Source: https://www.federalregister.gov/articles/2012/03/22/2012-6601/review-of-the-emergency-alert-system
Timestamp: 2016-08-28 05:09:12
Document Index: 558938691

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Federal Register | Review of the Emergency Alert System
Dates: Effective April 23, 2012, except for 47 CFR 11.21(a), 11.33(a)(4), 11.41(b), 11.42, 11.54(b)(13), and 11.55, which contain information collection requirements that have not been approved by the Office of Management and Budget (OMB). The incorporation by reference of certain publications listed in this rule is approved by the Director of the Federal Register as of April 23, 2012. The Commission will publish a document in the Federal Register announcing the effective date of those paragraphs and rule amendments.
-16712 (25 pages)
Document Number: 2012-6601
Shorter URL: https://federalregister.gov/a/2012-6601 Related Topics
Synopsis of the Fifth Report and Order Back to Top
12. CAP-Formatted Message Conversion to SAME. The Commission adopts its tentative conclusion in the Third FNPRM to amend § 11.56 to require EAS Participants to convert CAP-formatted EAS messages into SAME-compliant EAS messages in accordance with the ECIG Implementation Guide, except for its provisions on text-to-speech and gubernatorial CAP messages. The Commission observes that adopting the ECIG Implementation Guide as the standard for translating CAP-formatted messages into SAME-compliant messages will harmonize CAP elements with the Part 11 rules, thus ensuring that CAP-formatted EAS messages are converted into SAME-compliant messages in a consistent, cost-efficient manner across devices and delivery platforms. The Commission also observes that adoption of this requirement has broad support in the record.
15. CAP-Related Monitoring Requirements. The Commission amends § 11.52 of its rules to include a requirement that EAS Participants' EAS equipment must interface with and monitor (whether through “pull” interface technologies, such as Really Simple Syndication (RSS) and Atom Syndication Format (ATOM), or “push” interface technologies, such as instant messaging and email) the IPAWS system to enable distribution of Federal CAP-formatted alert messages from IPAWS to the EAS Participants' EAS equipment. Whereas the Commission had initially proposed in the Third FNPRM to require that EAS Participants monitor FEMA's IPAWS RSS feed(s) for Federal CAP-formatted messages, it concludes that it is unrealistic to require that EAS Participants adhere to a specific technical standard for CAP monitoring. The Commission also observes that the technical parameters of the IPAWS system are still evolving—and the digital world in which that system operates is evolving faster still. The Commission finds that trying to keep up with these changes while specifying the technical requirements for Federal CAP monitoring in the Part 11 rules is neither practical nor administratively efficient. In this regard, the Commission observes that FEMA changed the methodology for distributing CAP messages from its IPAWS system to the EAS from RSS to ATOM shortly after the Third FNPRM's adoption. The Commission also finds that the flexible approach to monitoring adopted in the Fifth Report and Order will benefit equipment manufacturers by allowing them to update their equipment designs as Federal CAP message delivery mechanisms and technology evolve.
21. The Commission explains that component intermediary devices, by contrast, are designed to interoperate with specific legacy EAS device models. The Commission observes that component intermediary devices also monitor for, acquire, and decode CAP messages, but are designed to enhance the function of specific legacy EAS devices. As a result, the Commission explains, the output of the combined system configuration of these devices is capable of more than simply generating a SAME-compliant message. The Commission observes that the record indicates that such configurations may permit the use of the enhanced CAP text to meet the visual display requirements in §§ 11.51(d), (g)(3), (h)(3), and (j)(2).
23. Based on the record and the transitional approach it adopts for this proceeding, the Commission concludes that it will allow EAS Participants to meet the CAP-related obligations adopted in the Fifth Report and Order by using intermediary devices in tandem with their existing legacy EAS equipment, provided that such configuration can comply with the revised certification requirements adopted in the Fifth Report and Order as well as with any applicable Part 11 requirements we may adopt in the future. The Commission further concludes, however, that because it is requiring that EAS Participants utilize the enhanced text in a CAP message to provide a visual display, as set forth in § 3.6 of the ECIG Implementation Guide, it will require that any intermediary devices provide such functionality by June 30, 2015, which is three years from the June 30, 2012, deadline for overall CAP compliance.
25. With respect to its decision to require intermediary devices to be capable of utilizing the enhanced text in a CAP message to provide a visual display, as set forth in § 3.6 of the ECIG Implementation Guide, by June 30, 2012, the Commission recognizes that it will likely be technically unfeasible for universal intermediary devices (and possibly some component intermediary devices), as well as the legacy EAS devices with which they are configured, to meet this requirement. The Commission acknowledges that, as a result, non-conforming equipment would have to be replaced, but concludes that any costs associated with such replacement are consistent with those that EAS Participants may expect in the normal course of business, particularly as much of the underlying legacy equipment upon which intermediate devices depend is old and will soon need to be replaced. The Commission finds that the approximately three and one half-year window it is providing for intermediary device users is sufficient to allow EAS Participants to finish depreciating and then replace this aging legacy EAS equipment and to allow equipment manufacturers time to develop possible workarounds to allow intermediate devices to become compliant with the revised rules. The Commission also observes that among the benefits that CAP-compliant equipment will bring is an EAS that is more accessible to all Americans, including Americans with disabilities, who will directly benefit from this new requirement.
26. Section 11.32(a). The Commission concludes that it is unnecessary to make any changes to the minimum encoder requirements set forth in § 11.32(a) regarding CAP-to-SAME conversion. The Commission observes that the conversion of CAP-to-SAME is primarily a decoding function that CAP-compliant EAS equipment is designed to perform. The Commission further observes that it is not requiring encoders to encode anything other than the relevant EAS Protocol elements described in § .31 that they have always been required to encode, and that this is the case regardless of whether the relevant EAS Protocol elements are derived from a CAP-formatted message or a SAME-formatted message.
27. Section 11.32(a)(2) and (a)(3). The Commission revises the encoder input port configuration requirements in § 11.32(a)(2) to require that encoders be configured with at least one audio input port and at least one data input port. The Commission also deletes as unnecessary references to RS232-C and 1200 baud rate, which manufacturers may continue to make available, if they so desire. The Commission concludes that decisions concerning the total number and types of data input ports configured into encoders are best left to equipment manufacturers, so that they can respond to the monitoring requirements of the CAP systems with which EAS equipment may interface (such as IPAWS and state CAP systems), changes in technology, and costs of compliance. The Commission also finds that, for the sake of consistency with its transitional approach, the input configuration requirements should continue to require audio and data connectivity. Finally, the Commission applies the minimal requirement of at least one audio port and at least one data port to the encoder output port configuration requirements in § 11.32(a)(3), because it finds that the rationale above applies equally to the output ports and the record strongly supports such application.
28. Section 11.33(a). The Commission revises the minimum requirements for decoders in § 11.33(a) of the Commission's rules to include the capability to decode CAP-formatted messages and convert them into SAME protocol-compliant messages, as set forth in § 11.56 and clarify that this requirement can be met through the deployment of an intermediary device. The Commission observes that the fundamental purpose of decoders is to ingest and process EAS messages, whether formatted in the SAME or CAP protocols, and adding CAP reception to § 11.33(a) will put CAP on the same footing as SAME. The Commission also finds it appropriate to clarify in § 11.33(a) that intermediary devices may be used to meet the fundamental decoder requirement of converting CAP messages into SAME-compliant messages.
29. Section 11.33(a)(1) and (a)(7). For the same reasons described above with respect to encoder input configuration requirements, the Commission revises the decoder input configuration requirements in § 11.33(a)(1) to require at least one data input port (this section already requires the capability to receive “at least two audio inputs”). The Commission also deletes as unnecessary any references to RS232-C and 1200 baud. The Commission revises the decoder output configuration requirements in § 11.33(a)(7) to reflect these changes.
30. Section 11.33(a)(4). The Commission amends § 11.33(a)(4) to include selective display and logging of the text that was compiled from CAP-formatted messages. The Commission finds that this revision is necessary to harmonize CAP-formatted message processing with SAME-formatted message processing. The Commission observes that its decision is supported by EAS equipment manufacturers, the industry affected by the rule revision, and that the revision imposes no additional technical obligations or costs either to these manufacturers or to EAS Participants.
31. Section 11.33(a)(10). The Commission adopts its tentative conclusion set forth in the Third FNPRM to decline CSRIC's recommendation to revise § 11.33(a)(10) to require use of the CAP-formatted message where a duplicate SAME-formatted message was also received. The Commission observes that the ECIG Implementation Guide includes a process for handling CAP messages where a duplicate SAME-formatted message also has been received, which prefers (but does not require) use of the CAP version. The Commission also observes that it is requiring CAP-to-SAME conversion in conformance with the ECIG Implementation Guide, which should satisfy the underlying thrust of CSRIC's recommendation.
32. Section 11.33(a)(11). The Commission revises § 11.33(a)(11) to ensure that EAN messages receive priority over all other EAS messages, regardless of whether the EAN message was received via the audio port or data port, or was formatted in SAME or CAP. The Commission finds that this action is necessary because as currently written, § 11.33(a)(11) could be interpreted to require a preference for SAME-formatted EAN messages received via over-the-air broadcast monitoring over duplicate CAP versions of the same message received via the data input port. The Commission also finds that such action is necessary to ensure that EAS equipment consistently gives EANs priority, regardless of how it receives them.
34. Section 11.1. The Commission concludes that the existing language defining the purpose of the EAS in § 11.1, which covers Federal, state, and local government users, and their designees, is broad enough to capture all authorized users of the EAS, whether they initiate SAME-formatted messages or CAP-formatted messages. Accordingly, the Commission declines CSRIC's recommendation to revise § 11.1 to include new CAP-related alert originators.
35. Section 11.11. The Commission amends § 11(a) to delete the reference therein to “analog television broadcast stations” and to include as a minimum requirement compliance with the CAP-related requirements in § 11.56. The Commission observes that the reference to “analog television broadcast stations” is obsolete in light of the fact that since June 13, 2009, all full-power U.S. television stations have broadcast over-the-air signals in digital only. The Commission also finds that incorporating the CAP-related obligations in § 11.56 by reference into section 11.11(a) is necessary to put CAP and SAME on an equal footing in Part 11.
36. Section 11.11 equipment deployment tables. The Commission adopts the revisions to the equipment deployment tables in § 11.11 proposed in the Third FNPRM. Specifically, the Commission amends the equipment deployment tables in § 11.11 by adding a footnote to the “EAS decoder” entries in the tables to clarify that the obligation to receive and translate CAP-formatted messages may be met by deploying an intermediary device. The Commission finds that because the tables in § 11.11 already require deployment of EAS decoders, a reference to intermediary devices (which are stand-alone equipment in their own right) is required for consistency in light of its decision to permit EAS Participants to deploy intermediary devices to meet their CAP-related obligations. The Commission also deletes the date references in the equipment deployment tables in § 11.11 (as well as cross-references to these dates in other sections of Part 11, such as § 11.51(c) and (d)), along with the entry for two-tone encoders. The Commission finds that this action is required for consistency and has support in the record.
37. The Commission also concludes that incorporating monitoring requirements or references thereto into § 11.11 is unnecessary. The Commission observes that no party filed comments on this issue directly. The Commission further observes that decoders already are required to meet the monitoring requirements in § 11.52, which it is amending to include CAP monitoring. Accordingly, the Commission concludes that the basic requirement to deploy a decoder (or intermediary device) necessarily triggers CAP monitoring obligations.
38. Section 11.20. The Commission concludes that § 11.20 of the Commission's rules need not be revised to accommodate the distribution of CAP messages, as recommended by CSRIC, or to incorporate CAP monitoring, as recommended by parties responding to the Part 11 Public Notice. Specifically, the Commission concludes that the language in § 11.20 is broad enough to encompass EAS messages originated in CAP format, to the extent that a given state relay network is involved in the distribution of that state's CAP-formatted alert messages. The Commission also observes that it does not know what role the state relay network will or will not play in the distribution of CAP messages in each state (or locality), or whether these will be consistent for all states (and localities). The Commission defers specifying how state and local SAME-formatted and CAP-formatted EAS messages are distributed to state and Local Area EAS Plans.
39. Section 11.21. The Commission amends the State Area EAS Plan requirements in section 11.21(a) to make clear that the State EAS Plans specify the monitoring assignments and the specific primary and backup path for SAME-formatted EANs and that the monitoring requirements for CAP-formatted EANs are set forth in § 11.52. The Commission observes that it does not know what role, if any, state alerting systems may play in disseminating CAP-formatted EANs in the future. Accordingly, the Commission also includes language that to the extent a state may distribute CAP-formatted EANs to EAS Participants via its state alerting system, its State EAS Plan must include specific and detailed information describing how such messages will be aggregated and delivered, just as it must for state CAP-formatted non-EAN messages.
40. The Commission observes that its proposal in the Third FNPRM to clarify § 11.21(a) (and 11.55(a)) that the mandate to process gubernatorial alerts applies to CAP alerts has become moot in light of its decision to eliminate the obligation that EAS Participants receive and process CAP-formatted gubernatorial alerts. The Commission also observes, however, that detailed information describing how state-originated CAP-formatted messages will be aggregated and distributed to EAS Participants, including applicable monitoring requirements, must be detailed in the State EAS Plans, just as the equivalent information for SAME-formatted alerts always has been, and amends § 11.21(a) to make this clear.
41. Section 11.21(c). The Commission defers taking any action regarding the FCC Mapbook, requirements in § 11.21(c) of the Commission's rules, until, at a minimum, it has completed its review of the test data it will be receiving from EAS Participants as a result of the November 9, 2011, Nationwide EAS Test.
42. Section 11.31(a)(3). In light of its decisions to require conversion of CAP-formatted messages into the existing EAS Protocol for transmission over the current EAS architecture, the Commission finds that the language in § 11.31(a)(3) limiting the EAS Protocol message to audio, video, or text remains valid and thus declines to revise the language in § 11.31(a) to better reflect CAP's capabilities.
43. Section 11.35(a). The Commission amends sections 11.35(a) and (b) to clarify that these sections apply to all equipment used as part of the EAS, including all equipment that performs the functions of decoding and encoding messages formatted in the EAS Protocol and the Common Alerting Protocol. The Commission observes that §§ 11.35(a) and (b) apply to EAS Encoders and Decoders and have terms that are broad enough to capture both integrated CAP-capable EAS devices as well as intermediary devices, but nonetheless clarifies the language in these sections to remove any ambiguity on this issue.
44. Section 11.45. The Commission declines to adopt CSRIC's recommendation to revise § 11.45 to prohibit CAP messages lacking “Actual” status indicators. The Commission observes that the language in § 11.45 already broadly prohibits the transmission of the EAS codes or attention signal “in any circumstances other than in an actual National, State or Local area emergency.” The Commission finds that this language is sufficiently broad to encompass EAS codes and attention signals generated from the receipt of a SAME-formatted or CAP-formatted message. The Commission also observes that the ECIG Implementation Guide, which the Commission adopts as the standard for CAP-to-SAME conversion, already requires that CAP messages have an “ACTUAL” status indicator for EAS activation.
45. Section 11.51. The Commission adopts the tentative conclusion in the Third FNPRM that there is no basis for adopting CSRIC's recommendation to revise the language in section 11.51 of the Commission's rules to state that equipment must be capable of transmitting (or “rendering”) a CAP-compliant message to EAS. The Commission observes that to the extent CSRIC meant to revise § 11.51 to ensure conversion of CAP messages into SAME-compliant messages, that requirement has been incorporated into section 11.56. The Commission also observes that this is a fundamental requirement that will be cross-referenced in other sections of Part 11.
46. Section 11.51(d), (g)(3), (h)(3), and (j)(2). The Commission amends § 11.51(d), (g)(3), (h)(3), and (j)(2) of the Commission's rules to require EAS Participants to derive the visual display elements, including the originator, event, location and the valid time period of the EAS message, from the CAP text data as described in section 3.6 of the ECIG Implementation Guide. The Commission observes that every commenter addressing this issue favored allowing EAS Participants to construct the video crawl from the enhanced text in CAP per the ECIG Implementation Guide. The Commission further observes that the ECIG Implementation Guide provides procedures for deriving the video crawl translation of a CAP-formatted message to include not only the EAS codes required under the Part 11 rules, but also additional text relating to the event, which it believes would provide more visual information to alert message viewers. The Commission observes that the utility of such additional text has never been in question. The Commission explains, for example, that the ability to provide additional descriptive information will make alerts more focused, which could be vitally important for Amber alerts and other alerts that require more specific information than the basic who, what, when and where that EAS codes provide. The Commission also observes that CAP alert originators will also be able to include in alerts suggested actions to avoid or prepare for the emergency condition; identify URLs and other sources of additional information; or provide a textual translation of the audio portion of a message, which would be particularly beneficial to the deaf and hard of hearing community.
49. Section 11.54. The Commission declines to adopt CSRIC's recommendations to mandate that CAP-formatted messages be broadcast only if the scope of the alert is “Public,” and to revise § 11.54(b)(1) to include IPAWS monitoring. The Commission observes that it is only requiring EAS equipment to produce a SAME-compliant output, and there is no requirement in the EAS Protocol, or more broadly, in the Part 11 rules, to broadcast only “Public” EAS messages. The Commission also observes that the ECIG Implementation Guide, with which the Commission is requiring conformance, already specifies that EAS Participants must ignore CAP-formatted messages with a value in the “scope” field other than “Public.” With respect to CSRIC's proposal to revise § 11.54(b)(1) to include IPAWS monitoring, the Commission observes that it is deleting § 11.54(b)(1), and therefore this issue is moot.
54. Intermediary Devices. As a preliminary matter, the Commission finds that universal intermediary devices and component intermediary devices perform encoder or decoder functions and as such are subject to certification under § 11.34 of the Commission's rules. Specifically, the Commission observes that universal intermediary devices monitor, acquire, and decode CAP messages, using the relevant CAP data to generate (i.e., encode) the EAS codes (FSK audio tones) and if present, an audio message, which can be received by the audio input of a legacy EAS device just as it would receive any other over-the-air SAME-formatted message. Accordingly, the Commission finds that universal intermediary devices are subject to certification both as decoders and encoders under § 11.34(a) and (b) of our rules, respectively.
55. The Commission observes that component intermediary devices also monitor for, acquire, and decode CAP messages, but because they are configured to interface with a specific legacy EAS device model, they may be capable of communicating the extracted data to the companion legacy EAS device model in a non-AFSK format and thus may not themselves be encoding the SAME data. The Commission concludes that under these circumstances, a component intermediary device would not be subject to certification as an encoder under § 11.34(a) in its capacity as a stand-alone device. The Commission also observes, however, that component intermediary devices are designed for and intended to be operated with specific legacy EAS device models. Accordingly, the Commission finds that the output of the combined system configuration of these devices performs encoding functions which subjects such configuration to certification under § 11.34(a). In addition, the Commission observes that component intermediary devices perform decoding functions in their capacity as stand-alone devices that subject them to certification under § 11.34(b).
57. Modified Equipment. The Commission concludes that the existing requirements governing modifications to certified equipment in section 2.1043 of the Commission's rules are sufficient to cover CAP-enabled equipment. The Commission clarifies that modifications to authorized EAS equipment that are necessary to implement revisions to the EAS event codes, originator codes, or location codes set forth in section 11.31 may be implemented as Class I permissive changes. The Commission also observes that any future revisions to the CAP-related standards adopted by FEMA could not become effective in the Part 11 rules absent a rulemaking proceeding. E. CAP Messages Originated by State Governors
63. Revising Section 11.54. The Commission deletes §§ 11.54(b)(1), (3), (4), (10), and 11.54(c) from the Part 11 rules. The Commission finds that these provisions are superfluous in the context of the message-by-message processing it is adopting for EANs.
64. Deleting Section 11.42. The Commission deletes § 11.42 from the Part 11 rules because it no longer serves any purpose.
66. However, the Commission is deleting §§ 11.54(a), (b)(2), and (5)-(8) because they serve no purpose under the message-by-message processing approach it adopts for handling EANs. The Commission observes that these provisions all refer to procedures set forth in the EAS Operating Handbook designed to implement the National Emergency Condition, which the Commission is eliminating. The Commission observes that if it elects to retain the EAS Operating Handbook, it will at most serve as an informational document to aid EAS Participant personnel in handling EAS messages manually and will not itself establish any procedures (such as on-air announcements) that must be followed.
67. Non-Participating National (NN) Sources. The Commission eliminates NN status on the grounds that it is not necessary. Accordingly, the Commission deletes references to NN status from §§ 11.18, 11.41, 11.54, and 11.55 of the Commission's rules, and deletes § 11.19 altogether. The Commission clarifies that any existing stations operating under NN status must meet the full message-by-message EAN processing requirements, and CAP-related requirements, by the June 30, 2012, general deadline for processing CAP-formatted messages. The Commission finds that elimination of NN status is warranted because it does not appear to serve any purpose today, as NN entities already are required to deploy a decoder that complies with all EAS message processing requirements and follow all of the EAN processing requirements, except broadcasting the audio message. The Commission also observes that there are relatively few NN stations, and that no entity with or without NN status filed comments objecting to the proposal to eliminate NN status raised in the Third FNPRM.
68. Deleting Section 11.44. The Commission deletes § 11.44 from the Part 11 rules on grounds that this section is superfluous under the message-by-message approach adopted by the Commission for processing EANs. Although priority for EANs already is provided for in the other sections of Part 11, the Commission also incorporates language on EAN preemption and priority into the definition of the EAN in section 11.2.
69. Revising Section 11.53. The Commission deletes § 11.53 from the Part 11 rules as superfluous in light of its decisions to delete almost all of § 11.54 and implement message-by-message processing for EANs. For informational purposes, however, the Commission incorporates the relevant language in § 11.53(a) and (b), describing Federal, State, and local origination of the EAN, into the definition of EAN in § 11.2 and clarifies that such origination applies only to EANs formatted and transmitted in accordance with the EAS Protocol requirements in § 11.31.
71. Deleting Section 11.16. With respect to the question raised in the Third FNPRM regarding whether to delete § 11.16, the Commission observes that the test data from the November 9, 2011, Nationwide EAS Test, which is under review, may provide insight on this matter. Accordingly, the Commission defers taking any action on this issue at this time.
72. However, the Commission is deleting § 11.54(b)(12) and incorporating that section's requirement for Primary Entry Point (PEP) stations to follow the National Control Point Procedures into § 11.16.
List of Subjects in 47 CFR Part 11 Back to Top
PART 11—EMERGENCY ALERT SYSTEM (EAS) Back to Top
2.Revise § 11.2 to read as follows: § 11.2 Definitions.
(a) Emergency Action Notification (EAN). The Emergency Action Notification is the notice to all EAS Participants and to the general public that the EAS has been activated for a national emergency. EAN messages that are formatted in the EAS Protocol (specified in § 11.31) are sent from a government origination point to broadcast stations and other entities participating in the PEP system, and are subsequently disseminated via EAS Participants. Dissemination arrangements for EAN messages that are formatted in the EAS Protocol (specified in § 11.31) at the State and local levels are specified in the State and Local Area plans (defined at § 11.21). A national activation of the EAS for a Presidential message with the Event code EAN as specified in § 11.31 must take priority over any other message and preempt it if it is in progress.
(b) Primary Entry Point (PEP) System. The PEP system is a nationwide network of broadcast stations and other entities connected with government activation points. It is used to distribute EAS messages that are formatted in the EAS Protocol (specified in § 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.
(i) Intermediary Device. An intermediary device is a stand-alone device that carries out the functions of monitoring for, receiving and/or acquiring, and decoding EAS messages formatted in the Common Alerting Protocol (CAP) in accordance with § 11.56, and converting such messages into a format that can be inputted into a separate EAS decoder, EAS encoder, or unit combining such decoder and encoder functions, so that the EAS message outputted by such separate EAS decoder, EAS encoder, or unit combining such decoder and encoder functions, and all other functions attendant to processing such EAS message, comply with the requirements in this part.
3.Amend § 11.11 by revising paragraphs (a) and (d) to read as follows: § 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 § 25.701(a) of this chapter (including certain Ku-band Fixed-Satellite Service Direct to Home providers); and SDARS, as defined in § 25.201 of this chapter. These entities are referred to collectively as EAS Participants in this part, and are subject to this part, except as otherwise provided herein. At a minimum EAS Participants must use a common EAS protocol, as defined in § 11.31, to send and receive emergency alerts, and comply with the requirements set forth in § 11.56, in accordance with the following tables:
Table 1—Analog and Digital Broadcast Station Equipment Deployment Requirements Back to Top
1EAS Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocol-compliant messages by deploying an Intermediary Device, as specified in § 11.56(b).
EAS decoder1
Analog Cable Systems Back to Top
Table 2—Analog Cable System Equipment Deployment Requirements Back to Top
Video interrupt and audio alert message on all channels;3Audio and Video EAS message on at least one channel
Wireless Cable Systems (BRS/EBS Stations) Back to Top
Table 3—Wireless Cable System Equipment Deployment Requirements Back to Top
Audio and Video EAS Message on all channels3
Video interrupt and audio alert message on all channels;4Audio and Video EAS message on at least one channel
Digital Cable Systems and Wireline Video Systems Back to Top
Table 4—Digital Cable System and Wireline Video System Equipment Deployment Requirements Back to Top
SDARS and DBS Back to Top
Audio message on all channels2
Video message on all channels2
§ 11.12 [Removed and Reserved]
4.Remove and reserve § 11.12. § 11.13 [Removed and Reserved]
5.Remove and reserve § 11.13. § 11.14 [Removed and Reserved]
6.Remove and reserve § 11.14. § 11.18 [Amended]
7.Amend § 11.18 by removing paragraph (f). § 11.19 [Removed]
8.Remove § 11.19. 9.Amend § 11.21 by revising paragraph (a) to read as follows: § 11.21 State and Local Area plans and FCC Mapbook.
(a) The State EAS Plan contains procedures for State emergency management and other State officials, the NWS, and EAS Participants' personnel to transmit emergency information to the public during a State emergency using the EAS. State EAS Plans should include a data table, in computer readable form, clearly showing monitoring assignments and the specific primary and backup path for emergency action notification (EAN) messages that are formatted in the EAS Protocol (specified in § 11.31), from the PEP to each station in the plan. If a state's emergency alert system is capable of initiating EAS messages formatted in the Common Alerting Protocol (CAP), its State EAS Plan must include specific and detailed information describing how such messages will be aggregated and distributed to EAS Participants within the state, including the monitoring requirements associated with distributing such messages.
10.Amend § 11.31 by revising paragraphs (c), (e) and (f) to read as follows: § 11.31 EAS protocol.
1Effective 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.
AVW1.
CAE1.
CDW1.
CFW1.
CFA1.
EQW1.
FRW1.
HMW1.
LEW1.
LAE1.
NMN1.
TOE1.
NUW1.
RHW1.
SPW1.
SMW1.
TRW1.
VOW1.
1Effective 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.
11.Amend § 11.32 by revising paragraphs (a)(2), (a)(3) and (a)(9)(iv) to read as follows: § 11.32 EAS Encoder.
12.Amend § 11.33 by: a. Revising paragraphs (a) introductory text, (a)(1), (a)(4), (a)(7), and (a)(11); and
(4) Display and logging. For received alert messages formatted in both the EAS Protocol and Common Alerting Protocol, a visual message shall be developed from any valid header codes for tests and national activations and any preselected header codes received. The message shall at a minimum include the Originator, Event, Location, the valid time period of the message and the local time the message was transmitted. The message shall be in the primary language of the EAS Participant and be fully displayed on the decoder and readable in normal light and darkness. The visual message developed from received alert messages formatted in the Common Alerting Protocol must conform to the requirements in §§ 11.51(d), (g)(3), (h)(3), and (j)(2) of this part. All existing and new models of EAS decoders manufactured after August 1, 2003 must provide a means to permit the selective display and logging of EAS messages containing header codes for state and local EAS events. Effective May 16, 2002, analog radio and television broadcast stations, analog cable systems and wireless cable systems may upgrade their decoders on an optional basis to include a selective display and logging capability for EAS messages containing header codes for state and local events. EAS Participants that install or replace their decoders after February 1, 2004 must install decoders that provide a means to permit the selective display and logging of EAS messages containing header codes for state and local EAS events.
13.Amend § 11.34 by revising paragraph (d) to read as follows: § 11.34 Acceptability of the equipment.
14.Amend § 11.35 by revising paragraphs (a) and (b) to read as follows: § 11.35 Participation in EAS.
(a) EAS Participants are responsible for ensuring that EAS Encoders, EAS Decoders, Attention Signal generating and receiving equipment, and Intermediate Devices used as part of the EAS to decode and/or encode messages formatted in the EAS Protocol and/or the Common Alerting Protocol are installed so that the monitoring and transmitting functions are available during the times the stations and systems are in operation. Additionally, EAS Participants must determine the cause of any failure to receive the required tests or activations specified in § 11.61(a)(1) and (2). Appropriate entries indicating reasons why any tests were not received must be made in the broadcast station log as specified in §§ 73.1820 and 73.1840 of this chapter for all broadcast streams and cable system records as specified in §§ 76.1700, 76.1708, and 76.1711 of this chapter. All other EAS Participants must also keep records indicating reasons why any tests were not received and these records must be retained for two years, maintained at the EAS Participant's headquarters, and made available for public inspection upon reasonable request.
15.Revise § 11.41 to read as follows: § 11.41 Participation in EAS.
All EAS Participants specified in § 11.11 are categorized as Participating National (PN) sources, and must have immediate access to an EAS Operating Handbook.
§ 11.42 [Removed and Reserved]
16.Remove and reserve § 11.42. § 11.44 [Removed and Reserved]
17.Remove and reserve § 11.44. 18.Amend § 11.51 by revising paragraphs (a), (c), (d), (g)(3), (h)(3), (i) introductory text, (j) introductory text, (j)(2), paragraph (m) introductory text, and adding paragraph (p) to read as follows: § 11.51 EAS code and Attention Signal Transmission requirements.
(d) Analog and digital television broadcast stations shall transmit a visual message containing the Originator, Event, Location and the valid time period of an EAS message. Effective June 30, 2012, visual messages derived from CAP-formatted EAS messages shall contain the Originator, Event, Location and the valid time period of the message and shall be constructed in accordance with § 3.6 of the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010), except that if the EAS Participant has deployed an Intermediary Device to meet its CAP-related obligations, this requirement shall be effective June 30, 2015, and until such date shall be subject to the general requirement to transmit a visual message containing the Originator, Event, Location and the valid time period of the EAS message. If the message is a video crawl, it shall be displayed at the top of the television screen or where it will not interfere with other visual messages.
(3) Shall transmit a visual EAS message on at least one channel. The visual message shall contain the Originator, Event, Location, and the valid time period of the EAS message. Effective June 30, 2012, visual messages derived from CAP-formatted EAS messages shall contain the Originator, Event, Location and the valid time period of the message and shall be constructed in accordance with § 3.6 of the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010), except that if the EAS Participant has deployed an Intermediary Device to meet its CAP-related obligations, this requirement shall be effective June 30, 2015, and until such date shall be subject to the general requirement to transmit a visual message containing the Originator, Event, Location and the valid time period of the EAS message. If the visual message is a video crawl, it shall be displayed at the top of the subscriber's television screen or where it will not interfere with other visual messages.
(3) Shall transmit the EAS visual message on all downstream channels. The visual message shall contain the Originator, Event, Location, and the valid time period of the EAS message. Effective June 30, 2012, visual messages derived from CAP-formatted EAS messages shall contain the Originator, Event, Location and the valid time period of the message and shall be constructed in accordance with § 3.6 of the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010), except that if the EAS Participant has deployed an Intermediary Device to meet its CAP-related obligations, this requirement shall be effective June 30, 2015, and until such date shall be subject to the general requirement to transmit a visual message containing the Originator, Event, Location and the valid time period of the EAS message. If the visual message is a video crawl, it shall be displayed at the top of the subscriber's television screen or where it will not interfere with other visual messages.
(2) The visual message shall contain the Originator, Event, Location, and the valid time period of the EAS message. Effective June 30, 2012, visual messages derived from CAP-formatted EAS messages shall contain the Originator, Event, Location and the valid time period of the message and shall be constructed in accordance with § 3.6 of the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010), except that if the EAS Participant has deployed an Intermediary Device to meet its CAP-related obligations, this requirement shall be effective June 30, 2015, and until such date shall be subject to the general requirement to transmit a visual message containing the Originator, Event, Location and the valid time period of the EAS message. If the visual message is a video crawl, it shall be displayed at the top of the subscriber's television screen or where it will not interfere with other visual messages.
19.Amend § 11.52 by revising paragraphs (a) introductory text, (d), (e) introductory text and (e)(2) to read as follows: § 11.52 EAS code and Attention Signal Monitoring requirements.
(a) EAS Participants must be capable of receiving the Attention Signal required by § 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 § 11.56.
(2) With respect to monitoring EAS messages formatted in accordance with the specifications set forth in § 11.56(a)(2), EAS Participants' EAS equipment must interface with the Federal Emergency Management Agency's Integrated Public Alert and Warning System (IPAWS) to enable (whether through “pull” interface technologies, such as Really Simple Syndication (RSS) and Atom Syndication Format (ATOM), or “push” interface technologies, such as instant messaging and email) the distribution of Common Alert Protocol (CAP)-formatted alert messages from the IPAWS system to EAS Participants' EAS equipment.
(3) Monitoring specifications associated with the distribution of CAP-formatted alert messages by state alert message systems are described in the State EAS Plan, as set forth in § 11.21(a).
(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 §§ 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.
§ 11.53 [Removed and Reserved]
20.Remove and reserve § 11.53. 21.Revise § 11.54 to read as follows: § 11.54 EAS operation during a National Level emergency.
22.Amend § 11.55 by revising paragraph (a) introductory text, paragraph (c) introductory text, and paragraphs (c)(3), (4), (7), and (8) and add paragraph (d) to read as follows: § 11.55 EAS operation during a State or Local Area emergency.
(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 § 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 § 11.51(g) and (h); and DBS providers must transmit all EAS announcements visually and aurally as specified in § 11.51(j). EAS Participants providing foreign language programming should transmit all EAS announcements in the same language as the primary language of the EAS Participant.
(7) The times of the above EAS actions must be entered in the EAS Participants' records as specified in §§ 11.35(a) and 11.54(a)(3).
(8) Use of the EAS codes or Attention Signal automatically grants rebroadcast authority as specified in § 11.54(b).
(2) Analog and digital television broadcast stations must transmit all EAS announcements visually and aurally as specified in § 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 § 11.51(g) and (h); and DBS providers must transmit all EAS announcements visually and aurally as specified in § 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.
(4) The times of the above EAS actions must be entered in the EAS Participants' records as specified in §§ 11.35(a) and 11.54(a)(3).
23.Revise § 11.56 to read as follows: § 11.56 Obligation to Process CAP-Formatted EAS Messages.
(1) Acquiring EAS alert messages in accordance with the monitoring requirements in § 11.52(d)(2);
(2) Converting EAS alert messages that have been formatted pursuant to the (i) “Common Alerting Protocol Version 1.2” (July 1, 2010), and (ii) “Common Alerting Protocol, v. 1.2 USA Integrated Public Alert and Warning System Profile Version 1.0” (Oct. 13, 2009), into EAS alert messages that comply with the EAS Protocol, such that the Preamble and EAS Header Codes, audio Attention Signal, audio message, and Preamble and EAS End of Message (EOM) Codes of such messages are rendered equivalent to the EAS Protocol (set forth in § 11.31), in accordance with the technical specifications governing such conversion process set forth in the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010) (except that any and all specifications set forth therein related to using text-to-speech technology and gubernatorial “must carry” shall not be followed); and
(b) EAS Participants may comply with the requirements of this section by deploying an Intermediary Device. If an EAS Participant elects to meet the requirements of this section by deploying an Intermediary Device, it shall be required to construct visual messages from CAP-formatted EAS messages in accordance with § 3.6 of the “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010), as set forth in §§ 11.51(d), (g)(3), (h)(3), and (j)(2) of this part, on or by June 30, 2015.
(1) The following standard is available from the EAS-CAP Industry Group (ECIG), 21010 Southbank Street, #365, Sterling, VA 20165, or go to http://www.eas-cap.org. (i) “ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0” (May 17, 2010).
24.Amend § 11.61 by revising paragraphs (a) introductory text, (a)(1)(i), (a)(2)(ii) and (b) to read as follows: § 11.61 Tests of EAS procedures.
(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 § 11.35(a) and 11.54(a)(3).
A. Need for, and Objectives of, the Fifth Report and Order Back to Top
Amends § 11.56 of the Commission's rules to require EAS Participants to convert CAP-formatted EAS messages into messages that comply with the EAS Protocol requirements, following the procedures for such conversion set forth in the EAS-CAP Industry Group's (ECIG) ECIG Implementation Guide.
Amends § 11.52 of the Commission's rules to require that EAS Participants monitor FEMA's Integrated Public Alert and Warning System (IPAWS) for Federal CAP-formatted alert messages using whatever interface technology is appropriate.
Revises the input and output configuration requirements in §§ 11.32(a)(2) and (a)(3) of the Commission's rules to require at least one audio port and at least one data port, and to delete references to RS232-C and 1200 baud rate.
Revises the input and output configuration requirements in §§ 11.33(a)(1) and (a)(7) of the Commission's rules to require at least one audio port and at least one data port, and to delete references to RS232-C and 1200 baud rate.
Declines to revise § 11.33(a)(10) of the Commission's rules to require processing of CAP-formatted message by default when duplicate messages are received in both the EAS Protocol and CAP formats, as recommended in the Communications Security, Reliability, and Interoperability Council (CSRIC) Final Report (CSRIC Final Report).
Revises the text of § 11.11(a) of the Commission's rules to include as a minimum requirement compliance with the CAP-related requirements in § 11.56 of the Commission's rules, and to delete the reference to “analog television broadcast stations.”
Revises the equipment deployment tables in § 11.11 of the Commission's rules by adding a footnote to the “EAS decoder” entries in the tables to clarify that the obligation to receive and translate CAP-formatted messages may be met by deploying an intermediary device, and by deleting the date references in the equipment deployment tables in section 11.11 (as well as cross-references to these dates in other sections of Part 11, such as section 11.51(c) and (d)), along with the entry for two-tone encoders. Declines to incorporate references to the monitoring requirements in section 11.52 in section 11.11.
Declines to revise the language of § 11.20 of the Commission's rules to require a specific reference to CAP alerts, CAP relay networks, or CAP monitoring requirements.
Revises § 11.21(a) of the Commission's rules to make clear that the State EAS Plans specify the monitoring assignments and the specific primary and backup path for EAS Protocol-formatted EANs and that the monitoring requirements for CAP-formatted EANs are set forth in section 11.52, and to make clear that to the extent a state may distribute CAP-formatted EANs to EAS Participants via its state alerting system, its State EAS Plan must include specific and detailed information describing how such messages will be aggregated and delivered, just as it must for state CAP-formatted non-EAN messages.
Defers taking any action with respect to revising § 11.21(c) of the Commission's rules until, at a minimum, review of the test data received from EAS Participants as a result of the November 9, 2011, nationwide EAS test has been completed.
Declines to revise the language in § 11.31(a) of the Commission's rules to better reflect CAP's capabilities.
Declines to revise § 11.45 of the Commission's rules to prohibit CAP messages lacking “Actual” status indicators, as recommended in the CSRIC Final Report.
Declines to revise § 11.51 of the Commission's rules to require EAS Participants to transmit (or “render”) a CAP-compliant message, as recommended in the CSRIC Final Report.
Amends the procedures for processing EANs set forth in § 11.54 of the Commission's rules and related Part 11 rule sections so that EAS Participants process EANs like any other EAS message, only on a mandatory and priority basis. To effect these changes, deletes §§ 11.16, 11.42, 11.44, 11.53, 11.54(a), (b)(1)-(8), (b)(10), (b)(12) and (c) of the Commission's rules, as well as the Emergency Action Termination (EAT) event code.
Revises the definition for LP-1 station in § 11.2(b) of the Commission's rules to reflect that these stations can be a radio or TV station.
Deletes § 11.14 of the Commission's rules.
Revises §§ 11.31 and 11.34(d) of the Commission's rules to replace the references to the Federal Information Processing Standard (FIPS) numbers with references to the American National Standards Institute (ANSI) Codes INCITS 31.200x (Formerly FIPS 6-4), Codes for the Identification of Counties and Equivalent Entities of the United States, its Possessions, and Insular Areas standard.
Revises the analog and digital broadcast station equipment deployment table in § 11.11(a) of the Commission's rules so that “LPFM” and “LPTV” are identified with the columns listing the requirements for those categories, and revises §§ 11.61(a)(1)(i) and 11.61(a)(2)(ii) of the Commission's rules to include “LPFM” stations.
Declines to revise § 11.33(a)(3)(ii) of the Commission's rules to eliminate the requirement to delete messages upon expiration of their time periods, thus allowing EAS Participants to air alert messages after expiration of the effective time period set by the alert message originator.
B. Summary of Significant Issues Raised by Public Comments in Response to the IRFA Back to Top
C. Description and Estimate of the Number of Small Entities to Which Rules Will Apply Back to Top
22. The second category, i.e.“All Other Telecommunications” comprises “establishments primarily engaged in providing specialized telecommunications services, such as satellite tracking, communications telemetry, and radar station operation. This industry also includes establishments primarily engaged in providing satellite terminal stations and associated facilities connected with one or more terrestrial systems and capable of transmitting telecommunications to, and receiving telecommunications from, satellite systems. Establishments providing Internet services or voice over Internet protocol (VoIP) services via client-supplied telecommunications connections are also included in this industry.” For this category, Census Bureau data for 2007 show that there were a total of 2,383 firms that operated for the entire year. Of this total, 2,347 firms had annual receipts of under $25 million and 12 firms had annual receipts of $25 million to $49,999,999. Consequently, the Commission estimates that the majority of All Other Telecommunications firms are small entities that might be affected by the rules and policies adopted in the Fifth Report and Order.
D. Description of Projected Reporting, Recordkeeping, and Other Compliance Requirements Back to Top
E. Steps Taken To Minimize the Significant Economic Impact on Small Entities, and Significant Alternatives Considered Back to Top