rules to provide that any modifications to existing
    authorized EAS equipment that are necessary to implement revisions
    in EAS codes are Class I permissive changes that do not require a
    new application for and grant of equipment certification.[^30] Under
    this alternative, entities subject to the Commission's EAS
    requirements could satisfy their obligations with equipment designed
    to function with either the existing codes or an expanded range of
    codes. Additional State and local event and location codes could be
    developed directly by State and local officials, broadcasters and
    cable operators, equipment manufacturers and other interested
    parties. The use of these codes and the equipment needed to access
    them would be implemented on a permissive basis as determined by the
    specific needs and interests of the local area participants. This
    approach would eliminate the need to conduct rulemakings to revise
    the State and local event codes and location codes, and would afford
    equipment manufacturers greater flexibility in the design and
    modification of EAS equipment. We request comment on alternative
    means of addressing the need for changed EAS codes.

**EAS Testing**

22. Current Part 11 rules require broadcast stations and cable systems
    to retransmit the Required Monthly Test ("RMT") within 15 minutes of
    receipt of the RMT message.[^31] SBE requests that we extend the
    relay window for RMTs from 15 minutes to 60 minutes.[^32] SBE
    asserts that if broadcasters have more time to relay a RMT, they
    will likely be able to insert it into a less disruptive portion of
    programming, which will increase acceptance of EAS. NAB and Fox
    support this proposal.[^33] We tentatively conclude that a longer
    relay window for RMTs would ease scheduling difficulties for all EAS
    participants without negatively affecting EAS test procedures.
    Accordingly, we propose to amend Part 11 to increase the time for
    retransmitting RMTs to 60 minutes from the time of receipt of the
    RMTs and seek comment on this proposal.

**Modulation Level of EAS Codes**

23. SBE requests that we reduce the modulation level of the EAS codes
    from 80% to 50% of full channel modulation limits.[^34] SBE states
    that in most cases the tone insertion equipment must be inserted
    after station processing to attain the required modulation level.
    According to SBE, this situation is "adverse to acceptable
    engineering practice."[^35] We agree with SBE and propose to amend
    Section 11.51(f) of the Rules to permit a minimum modulation level
    of 50%. We invite comment on this proposal.

    **Compatibility of EAS Equipment with NWR-SAME System**

24. NWS requests that we amend Section 11.33(a)(4) and (a)(5) of the
    Rules to permit EAS decoders to display or log receipt of only those
    event codes and accompanying location codes for which the decoder is
    programmed for mandatory receipt and those optionally set by the
    device user.[^36] Section 11.33(a)(4) and (a)(5) requires EAS
    decoders to display messages from any valid EAS header codes
    received.[^37] Therefore, EAS participants monitoring NWR-SAME
    transmissions receive every message transmitted, even test messages
    originated by NWS. We have received several reports from
    broadcasters who were unhappy with receiving unwanted NWS messages,
    and some have even stopped monitoring NWR on their EAS equipment. To
    address this problem, we seek comment on whether we should amend
    Part 11 to permit equipment manufacturers to include an optional
    feature in EAS equipment that would allow EAS users the capability
    to program their EAS decoders to select only certain received EAS
    messages for processing. This selection capability would only apply
    to EAS messages that contain state and local event codes. Because
    this selection capability would be an optional feature of EAS
    equipment, existing EAS decoders which function according to the
    original specifications would still be in compliance with Section
    11.33.

    **Protocol for Text Transmission**

25. The existing EAS rules are designed to function with both radio and
    television systems and to accommodate information received in either
    audio or text formats. Subject to certain requirements that are
    intended to ensure that persons with disabilities have access to
    emergency information, television broadcasters and cable operators
    participating in the EAS system have the option as to whether to
    pass audio or text information on to the public. SBE does not
    propose any changes in terms of these options, but requests that we
    amend the Part 11 rules to include a more specific protocol for text
    transmission.[^38] If included in the relevant equipment and
    utilized by entities participating in the EAS system, SBE suggests
    that a protocol for text transmission would improve the options
    available to those broadcasters and cable operators desiring to make
    greater use of already formatted text messages. This would include,
    according to SBE, those broadcasters wishing to include detailed
    disaster information updates in the next programming break or
    newscast rather than immediately upon reception. SBE maintains that
    the lack of a detailed text transmission capability has caused
    considerable criticism of EAS, particularly from the hearing
    impaired community and local emergency managers. SBE suggests that
    EAS would have "the ultimate capabilities of disaster warning as
    well as disaster follow up management if the proper means of text
    transmission were included in the protocol."[^39] Under SBE's
    suggestion, text information would be transmitted immediately
    following the existing EAS message format, using the existing Audio
    Frequency Shift Keying ("AFSK") technique. By providing the text
    message following the existing EAS message, SBE states that "text
    can be incorporated without affecting existing decoders."[^40] We
    seek comment on this suggestion, but we note that at this time, we
    have no information or data to support the addition of text
    messaging to the EAS system using the AFSK technique or any other
    scheme. In addition, we are aware of no comprehensive field tests
    that have been conducted to show the viability of different text
    formats. Moreover, SBE provides no data in its petition on the costs
    of adding text processing to EAS equipment. Nevertheless, we seek
    comment on whether we should amend the rules to provide broadcasters
    and cable operators with additional text transmission options.

26. As an alternative to SBE's suggestion, we could add a local event
    code (TXT) that can be used as an indicator that textual information
    will be transmitted after the End of Message code or we could permit
    other modifications to the EAS codes to test text transmission
    techniques. This would allow for the testing of different textual
    formats and could eventually lead to an industry standard. Another
    possible alternative is the transmission of textual information on
    sub-carrier or auxiliary signals. We seek comment on these
    alternatives.

    **Use of Common EAS Equipment by Co-Located Broadcast Stations and
    Cable Systems**

27. Under the Part 11 rules, broadcast stations that are co-owned and
    co-located with a combined studio and cable systems that are
    co-owned and co-located with a combined control facility are
    permitted to use a common set of EAS equipment to comply with the
    EAS rules.[^41] SBE raises concerns in its petition regarding
    co-owned, co-located "key" stations \-- broadcast stations that are
    designated as state or local primary EAS sources in their EAS plan
    and thus are monitored by other stations in their EAS area.[^42] SBE
    states that since EAS equipment does not provide for the relay of a
    message originated by itself, co-located key stations that do not
    simulcast program originations must originate tests and alerts
    separately. Because EAS encoders are required to affix date/time
    codes automatically to all messages,[^43] when the same EAS message
    is originated on co-located key stations at different times, two
    apparently separate messages for the same event circulate through
    the EAS relay web, and automated, unattended, or manned stations set
    to automatic will air both messages. SBE therefore suggests that we
    amend Part 11 to provide that where more than one of the co-owned
    and co-located broadcast stations or cable systems are designated as
    key stations or systems, the common EAS equipment must be configured
    such that the EAS message of one key station or system is either
    simulcast or relayed by the remaining key station(s) or system(s).
    Although we have not received any reports of specific instances of
    this problem from any state or local primary EAS sources, we are
    concerned that confusion may result when the same EAS message is
    originated on co-located key stations or systems at different times.
    We accordingly seek comment on SBE's suggestion. Commenters should
    address what equipment modifications would be necessary to implement
    this suggestion, and the costs associated with such modifications.

    **Carriage of Audio of Presidential Messages from Non-EAS Sources**

28. SBE requests that in the case of a national EAS alert, broadcast
    stations be permitted to air the President's voice message from a
    source other than the EAS source from which the alert was
    received.[^44] In support of this request, SBE states that most
    broadcast stations are equipped with high audio quality network
    connections, whereas the audio received on an EAS decoder may be of
    questionable quality. SBE also expresses concern that severe video
    to audio synchronization problems may occur if a television station
    chooses to air the video of the President from the station's network
    feed, but is required to air the audio portion of the President's
    message from the EAS source which provided the activation. We invite
    comment on this request as it applies to broadcast stations.

    **EAN Network**

29. The EAN network was one of two networks used to distribute national
    emergency messages from the federal government. It consisted of a
    dedicated communications service connecting industry networks, wire
    services and common carriers with government activation points. The
    other network used to distribute national level messages is the PEP
    system which was originally developed to serve as a backup to the
    EAN network. The PEP system consists of a nationwide network of
    broadcast stations designated as National Primary ("NP") sources
    that are connected with government activation points. In a
    Memorandum to the Director of FEMA dated September 15, 1995,
    President Clinton indicated that the PEP system would be the
    exclusive distribution network for the national level EAS and
    directed FEMA to "\[p\]hase out the dedicated circuitry and
    associated equipment of the Emergency Action Notification (EAN)
    network and incorporate the network nodes into the national-level
    EAS as required."[^45] Consistent with this directive, FEMA approved
    the removal of all EAN network equipment and circuits.[^46]
    Accordingly, because the EAN network no longer exists, we propose to
    delete those portions of the Part 11 rules which reference the EAN
    network and its participants.

    **International High Frequency Stations**

30. In a letter dated August 30, 1996, the National Association of
    Shortwave Broadcasters, Inc. ("NASB") requested that the Commission
    exempt FCC licensed international HF broadcast stations from the
    requirement to purchase and install EAS equipment.[^47] Under
    Section 11.54(b)(9) of the Rules, stations in the International
    Broadcast Service ("IBS") are required to cease broadcasting
    immediately upon receipt of a national-level EAS message and must
    remain off the air until they receive an EAS message terminating the
    activation.[^48] IBS stations may, however, be issued an emergency
    authorization by the FCC, with the concurrence of the Office of
    Science and Technology Policy ("OSTP") in the Executive Office of
    the President, to transmit federal government broadcasts and
    communications.

31. In support of its request, NASB asserted that the technical and
    political concerns which gave rise to the requirements of Section
    11.54(b)(9) are no longer relevant. On September 13, 1996,
    Commission staff forwarded NASB's request to the OSTP for
    comment.[^49] After consulting with the White House Military Office
    and FEMA, OSTP responded that it had no objection to granting NASB
    the requested exemption.[^50] By letter dated December 20, 1996, the
    Commission staff exempted all FCC licensed international HF
    broadcast stations from the requirement to purchase and install EAS
    equipment.[^51] We propose to amend Part 11 to eliminate the
    requirement that international HF broadcast stations purchase and
    install EAS equipment and to delete Section 11.54(b)(9).

    **Other Matters**

32. NWS and SBE have also suggested a number of other changes. For
    example, NWS suggests that we delete from the State and local EAS
    event code list certain events that in its view do not provide
    information about immediate life-threatening situations; and that we
    include an explicit statement in the Part 11 rules that EAS
    equipment manufacturers should ensure that their equipment is
    compatible with the non-EAS applications of NWR-SAME. SBE suggests
    that we add the event code for Evacuation Immediate situations to
    the list of national event codes for which immediate transmission is
    required; that we require location code verification of all EAS
    tests and activations; that we replace the Required Monthly Test
    with a Required Quarterly Test; that we make the two-tone Attention
    Signal optional; and that we take steps to "coax" participation in
    EAS at the local level. We do not propose to adopt these suggestions
    because amendments to the rules in these areas appear either
    unnecessary or not in the public interest. Nevertheless, parties may
    comment on these matters if they choose.

    **IV. CONCLUSION**

33. In this *NPRM*, we solicit comment on revisions to the EAS rules
    suggested in petitions for rulemaking filed by NWS and SBE. We seek
    comment on additions and modifications to the list of digital header
    codes used in the transmission of EAS messages. In addition, we
    propose to increase the relay time for RMTs, to reduce the
    modulation level of the EAS codes, to delete references in the EAS
    rules to the EAN network and its participants, and to delete the
    requirement that international HF stations purchase and install EAS
    equipment. We request comment on all of the issues and proposals
    addressed in this *NPRM* and encourage full participation from
    broadcast licensees and cable operators, equipment manufacturers,
    state and local emergency management personnel, and other interested
    parties. We also invite comment on what effects the proposals and
    issues addressed in this *NPRM* may have on consumer equipment.

    **V. PROCEDURAL MATTERS**

34. [Comments and reply comments]{.underline}. Pursuant to Sections
    1.415 and 1.419 of the Commission's Rules, 47 C.F.R. §§ 1.415 and
    1.419, interested parties may file comments on or before 75 days
    after publication in the Federal Register, and reply comments on or
    before 105 days after publication in the Federal Register. Comments
    may be filed using the Commission's Electronic Comment Filing System
    ("ECFS") or by filing paper copies. *See* *Electronic Filing of
    Documents in Rulemaking Proceedings*, 13 FCC Rcd 11322, 11326
    (1998).

35. Comments filed through ECFS can be sent as an electronic file via
    the Internet to http://www.fcc.gov/e-file/ecfs.html. Generally, only
    one copy of an electronic submission must be filed. If multiple
    docket or rulemaking numbers appear in the caption of this
    proceeding, however, commenters must transmit one electronic copy of
    the comments to each docket or rulemaking number referenced in the
    caption. Parties may also submit an electronic comment by Internet
    e-mail. To obtain filing instructions for e-mail comments,
    commenters should send an e-mail to ecfs@fcc.gov, and should include
    the following words in the body of the message, "get form \<your
    e-mail address." A sample form and instructions will be sent in
    reply. Or you may obtain a copy of the ASCII Electronic Transmittal
    Form (FORM-ET) at http://www.fcc.gov/e-file/email.html.

36. Parties who choose to file by paper must file an original and four
    copies of each filing. If commenters want each Commissioner to
    receive a personal copy of their comments, they must file an
    original and nine copies. Also, if more than one docket or
    rulemaking number appears in the caption of this proceeding,
    commenters must submit two additional copies for each additional
    docket or rulemaking number. All filings must be sent to the
    Commission's Secretary, Magalie Roman Salas, Office of the
    Secretary, Federal Communications Commission, 445 12th St., S.W.,
    Rm. TW-A325, Washington, D.C. 20554. Copies of all filings are
    available for public inspection and copying during regular business
    hours at the FCC Reference Information Center, 445 12th St., S.W.,
    Rm. CY-A257, Washington, D.C. 20554.

37. [Ex parte Rules]{.underline}. This is a permit-but-disclose notice
    and comment rulemaking proceeding. *Ex parte* presentations are
    permitted, except during the Sunshine Agenda period, provided they
    are disclosed as provided in the Commission rules. *See generally*
    47 C.F.R. Sections 1.1202, 1.1203, and 1.1206(b).

38. [Initial Regulatory Flexibility Analysis]{.underline}. With respect
    to this *NPRM*, an Initial Regulatory Flexibility Analysis ("IRFA")
    is contained in Appendix C. As required by Section 603 of the
    Regulatory Flexibility Act, the Commission has prepared an IRFA of
    the expected impact on small entities of the proposals contained in
    the *NPRM*. Written public comments are requested on the IRFA.
    Comments must be identified as responses to the IRFA and must be
    filed by the deadlines for comments on the *NPRM* specified in
    paragraph 34 above. The Commission will send a copy of the *NPRM*,
    including the IRFA, to the Chief Counsel for Advocacy of the Small
    Business Administration. *See* 5 U.S.C. § 603(a). In addition, the
    *NPRM* and IRFA (or summaries thereof) will be published in the
    Federal Register. *See id*.

39. [Initial Paperwork Reduction Act of 1995 Analysis]{.underline}. This
    *NPRM* does not propose a new or modified information collection.

    **VI. ORDERING CLAUSES**

40. According, IT IS ORDERED that pursuant to the authority contained in
    Sections 1, 4(i) and (o), 303(r), 624(g) and 706 of the
    Communications Act of 1934, as amended, 47 U.S.C. §§ 151, 154(i) and
    (o), 303(r), 554(g) and 606, NOTICE IS HEREBY GIVEN of the proposals
    described in this *Notice of Proposed Rulemaking*.

41. IT IS FURTHER ORDERED that the Reference Information Center,
    Consumer Information Bureau, shall send a copy of this *Notice of
    Proposed Rulemaking*, including the Initial Regulatory Flexibility
    Analysis, to the Chief Counsel for Advocacy of the Small Business
    Administration in accordance with the Regulatory Flexibility Act.

42. For additional information on this proceeding, please contact the
    FCC Enforcement Bureau, Technical and Public Safety Division,
    at (202) 418-1160.

    FEDERAL COMMUNICATIONS COMMISSION

    Magalie Roman Salas

    Secretary

    **APPENDIX A**

    **Recommended Event Code List**

    **Nature of Activation Event Code Change**

    [National (Required)]{.underline}

    Emergency Action Notification EAN No change

    Emergency Action Termination EAT No change

    Required Monthly Test RMT No change

    Required Weekly Test RWT No change

    [State and Local (Optional)]{.underline}

    Administrative Message ADR No change

    Avalanche Warning AVW Recommended addition

    Avalanche Watch AVA Recommended addition

    Blizzard Warning BZW No change

    Civil Danger Warning CDW Recommended addition

    Civil Danger Watch CDA Recommended addition

    Coastal Flood Warning CFW Recommended addition

    Coastal Flood Watch CFA Recommended addition

    Dam Break Warning DBW Recommended addition

    Dust Storm Warning DSW Recommended addition

    Dust Storm Watch DSA Recommended addition

    Earthquake Warning EQW Recommended addition

    Earthquake Watch EQA Recommended addition

    Evacuation Immediate EVI No change

    Fire Warning FRW Recommended addition

    Flash Flood Statement FFS No change

    Flash Flood Warning FFW No change

    Flash Flood Watch FFA No change

    Flood Statement FLS No change

    Flood Warning FLW No change

    Flood Watch FLA No change

    Hazardous Materials Warning HMW Recommended addition

    Hazardous Materials Watch HMA Recommended addition

    High Wind Warning HWW No change

    High Wind Watch HWA No change

    Hurricane Statement HLS No change

    Hurricane Warning HUW No change

    Hurricane Watch HUA No change

    Law Enforcement Warning LEW Recommended addition

    Local Area Emergency LAE Recommended addition

    Missing Child Statement MIS Recommended addition

    National Hazard Warning NHW Recommended addition\*

    National Information Center NIC No change

    National Periodic Test NPT No change

    Network Message Notification NMN Recommended addition\*\*

    911 Telephone Outage Message TOM Recommended addition

    Nuclear Power Plant Test Message NPM Recommended addition

    Nuclear Power Plant Warning NPW Recommended addition

    Radiological Hazard Warning RHW Recommended addition

    Radiological Hazard Watch RHA Recommended addition

    School Closing Statement SCS Recommended addition

    Severe Thunderstorm Warning SVR No change

    Severe Thunderstorm Watch SVA No change

    Severe Weather Statement SVS No change

    Shelter in Place Warning SPW Recommended addition

    Special Marine Warning SMW Recommended addition

    Special Weather Statement SPS No change

    System Demonstration/Practice DMO No change

    Tornado Warning TOR No change

    Tornado Watch TOA No change

    Transmitter Primary On TXP Recommended addition\*\*\*

    Transmitter Backup On TXB Recommended addition\*\*\*

    Transmitter Carrier On TXO Recommended addition\*\*\*

    Transmitter Carrier Off TXF Recommended addition\*\*\*

    Tropical Storm Warning TRW Recommended addition

    Tropical Storm Watch TRA Recommended addition

    Tsunami Warning TSW No change

    Tsunami Watch TSA No change

    Volcanic Ash Warning VAW Recommended addition

    Volcano Warning VOW Recommended addition

    Volcano Watch VOA Recommended addition

    Winter Storm Warning WSW No change

    Winter Storm Watch WSA No change

\* NWS suggests that the National Hazard Warning code be used for
hazards that affect all or a large part of the country. It would be used
in messages originated by NWS.

\*\* NWS suggests that the Network Message Notification code would be an
internal-only, non-broadcast EAS message, with no specific text message,
to alert EAS stations that an important message will be disseminated at
a time defined by the expiration/purge time in the header.

\*\*\*NWS states that these codes would be used by NWS to control its
remote transmitter sites.

**APPENDIX B**

**PROPOSED LOCATION CODES FOR MARINE AREAS**

73 - Western North Atlantic Ocean, and along U.S. East Coast, from
Canadian border south to

Currituck Beach Light, N.C.

75 - Western North Atlantic Ocean, and along U.S. East Coast, south of
Currituck Beach

Light, N.C., following the coastline into Gulf of Mexico to Bonita
Beach, FL., including the

Caribbean

77 - Gulf of Mexico, and along the U.S. Gulf Coast from the Mexican
border to Bonita

Beach, FL.

57 - Eastern North Pacific Ocean, and along U.S. West Coast from
Canadian border to

Mexican border

58 - North Pacific Ocean near Alaska, and along Alaska coastline,
including the Berring Sea

and the Gulf of Alaska

59 - Central Pacific Ocean, including Hawaiian waters

65 - Western Pacific Ocean, including Mariana Island waters

61 - South Central Pacific Ocean, including American Samoa waters

91 - Lake Superior

92 - Lake Michigan

93 - Lake Huron

94 - Lake St. Clair

96 - Lake Erie

97 - Lake Ontario

98 - St. Lawrence River above St. Regis

**APPENDIX C**

**INITIAL REGULATORY FLEXIBILITY ANALYSIS**

As required by the Regulatory Flexibility Act ("RFA"),[^52] the
Commission has prepared this Initial Regulatory Flexibility Analysis
("IRFA") of the possible significant economic impact on small entities
by the policies and rules proposed in this *Notice of Proposed
Rulemaking* ("*NPRM*"). Written public comments are requested on this
IRFA. Comments must be identified as responses to the IRFA and must be
filed by the deadlines for comments on the *NPRM* provided above in
paragraph 34. The Commission will send a copy of the *NPRM*, including
this IRFA, to the Chief Counsel for Advocacy of the Small Business
Administration.[^53] In addition, this *NPRM* and IRFA (or summaries
thereof) will be published in the Federal Register.[^54]

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

In this *NPRM*, the Commission solicits comment on petitions for
rulemaking filed by the National Oceanic and Atmospheric Association
National Weather Service ("NWS") and the Society of Broadcast Engineers
("SBE") requesting revisions to the Part 11 rules governing the
Emergency Alert System ("EAS").[^55] The requested revisions are
intended to enhance the capabilities of EAS equipment, reduce burdens on
EAS participants, and improve the overall performance of the EAS.

**B. Legal Basis**

Authority for the actions proposed in this *NPRM* may be found in
Sections 1, 4(i) and (o), 303(r), 624(g) and 706 of the Communications
Act of 1934, as amended, 47 U.S.C. §§ 151, 154(i) and (o), 303(r),
554(g) and 606.

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

The RFA generally defines the term "small entity" as having the same
meaning as the terms "small business," "small organization," and "small
governmental jurisdiction."[^56] In addition, the term "small business"
has the same meaning as the term "small business concern" under the
Small Business Act.[^57] 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).[^58] A small organization is
generally "any not-for-profit enterprise which is independently owned
and operated and is not dominant in its field."[^59] Nationwide, as of
1992, there were approximately 275,801 small organizations.[^60] "Small
governmental jurisdiction" generally means "governments of cities,
counties, towns, townships, villages, school districts, or special
districts, with a population of less than 50,000."[^61] As of 1992,
there were approximately 85,006 such jurisdictions in the United
States.[^62] This number includes 38,978 counties, cities, and towns; of
these, 37,566, or 96 percent, have populations of fewer than
50,000.[^63] The Census Bureau estimates that this ratio is
approximately accurate for all governmental entities. Thus, of the
85,006 governmental entities, we estimate that 81,600 (91 percent) are
small entities.

*Television and radio stations*. The proposed rules would apply to
television broadcasting licensees and radio broadcasting licensees. The
SBA defines a television broadcasting station that has \$10.5 million or
less in annual receipts as a small business.[^64] Television
broadcasting stations consist of establishments primarily engaged in
broadcasting visual programs by television to the public, except cable
and other pay television services.[^65] Included in this industry are
commercial, religious, educational, and other television stations.[^66]
Also included are establishments primarily engaged in television
broadcasting and which produce taped television program materials.[^67]
Separate establishments primarily engaged in producing taped television
program materials are classified under another SIC number.[^68] There
were 1,509 television stations operating in the nation in 1992.[^69]
That number has remained fairly constant as indicated by the
approximately 1,663 operating television broadcasting stations in the
nation as of September 30, 2000.[^70] For 1992,[^71] the number of
television stations that produced less than \$10.0 million in revenue
was 1,155 establishments.[^72]

The SBA defines a radio broadcasting station that has \$5 million or
less in annual receipts as a small business.[^73] A radio broadcasting
station is an establishment primarily engaged in broadcasting aural
programs by radio to the public.[^74] Included in this industry are
commercial, religious, educational, and other radio stations.[^75] Radio
broadcasting stations, which primarily are engaged in radio broadcasting
and which produce radio program materials are similarly included.[^76]
However, radio stations which are separate establishments and are
primarily engaged in producing radio program material are classified
under another SIC number.[^77] The 1992 Census indicates that 96 percent
(5,861 of 6,127) radio station establishments produced less than \$5
million in revenue in 1992.[^78] Official Commission records indicate
that 11,334 individual radio stations were operating in 1992.[^79] As of
September 30, 2000, Commission records indicate that 12,717 radio
stations were operating.[^80]

Thus, the rules may affect approximately 1,663 full power television
stations, approximately 1,280 of which are considered small
businesses.[^81] Additionally, the proposed rules may affect some 12,717
full power radio stations, approximately 12,208 of which are small
businesses.[^82] These estimates may overstate the number of small
entities because the revenue figures on which they are based do not
include or aggregate revenues from non- television or non-radio
affiliated companies. There are also 2,395 low power television ("LPTV")
stations.[^83] Given the nature of this service, we will presume that
all LPTV licensees qualify as small entities under the SBA definition.

*Cable systems*. The proposed rules would also affect small cable
entities. The SBA has developed a definition of small entities for cable
and other pay television services, which includes all such companies
generating \$11 million or less in revenue annually.[^84] This
definition includes cable system operators, closed circuit television
services, direct broadcast satellite services, multipoint distribution
systems, satellite master antenna systems and subscription television
services. According to Census Bureau data from 1992, there were 1,788
total cable and other pay television services and 1,423 had less than
\$11 million in revenue.[^85]

The Commission has developed its own definition of a "small cable
system" for purposes of the EAS rules. Cable systems serving fewer than
10,000 subscribers per headend are considered small cable systems and
are afforded varying degrees of relief from the EAS rules.[^86] Based on
our most recent information, we estimate that there are 8,552 cable
systems that serve fewer than 10,000 subscribers per headend.[^87]
Consequently, we estimate that there are fewer than 8,552 small cable
systems that may be affected by the rules proposed herein.

The Communications Act also contains a definition of a small cable
system operator, 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."[^88] The Commission has determined that there are
67,700,000 subscribers in the United States. Therefore, we found 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 of its affiliates, do not exceed \$250 million in the
aggregate.[^89] Based on available data, we find that the number of
cable operators serving 677,000 subscribers or less totals 1,450.[^90]
We do not request nor do we collect information concerning whether cable
system operators are affiliated with entities whose gross annual
revenues exceed \$250,000,000,[^91] and thus are unable at this time to
estimate with greater precision the number of cable system operators
that would qualify as small cable operators under the definition in the
Communications Act.

*Multipoint Distribution Systems.* The Commission has defined "small
entity" for purposes of the auction of MDS 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.[^92] This definition of small entity in the context of MDS
auctions has been approved by the SBA.[^93] 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, we
estimate that of the 61 small business MDS auction winners, 48 remain
small business licensees.

MDS also includes licensees of stations authorized prior to the auction.
As noted, the SBA has developed a definition of small entities for pay
television services, which includes all such companies generating \$11
million or less in annual receipts.[^94] This definition includes MDS
and thus applies to MDS licensees that did not participate in the MDS
auction. Information available to us indicates that there are
approximately 392 incumbent MDS licensees that do not generate revenue
in excess of \$11 million annually. Therefore, we find that there are
approximately 440 small MDS providers as defined by the SBA and the
Commission's auction rules which may be affected by the rules proposed
herein.

*Instructional Television Fixed Service.* The SBA definition of small
entities for pay television services also appears to apply to ITFS.[^95]
There are presently 2,032 ITFS licensees. All but 100 of these licenses
are held by educational institutions. Educational institutions are
included in the definition of a small business.[^96] However, we do not
collect annual revenue data for ITFS licensees, and are not able to
ascertain how many of the 100 non-educational licensees would be
categorized as small under the SBA definition. Thus, we tentatively
conclude that at least 1,932 ITFS are small businesses and may be
affected by the proposed rules.

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

There are no reporting or recordkeeping requirements proposed in this
*NPRM*. The proposals set forth in the *NPRM* are, for the most part,
intended to enhance the performance of the EAS during state and local
emergencies. We emphasize that participation in state and local EAS
activities remains voluntary and that we do not wish to impose
additional costs or burdens on broadcast stations and cable systems that
choose not to participate in state and local area EAS plans. The *NPRM*
seeks comment on proposed additions and revisions to the EAS digital
header codes used in the transmission of state and local EAS alerts. In
addition, the *NPRM* proposes to increase the time period for
retransmitting Required Monthly Tests of the EAS system and to reduce
the modulation level for EAS codes. These proposals would lessen
operational burdens on EAS participants. The *NPRM* also seeks comment
on various suggestions by NWS and SBE to revise EAS operational and
equipment requirements.

**E. Steps Taken to Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered**

The RFA requires an agency to describe any significant alternatives that
it has considered in reaching its proposed approach, which may include
the following four alternatives: (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 or
reporting requirements under the rule for 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 small entities.

In setting forth the proposals contained in this *NPRM*, we have
attempted to minimize the burdens on all entities. We seek comment on
the impact of our proposals on small entities and on any possible
alternatives that would minimize the impact on small entities.

**F. Federal Rules that Duplicate, Overlap, or Conflict with the
Proposed Rules**

None.

**Dissenting Statement of Commissioner Harold W. Furchtgott-Roth**

Amendment of Part 11 of the Commission's Rules Regarding the Emergency
Alert System, Notice of Proposed Rulemaking

The current Emergency Alert System ("EAS") provides a valuable service
to the American public. Its usefulness has been demonstrated in
countless situations where the public has been notified of impending
emergencies and has been informed of the details as those emergencies
develop. Current EAS rules are grounded both in law and good practice.
The Notice of Proposed Rulemaking ("NPRM") suggests new EAS rules, some
voluntary, others not. The new rules would not be as clearly grounded in
law, nor would they necessarily reflect sound policy. For these reasons,
I dissent.

I am particularly troubled about the adoption of voluntary rules in all
instances. How are such rules applied and enforced? What meaning do they
have? If the law requires a regulated entity to provide a certain
service, that service cannot be voluntary. Conversely, the agency should
not suggest voluntary compliance with rules that have little or no
statutory basis.

Specifically, the NPRM suggests additional warning rules for state and
local emergencies without adequately exploring the effect such rules,
albeit proposed as voluntary, may have on broadcasters and cable
operators. For example, while questions are raised as to the costs of
providing such warnings, the NPRM does not recognize or consider the
fact that local franchising authorities may require cable operators to
issue local emergency warnings as a condition of a franchise
renewal---thus, turning a voluntary action into a mandatory requirement
at the local level. The NPRM also considers additional rules for
alerting persons with disabilities, yet does not examine whether the
rules in place adequately address the concerns raised. It is important
to note that these suggested proposals, and others like them in the
item, are proffered for consideration even before the original EAS
requirements have been completely implemented by some of the affected
entities.[^97]

In sum, the Commission should have issued a Notice of Inquiry that
reflects upon the current state of EAS. After such an inquiry, if it
were found that additional policies were necessary to fix the current
system consistent with the law, or that other communications services
need to be included to better effectuate the goal of alerting the public
to dangers, then the Commission would be on firmer ground to go forward.

[^1]: 47 C.F.R. §§ 11.1, *et seq*.

[^2]: NWS Petition for Rulemaking, RM-9215 (filed December 30, 1997)
    ("NWS Petition").

[^3]: SBE Petition for Rulemaking, RM-9156 (filed August 14, 1997) ("SBE
    Petition").

[^4]: *Amendment of Part 73, Subpart G, of the Commission's Rules
    Regarding the Emergency Broadcast System, Report and Order and
    Further Notice of Proposed Rule Making*, FO Docket Nos.
    91-171/91-301, 10 FCC Rcd 1786 (1994) ("*First Report and Order*"),
    *reconsideration granted in part, denied in part*, 10 FCC Rcd 11494
    (1995).

[^5]: *Amendment of Part 73, Subpart G, of the Commission's Rules
    Regarding the Emergency Broadcast System, Second Report and Order*,
    FO Docket Nos. 91-171/91-301, 12 FCC Rcd 15503 (1997) ("*Second
    Report and Order*"). For purposes of the EAS rules, a "wireless
    cable system" is a collection of Multipoint Distribution Service,
    Multichannel Multipoint Distribution Service or Instructional
    Television Fixed Service channels used to provide video programming
    services to subscribers. The channels may be licensed to or leased
    by wireless cable system operators. *See* 47 C.F.R. § 11.11(c)(1).

[^6]: Although all broadcast stations, cable systems and wireless cable
    systems are required to install EAS equipment, they have the option
    of requesting FCC authorization to be Non-participating National
    ("NN") sources. In the event of a national EAS alert, NN sources are
    required to transmit a sign-off announcement and then go off the
    air. *See* 47 C.F.R. §§ 11.19, 11.41 and 11.54. In addition, Class D
    noncommercial FM, low power FM and low power TV stations are
    required to install EAS decoders, but are not required to install or
    operate EAS encoders. *See* 47 C.F.R. § 11.11(b).

[^7]: Hereafter, for convenience, we include wireless cable systems when
    we refer to cable systems.

[^8]: NWS's petition was a follow-up to a letter to the Commission dated
    June 19, 1997. Letter to Reed Hundt, Chairman, Federal
    Communications Commission, from Elbert W. Friday, Jr., Assistant
    Administrator for Weather Services, National Weather Service (June
    19, 1997) ("NWS Letter"). The petition revised and summarized the
    proposals set forth in the NWS Letter. NWS has also submitted to the
    Commission other proposed modifications to the EAS rules in
    follow-up letters and at the February 25, 2000, meeting of the EAS
    National Advisory Committee. We will consider these other proposed
    modifications along with NWS's petition in this *NPRM* .

[^9]: Public Notice No. 2248 (January 14, 1998).

[^10]: *See* 47 C.F.R. § 11.31.

[^11]: Public Notice No. 2219 (August 22, 1997).

[^12]: 47 C.F.R. § 11.31(e).

[^13]: Although EAS participants transmit codes for state and local EAS
    events on an optional basis, EAS equipment is required to be capable
    of recognizing *all* EAS codes. 47 C.F.R. §§ 11.32 and 11.33.

[^14]: NWS Petition at 1-3.

[^15]: NWS Petition at 3.

[^16]: SBE Comments at 1-2.

[^17]: *First Report and Order*, 10 FCC Rcd 1786; *Second Report and
    Order*, 12 FCC Rcd 15503.

[^18]: Estimated costs for broadcast stations to install EAS equipment
    ranged from \$600 to \$2,500. The cost to cable systems is higher
    due to the multichannel nature of cable systems. Estimated costs for
    cable systems to install EAS equipment ranged from \$10,000 to
    \$15,000. *First Report and Order*, 10 FCC Rcd at 1828-32.

[^19]: NWS Petition at 5-6; NWS Letter at 9-13.

[^20]: SBE Petition at 17.

[^21]: NAB Comments at 4.

[^22]: 47 C.F.R. § 11.31(f).

[^23]: NWS Petition at 7.

[^24]: NWS indicates that the special "SS" codes for marine areas would
    be used in conjunction with special "CCC" codes. The special "CCC"
    codes have not yet been designated.

[^25]: SBE Petition at 8.

[^26]: NWS Petition at 1, 3-4.

[^27]: SBE Comments at 2-3.

[^28]: 47 C.F.R. § 11.31(d).

[^29]: 47 C.F.R. § 11.34; *see also* 47 C.F.R. Part 2, Subpart J.

[^30]: *See* 47 C.F.R. § 2.1043.

[^31]: *See* 47 C.F.R. §§ 11.51(l), 11.52(e)(2) and 11.61(a)(1)(v).

[^32]: SBE Petition at 3.

[^33]: NAB Comments at 3; Fox Comments at 1-2.

[^34]: *Id*. at 6.

[^35]: *Id*.

[^36]: NWS Petition at 1; NWS Letter at 3-4.

[^37]: 47 C.F.R. § 11.33(a)(4) and (a)(5).

[^38]: *Id*. at 10-11.

[^39]: *Id*.

[^40]: *Id.* at 11.

[^41]: *See* 47 C.F.R. §§ 11.51(j) and 11.52(c).

[^42]: SBE Petition at 14.

[^43]: 47 C.F.R. § 11.32(a)(5).

[^44]: SBE Petition at 16.

[^45]: Memorandum from President William J. Clinton to James L. Witt,
    Director, Federal Emergency Management Agency (September 15, 1995).
    This Memorandum sets forth the responsibilities of the FCC, FEMA,
    the White House Military Office, and the National Oceanic and
    Atmospheric Administration with respect to the development and
    operation of the EAS.

[^46]: Memorandum from John D. Hwang, Associate Director, Information
    Technology Services Directorate, Federal Emergency Management
    Agency, to James L. Witt, Director, Federal Emergency Management
    Agency (September 22, 1995).

[^47]: Letter to Frank Lucia, Director, Emergency Communications,
    Federal Communications Commission, from Douglas W. Garlinger,
    Chairman, EAS Compliance Committee, National Association of
    Shortwave Broadcasters, Inc. (August 30, 1996).

[^48]: 47 C.F.R. § 11.54(b)(9).

[^49]: Letter to Thomas A. Furman, National Security and Affairs
    Division, Executive Office of the President, Office of Science and
    Technology Policy, from Arlan K. van Doorn, Deputy Chief, Compliance
    and Information Bureau, Federal Communications Commission (September
    13, 1996).

[^50]: Letter to Arlan K. van Doorn, Deputy Chief, Compliance and
    Information Bureau, Federal Communications Commission, from Thomas
    A. Furman, National Security and Affairs Division, Executive Office
    of the President, Office of Science and Technology Policy (December
    6, 1996).

[^51]: Letter to Douglas W. Garlinger, Chairman, EAS Compliance
    Committee, National Association of Shortwave Broadcasters, Inc.,
    from Arlan K. van Doorn, Deputy Chief, Compliance and Information
    Bureau, Federal Communications Commission (December 20, 1996).

[^52]: *See* 5 U.S.C. § 603. The RFA, *see* 5 U.S.C. § 601 *et seq.*,
    has been amended by the Contract With America Advancement Act of
    1996, Pub. L. No. 104-121, 110 Stat. 847 (1996) ("CWAAA"). Title II
    of the CWAAA is the Small Business Regulatory Fairness Enforcement
    Act of 1996.

[^53]: *See* 5 U.S.C. § 603(a).

[^54]: *See id*.

[^55]: 47 C.F.R. §§ 11.1, *et seq*.

[^56]: 5 U.S.C. § 601(6).

[^57]: 5 U.S.C. § 601(3) (incorporating by reference the definition of
    "small business concern" in 15 U.S.C. § 632). Pursuant to the RFA,
    the statutory definition of a small business applies "unless an
    agency, after consultation with the Office of Advocacy of the Small
    Business Administration and after opportunity for public comment,
    establishes one or more definitions of such term which are
    appropriate to the activities of the agency and publishes such
    definition(s) in the Federal Register." 5 U.S.C. § 601(3). While we
    tentatively believe that the SBA's definition of "small business"
    greatly overstates the number of radio broadcast stations that are
    small businesses and is not suitable for purposes of determining the
    impact of the proposals on small radio stations, for purposes of
    this Notice, we utilize the SBA's definition in determining the
    number of small businesses to which the proposed rules would apply,
    but we reserve the right to adopt a more suitable definition of
    "small business" as applied to radio broadcast stations subject to
    the proposed rules in this Notice and to consider further the issue
    of the number of small entities that are radio broadcasters or other
    small media entities in the future. *See Report and Order* in MM
    Docket No. 93-48 (*Children's Television Programming*), 11 FCC Rcd
    10660, 10737-38 (1996), *citing* 5 U.S.C. § 601(3).

[^58]: Small Business Act, 15 U.S.C. § 632 (1996).

[^59]: 5 U.S.C. § 601(4).

[^60]: 1992 Economic Census, U.S. Bureau of the Census, Table 6 (special
    tabulation of data under contract to Office of Advocacy of the U.S.
    Small Business Administration).

[^61]: 5 U.S.C. § 601(5).

[^62]: U.S. Dept. of Commerce, Bureau of the Census, "1992 Census of
    Governments."

[^63]: *Id*.

[^64]: 13 C.F.R. § 121.201, SIC code 4833.

[^65]: Economics and Statistics Administration, Bureau of Census, U.S.
    Department of Commerce, 1992 Census of Transportation,
    Communications and Utilities, Establishment and Firm Size, Series
    UC92-S-1, Appendix A-9 (1995) ("1992 Census, Series UC92-S-1").

[^66]: *Id.*

[^67]: 1992 Census, Series UC92-S-1, at Appendix A-9.

[^68]: *Id*., SIC code 7812 (Motion Picture and Video Tape Production);
    SIC code 7922 (Theatrical Producers and Miscellaneous Theatrical
    Services) (producers of live radio and television programs).

[^69]: FCC News Release No. 31327 (January 13, 1993); 1992 Census,
    Series UC92-S-1, at Appendix A-9.

[^70]: FCC News Release, "Broadcast Station Totals as of September 30,
    2000."

[^71]: A census to determine the estimated number of Communications
    establishments is performed every five years, in years ending with a
    "2" or "7." *See* 1992 Census, Series UC92-S-1, at III.

[^72]: The amount of \$10 million was used to estimate the number of
    small business establishments because the relevant Census categories
    stopped at \$9,999,999 and began at \$10,000,000. No category for
    \$10.5 million existed. Thus, the number is as accurate as it is
    possible to calculate with the available information.

[^73]: 13 C.F.R. § 121.201, SIC code 4832.

[^74]: 1992 Census, Series UC92-S-1, at Appendix A-9.

[^75]: *Id*.

[^76]: *Id.*

[^77]: *Id*.

[^78]: The Census Bureau counts radio stations located at the same
    facility as one establishment. Therefore, each colocated AM/FM
    combination counts as one establishment.

[^79]: FCC News Release, No. 31327 (January 13, 1993).

[^80]: FCC News Release, "Broadcast Station Totals as of September 30,
    2000."

[^81]: We use the 77% figure of TV stations operating at less than \$10
    million for 1992 and apply it to the 1999 total of 1,663 TV stations
    to arrive at 1,280 stations categorized as small businesses.

[^82]: We use the 96% figure of radio station establishments with less
    than \$5 million revenue from the Census data and apply it to the
    12,717 individual station count to arrive at 12,208 individual
    stations categorized as small businesses.

[^83]: FCC News Release, "Broadcast Station Totals as of September 30,
    2000".

[^84]: 13 C.F.R. § 121.201, SIC 4841.

[^85]: 1992 Economic Census Industry and Enterprise Receipts Size
    Report, Table 2D, SIC code 4841 (U.S. Bureau of the Census data
    under contract to the Office of Advocacy of the U.S. Small Business
    Administration).

[^86]: The Commission developed this definition based on its
    determination that requiring cable systems serving fewer than 10,000
    subscribers to comply with the EAS rules immediately may have an
    adverse economic effect on their operations. *Second Report and
    Order*, 12 FCC Rcd at 15516-17. Cable systems serving between 5,000
    and 10,000 subscribers per headend must install EAS equipment and
    provide audio and video EAS messages on all programmed channels by
    October 1, 2002. Cable systems serving fewer than 5,000 subscribers
    per headend must either provide the national level EAS message on
    all programmed channels or install EAS equipment and provide a video
    interrupt and audio alert on all programmed channels and EAS audio
    and video messages on at least one programmed channel by October 1,
    2002. *See* 47 C.F.R. § 11.11.

[^87]: *Television and Cable Factbook*, Warren Publishing, Inc., at I-98
    (2000).

[^88]: 47 U.S.C. § 543(m)(2).

[^89]: 47 C.F.R. § 76.901(f).

[^90]: Paul Kagan Associates, Inc., Cable TV Investor, February 29, 1996
    (based on figures for December 30, 1995).

[^91]: We do receive such information on a case-by-case basis only if a
    cable operator appeals a local franchise authority's finding that
    the operator does not qualify as a small cable operator pursuant to
    Section 76.901(f) of the Commission's Rules. *See* 47 C.F.R. §
    76.990(b).

[^92]: 47 C.F.R. § 21.961(b)(1).

[^93]: *See Amendment of Parts 21 and 74 of the Commission's Rules With
    Regard to Filing Procedures in the Multipoint Distribution Service
    and in the Instructional Television Fixed Service and Implementation
    of Section 309(j) of the Communications Act -- Competitive Bidding*,
    MM Docket No. 94-131 and PP Docket No. 93-253, Report and Order, 10
    FCC Rcd 9589 (1995).

[^94]: 13 C.F.R. § 121.201.

[^95]: 13 C.F.R. § 121.201.

[^96]: 5 U.S.C. § 601(3).

[^97]: Cable systems with fewer than 10,000 subscribers and wireless
    cable systems are required to install EAS equipment by October 1,
    2002.