Review of the Emergency Alert System, 71023-71038 [05-23271]
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Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 / Rules and Regulations
Order 13132 for the attached final
regulation, Federal Enforcement in
Group and Individual Health Insurance
Markets (RIN 09–38–AN35), in a
meaningful and timely manner.
In accordance with Executive Order
12866, this regulation was reviewed by
the Office of Management and Budget.
Dated: January 19, 2005.
Mark B. McClellan,
Administrator, Centers for Medicare &
Medicare Services.
Dated: August 15, 2005.
Michael O. Leavitt,
Secretary, Department of Health & Human
Services.
List of Subjects
Editorial Note: This document was
received at the Federal Register on
November 17, 2005.
[FR Doc. 05–23076 Filed 11–23–05; 8:45 am]
45 CFR Parts 144 and 146
Health care, Health insurance,
Reporting and recordkeeping
requirements.
BILLING CODE 4120–01–U
FEDERAL COMMUNICATIONS
COMMISSION
45 CFR Part 148
Administrative practice and
procedure, Health care, Health
insurance, Penalties, Reporting and
recordkeeping requirements.
[EB Docket No. 04–296; FCC 05–191]
Review of the Emergency Alert System
45 CFR Part 150
Federal Communications
Commission.
ACTION: Final rule.
AGENCY:
Administrative practice and
procedure, Health care, Health
insurance, Penalties, Reporting and
recordkeeping requirements.
Accordingly, for the reasons set forth
in the preamble, the interim final rule
with comment period adding 45 CFR
Part 150, Subparts A through D, which
was published on August 20, 1999, in
the Federal Register at 64 FR 45786
through 45807, is adopted as a final
rule, with the following amendments:
I
PART 150—CMS ENFORCEMENT IN
GROUP AND INDIVIDUAL INSURANCE
MARKETS
1. The authority citation for part 150
continues to read as follows:
I
Authority: Secs. 2701 through 2763, 2791,
and 2792 of the PHS Act (42 U.S.C. 300gg
through 300gg–63, 300gg–91, and 300gg–92).
§ 150.307
[Amended]
2. In § 150.307, paragraph (a) is
amended by removing the parenthetical
‘‘(See Appendix A to this subpart for
examples of violations.)’’
I
§ 150.311
[Amended]
3. In § 150.311, paragraph (e) is
amended by removing the phrase ‘‘of
intent to assess a penalty’’ and adding
in its place the phrase ‘‘to the
responsible entity or entities’’.
I
Appendix A To Subpart C [Removed]
4. In Part 150, ‘‘Appendix A To
Subpart C Of Part 150—Examples Of
Violations’’ is removed.
I
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SUMMARY: In this document, the Federal
Communications Commission
(Commission) adopts rules that expand
the reach of the Emergency Alert System
(EAS), as currently constituted, to cover
digital communications technologies
that are increasingly being used by the
American public to receive news and
entertainment—digital television and
radio, digital cable, and satellite
television and radio. This First Report
and Order is the most recent in a series
of proceedings in which the
Commission has sought to contribute to
an efficient and technologically current
public alert and warning system.
DATES: Effective Date: The rules set forth
in the First Report and Order shall
become effective for digital television
broadcasters, digital audio broadcasters,
digital cable systems and SDARS
licensees on December 31, 2006, and for
DBS providers on May 31, 2007, except
§§ 11.15, 11.21, 11.35, 11.51, 11.52,
11.55 and 11.61 which contains
information that has not been approved
by OMB. The Commission will publish
a document in the Federal Register
announcing the effective dates of these
sections.
Comment Date: Written comments by
the public on the new and/or modified
information collection requirements are
due January 24, 2006.
ADDRESSES: Federal Communications
Commission, 445 12th Street, SW.,
Room TW–A325, Washington, DC
20554. You may submit your Paperwork
Reduction Act (PRA) comments by
electronic mail or U.S. mail. To submit
your PRA comments by electronic mail,
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send comments to: PRA@fcc.gov. To
submit your PRA comments by U.S.
mail, mark them to the attention of
Judith B. Herman and address them to
the Federal Communications
Commission, Room 1–C804, 445 12th
Street, SW., Washington, DC 20554.
Jean
Ann Collins, Senior Counsel, Office of
Homeland Security, Enforcement
Bureau, at (202) 418–1199. For
additional information concerning the
Paperwork Reduction Act information
collection requirements contained in
this document, send an e-mail to
PRA@fcc.gov or contact Judith B.
Herman at (202) 418–0214.
FOR FURTHER INFORMATION CONTACT:
This is a
summary of the Commission’s First
Report and Order in EB Docket No. 04–
296, FCC 05–191, adopted November 3,
2005, and released November 10, 2005.
The complete text of this document is
available for inspection and copying
during normal business hours in the
FCC Reference Information Center,
Portals II, 445 12th Street, SW., Room
CY–A257, Washington, DC, 20554. This
document may also be purchased from
the Commission’s duplicating
contractor, Best Copy and Printing, Inc.,
445 12th Street, SW., Room CY–B402,
Washington, DC 20554, telephone (800)
378–3160 or (202) 863–2893, facsimile
(202) 863–2898, or via e-mail at https://
www.bcpiweb.com. It is also available
on the Commission’s Web site at
https://www.fcc.gov. This document
contains new information collection
requirements. The Commission, as part
of its continuing effort to reduce
paperwork burdens, invites the general
public to comment on the information
collection requirements contained in
this document as required by the
Paperwork Reduction Act of 1995,
Public Law 104–13. Public and agency
comments are due January 24, 2006. In
addition, the Commission notes that
pursuant to the Small Business
Paperwork Relief Act of 2002, Public
Law 107–198, see 44 U.S.C. 3506(c)(4),
the Commission previously sought
specific comment on how the
Commission might ‘‘further reduce the
information collection burden for small
business concerns with fewer than 25
employees.’’
In this present document, the
Commission has assessed the effects of
expanding the reach of EAS to cover
DTV, DAB, digital cable, DBS and
SDARS providers, and finds that this
imposes minimal regulation on small
entities to the extent consistent with the
Commission’s goal of advancing its
public safety mission.
SUPPLEMENTARY INFORMATION:
47 CFR Part 11
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Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 / Rules and Regulations
Synopsis of the First Report and Order
1. Background. In the Notice of
Proposed Rulemaking (NPRM) (69 FR
16193, August 30, 2004), the
Commission sought comment on
whether the EAS in its present form is
the most efficient mechanism for
warning the American public of an
emergency and, if not, on how the
Emergency Alert System (EAS) can be
improved. The main objective of the
NPRM was to seek comment on whether
the EAS as currently constituted is the
most effective and efficient public
warning system that best takes
advantage of appropriate technological
advances and best responds to the
public’s need to obtain timely
emergency information. The NPRM
sought comment on the current efficacy
of EAS in an age when the
communications landscape has evolved
from what it was when EAS
predecessors, and EAS itself, were
originally conceived.
2. Introduction. In the First Report
and Order, the Commission takes steps
to advance its important public safety
mission by adopting rules that expand
the reach of EAS, as currently
constituted, to cover digital
communications technologies that are
increasingly being used by the
American public to receive news and
entertainment—digital television and
radio, digital cable, and satellite
television and radio.
3. Discussion. The Commission’s
immediate concern, and the subject of
this First Report and Order, is to ensure
that increasingly popular digital
technologies deliver some level of basic
national or regional warning now, while
more sophisticated alert and warning
systems are being developed. It is an
essential element of the Commission’s
mission to ensure that the American
public receives public alerts and
warnings. For the reasons indicated
below, the Commission believes that the
current EAS is overall the most effective
way to provide such a basic level of
warning as the Commission transitions
to more sophisticated systems.
Accordingly, the Commission adopts
rules to ensure that digital television
(DTV), digital audio broadcasting (DAB),
digital cable, direct broadcast satellite
(DBS) and satellite digital audio radio
service (SDARS) consumers are
provided with effective, basic alert and
warning information now, in a manner
that will neither interfere with nor
impede the ongoing development of a
fully integrated state of the art warning
system. The Commission seeks to
facilitate this steady transition to a
digital warning system by extending the
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EAS obligations of analog broadcasters
and cable systems to these additional
digital communications systems.
4. The Commission believes that the
benefits of requiring DTV, DAB, digital
cable, DBS and SDARS licensees to
participate in the current EAS far
outweigh any burdens associated with
implementing these requirements. EAS
represents a significant and valuable
investment that provides effective alert
and warning during the time that new,
digitally-based public alert and warning
systems are being developed. The
Commission agrees with those
commenters who argue that EAS should
remain an important component of any
future alert and warning system.
Further, in most cases, the digital
platforms affected by this First Report
and Order either have in place the
ability to distribute EAS warnings, or
can do so in a reasonable amount of
time and with reasonable cost.
Accordingly, based on the
Commission’s examination of the record
in this proceeding, it does not believe
that requiring these digital services to
install and use EAS equipment will
impose undue regulatory or financial
burdens. The Commission will
continue, along with other agencies and
industry, to explore ways in which
emergency information might be made
available in a more efficient, effective,
and technologically current fashion.
5. Digital Television. Television
broadcasting in the United States is in
the midst of a conversion from analog to
digital technology. The majority of
television stations serving all markets in
the United States are already airing DTV
programming, and the Commission set a
target date of December 31, 2006 for the
completion of the DTV transition. When
the DTV transition is complete, some of
the spectrum currently used for
broadcast television will be reclaimed
and put to other uses, notably public
safety. The Commission has adopted
standards and rules that address the
transition of the nation’s television
broadcasters from analog to DTV, which
are set forth in Part 73 of the
Commission’s rules. None of these rules,
however, have addressed EAS
participation.
6. In the NPRM, the Commission
sought comment on whether to make
participation compulsory. The
Commission asked commenters to
address the possibility that when
television stations turn off their analog
signals as part of the DTV transition,
they could leave a market devoid of an
EAS participating broadcaster. The
Commission also noted that DTV
broadcasters have the ability to
multicast, i.e., to transmit more than one
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program stream on their assigned
channel. The Commission sought
comment on whether DTV broadcasters
should be required to transmit EAS
messages on all program streams, or
whether they should be permitted to
transmit on only one stream and force
tune receivers to that stream.
7. Based on the record before the
Commission, the Commission finds that
revising its EAS rules to apply to DTV
broadcasters furthers the public interest
by ensuring that the public—regardless
of the form of technology used—
receives emergency information.
Accordingly, the Commission will
require DTV broadcasters to comply
with the Commission’s part 11 rules.
DTV broadcasters must participate in all
national EAS activations. Participation
in state and local EAS activations will
remain voluntary, but if DTV
broadcasters choose to transmit state
and local EAS messages they must
comply with the Commission’s part 11
rules governing those messages.
Essentially, DTV providers will now
have the same EAS obligations as analog
television broadcasters, including, inter
alia, the obligations to install ENDEC
units so that the monitoring and
transmitting functions are available
during the times stations are in
operation and transmit EAS test
messages. These requirements will be
effective on December 31, 2006.
8. In addition, the Commission
concludes that when a DTV broadcaster
participates in EAS activations, it must
provide the EAS message to viewers of
all program streams that the DTV
broadcaster provides over a particular
channel. All DTV viewers should have
access to the potentially life-saving
emergency information contained in
EAS messages. The Commission
concludes that all viewers should be
informed of critical emergency
information regardless of which
program stream they are viewing.
9. Digital Cable. Cable systems, like
broadcasters, are required to carry
Presidential EAS messages, and
permitted to transmit state and local
EAS messages on a voluntary basis. In
1997, the Commission extended EAS
requirements to wireless cable systems.
The Commission’s EAS requirements do
not specifically refer to digital cable,
which was not in widespread use in
1994 when EAS was implemented. In
the NPRM, the Commission sought
comment on whether it should extend
EAS obligations to digital media,
including digital cable television. In
addition, the Commission raised
technical questions regarding digital
cable service participation in EAS.
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10. Digital cable offers a number of
advantages over analog cable. For
instance, the digital format eliminates
unwanted noise and interference from
programming. Further, digital
compression allows more than five
times the number of stations to be
delivered via the same bandwidth, on
additional channel capacity that allows
digital cable operators to deliver ‘‘near
on-demand’’ programming by staggering
the start times of programs on different
channels. Because of these advantages,
digital cable is increasingly deployed
with analog cable in the marketplace. By
2005, more than 23 percent of TV
households subscribed to digital cable.
11. The Commission specifically
extends the EAS obligations set forth in
Part 11 of its rules to digital cable
systems. For purposes of this First
Report and Order and Part 11 of the
Commission’s rules only, the term
‘‘digital cable systems’’ is defined as the
portion of a cable system that delivers
channels in digital format to
subscribers. Essentially, digital cable
systems will now have the same EAS
obligations as analog cable systems.
Specifically, the Commission will
require digital cable systems to
participate in national level EAS
activations. Participation in state and
local EAS activations will continue to
be voluntary, but digital cable systems
that choose to participate must comply
with the part 11 rules.
12. The Commission will permit
digital cable systems that are
participating in EAS activations to
determine the method they will use to
distribute EAS messages to viewers of
digital cable channels as long as all
viewers receive the complete EAS
message on the channel that they are
watching. For example, digital cable
systems may transmit EAS messages on
all digital channels or transmit EAS
messages on a single channel and force
tune all receivers to that channel. Under
the rules adopted in the EAS First
Report and Order, digital cable systems
with fewer than 5,000 subscribers must,
like analog and wireless cable systems
with fewer than 5,000 subscribers,
provide a video interruption and an
audio alert message on all channels and
the EAS message on at least one
channel.
13. Digital Audio Broadcasting. Radio
stations using in-band, on-channel
(IBOC) digital audio broadcasting (DAB)
technology are able to provide enhanced
sound fidelity, improved reception,
multiple audio streams, and new data
services to digital-ready radio receivers.
This technology makes use of the
existing AM and FM bands (In-Band) by
adding digital carriers to a radio
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station’s analog signal, allowing
broadcasters to transmit digitally on
their existing channel assignments (OnChannel) while simultaneously
maintaining their analog service. Thus,
IBOC permits the transmission of both
analog and digital signals within the
spectral emission mask of a single AM
or FM channel, placing digital
information on frequencies immediately
adjacent to the analog signal. This
technology allows new radios to receive
both digital broadcasts and analog
broadcasts from stations that have not
yet converted to digital. This system is
designed to blend to analog when digital
reception fails. Radio stations will
eventually convert to all-digital modes
of operation. DAB does not require use
of additional spectrum and there is no
statutory mandate to convert to a digital
format.
14. The Commission revises its part
11 EAS rules to apply to DAB
broadcasters. The Commission will
require DAB broadcasters to air all
national EAS messages. Participation in
state and local EAS activations will be
voluntary, as it is for analog radio
broadcasters. If DAB broadcasters
choose to participate in state and local
EAS activations, they must comply with
the Commission’s part 11 EAS rules.
Essentially, DAB providers will now
have the same EAS obligations as analog
radio broadcasters. The Commission
will also require DAB broadcasters to
transmit all EAS messages that they air
on all audio streams. Because DAB
broadcasters will face similar burdens of
equipment purchase, installation and
training as DTV and digital cable
providers, the Commission will apply
the same date of compliance that it
applied for DTV and digital cable.
Accordingly, these rules will be
effective December 31, 2006.
15. The Commission agrees with
commenters who argue that EAS
requirements should apply to all audio
streams because the goal of EAS as a
public warning system is to reach as
many people as possible with lifesaving
information and to do otherwise would
result in the reduced effectiveness of
EAS as digital radio listenership
increases. All listeners should be
informed of critical emergency
information regardless of which audio
stream they are listening to. The
Commission sees no reason to exempt
subscription-based streams. Further, as
the Commission afforded to DTV
broadcasters, the Commission affords
DAB broadcasters more than a year to
comply with these rules and grant DAB
broadcasters the flexibility to determine
the method they will use to distribute
EAS messages to listeners of all audio
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streams as long as all listeners receive
the complete and timely EAS message
on the stream that they are listening to.
16. Satellite Digital Audio Radio
Service. Governed by part 25 of the
Commission’s rules, SDARS provides a
wide variety of digital radio
programming on a subscription basis to
subscribers throughout the contiguous
United States. Most SDARS
programming is created in the licensees’
central headquarters in New York City
(Sirius) and Washington, DC (XM), but
SDARS licensees also re-transmit the
programming of third-party content
providers. Content is currently
transmitted exclusively on a nationwide
basis. SDARS licensees have recently
begun providing metropolitan area
traffic and weather updates on a roundthe-clock basis by means of dedicated
channels, but all subscribers receive
each of these channels on a nationwide
basis. SDARS, however, is not a
broadcast service, and is not currently
required to participate in EAS. In the
NPRM, the Commission sought
comment on whether it should adopt
rules extending EAS obligations to other
digital networks, such as SDARS.
17. The Commission amends part 11
of its rules to require that all SDARS
licensees participate in EAS. The new
rules will require SDARS licensees to
transmit national level EAS messages on
all channels. The Commission will
require that SDARS licensees receive
national EAS messages through an
encoder/decoder (ENDEC) unit, the
same manner as currently required of
broadcasters and cable systems, from
which they must directly monitor at
least two sources, including one PEP
station, or must directly monitor FEMA.
This should not be difficult to
accomplish as XM currently already
monitors EAS alerts from an LP–1
station through an ENDEC unit located
at its Washington, D.C. headquarters.
The Commission strongly encourages
SDARS licensees to have the ability to
receive EAS alerts from state and local
emergency managers and the ability to
disseminate state and local EAS
warnings on local traffic and weather
channels that the SDARS licensees
provide. The Commission will require
SDARS licensees to inform their
customers of the channels that will and
will not be capable of supplying state
and local EAS messages. Finally, the
Commission will require SDARS
licensees to test their ability to receive
and distribute EAS messages in the
same manner required of other EAS
participants in section 11.61 of the
Commission’s rules and to keep records
of all tests. Because SDARS licensees
will face burdens of equipment
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purchase, installation and/or training
similar to those of DTV and DAB
broadcasters and digital cable providers,
these new rules will also take effect
December 31, 2006.
18. The Commission will allow
SDARS licensees that choose to
implement the ability to receive state
and local EAS warnings to develop the
methods by which they can receive state
and local EAS messages. In addition, the
Commission encourages SDARS
licensees that choose to implement the
ability to receive and transmit state and
local EAS warnings to develop
additional ways of distributing EAS
messages to the appropriate listeners,
regardless of the channel they are
listening to. Finally, the Commission
requires SDARS licensees to inform
their customers of the channels that will
and will not supply state and local EAS
messages. This information should be
provided on the SDARS licensee’s
website and also distributed in writing
to customers at least annually.
19. To alert listeners to an emergency
announcement that may interest them,
Sirius also suggested exploring the
possibility of pre-empting the text box
that normally contains the channel
name and current programming, to
announce the state or region and type of
alert, and the channel number
transmitting detailed information. The
Commission strongly encourages such
developments, and the use of the
SDARS and DAB text box to display
entire EAS messages, which the
Commission hopes to see included in
any next generation public alert and
warning system.
20. Direct-to-Home Satellite Services.
DTH satellite services include DBS and
Home Satellite Dish (HSD) services.
Under the Commission’s current part 11
rules, DBS providers and HSD providers
are not required to participate in EAS,
but may participate on a voluntary
basis. The Commission has encouraged
such participation. For purposes of this
First Report and Order, DBS providers
include the entities set forth in section
25.701(a) of the Commission’s rules.
Accordingly, DBS providers include: (1)
Entities licensed to operate satellites in
the 12.2 to 12.7 GHz DBS frequency
bands; (2) entities licensed to operate
satellites in the Ku band fixed satellite
service (FSS) and that sell or lease
capacity to a video programming
distributor that offers service directly to
consumers providing a sufficient
number of channels so that four percent
of the total applicable programming
channels yields a set aside of at least
one channel of non commercial
programming pursuant to section
25.701(e) of the Commission’s rules, or
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(3) non U.S. licensed satellite operators
in the Ku band that offer video
programming directly to consumers in
the United States pursuant to an earth
station license issued under part 25 of
this title and that offer a sufficient
number of channels to consumers so
that four percent of the total applicable
programming channels yields a set aside
of one channel of non commercial
programming pursuant to section
25.701(e) of the Commission’s rules.
This definition ensures that the EAS
rules apply to the vast majority of
existing DTH satellite services,
particularly those for which viewers
may have expectations as to available
warnings based on experience with
broadcast television services. The use of
this definition will make the EAS
obligations applicable to DTH–FSS
licensees, including those who provide
capacity to video programming
distributors.
21. HSD providers originally supplied
satellite television; however, currently,
DBS providers serve most satellite
television consumers. Over the past 5
years, the number of DBS subscribers
has steadily increased from almost 13
million in June 2000 to over 27 million
in June 2005. During the same time
period, the number of HSD subscribers
has steadily decreased from almost 1.5
million to fewer than 150,000. DTH
satellite service provides multi-channel
video programming and now reaches
almost 25% of U.S. households with a
television. DTH satellite providers
receive programming from national
programmers, such as HBO, ESPN, and
CNN, and from local channels, such as
the broadcast affiliates in a particular
area, and then transmit these programs
to customers’ receivers. Because of this
pass-through system, a satellite
television customer receives EAS
messages only if he receives the local
broadcast stations as part of his
programming package, and those
stations carry the EAS message.
22. In the NPRM, the Commission
sought comment on: (1) Whether it
should adopt rules extending EAS
obligations to DBS; (2) whether it serves
the public interest to continue to
exempt such satellite services that reach
increasingly larger numbers of
Americans from any requirement to
provide public warning; (3) what
burdens extending the EAS obligations
would place on such services and
whether the benefits outweigh the
burdens; and (4) technical issues
involved with requiring DBS providers
to comply with the Commission’s EAS
rules.
23. In order to ensure that DBS
subscribers receive an EAS message
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from the President in the event of a
national emergency, the Commission
modifies its EAS rules to require DBS
providers to participate in national EAS
activations by discontinuing regular
programming and providing the
national EAS message to viewers of all
channels. Accordingly, DBS providers
will be required to comply with the
Commission’s part 11 EAS rules. DBS
providers must install equipment
capable of encoding and decoding the
EAS protocol and generating and
detecting all EAS codes. DBS providers
may install this equipment at the
location most convenient to their system
designs. In addition to ensuring that
EAS equipment complies with
Commission rules, providers must also
monitor two EAS sources upon receipt
of an emergency action notification and
ensure that their EAS monitoring
equipment is operational. Finally, the
Commission will require DBS licensees
to test their ability to receive and
distribute EAS messages. The
Commission concludes that extending
national level EAS requirements to DBS
providers serves the public interest by
ensuring that the significant portion of
the American public that are DBS
subscribers have access to this critical
emergency information.
24. Although participation in state
and local EAS activations remains
voluntary, the Commission will require
DBS providers to pass through all EAS
messages aired on local channels to
subscribers receiving those channels.
Therefore, subscribers viewing local
channels through DBS services will
receive all EAS messages transmitted
over those local channels. Additionally,
the Commission concludes that DBS
providers must be capable of receiving
(from state and local emergency
managers) and distributing state and
local EAS messages or they must
disclose their inability to do on their
Web site and in writing to their
customers at least annually. Most
emergencies originate at the state and
local level and the current EAS system
includes an interface for state and local
emergency managers, providing a way
to access the system and originate and
relay EAS messages. The Commission
encourages DBS licensees to design
their systems to include this capability
and, specifically, to design their
converter boxes to be capable of
receiving the appropriate regional, state
and local EAS messages. Any future
Public Alert and Warning System will
likely include EAS and may require
DBS licensees to increase participation
in regional, state and local EAS
activations.
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25. The Commission acknowledges
that there are technical issues that will
need to be resolved in order for DBS
licensees to make the necessary changes
to their systems and wishes to give
maximum flexibility to DBS providers.
Accordingly, the Commission will
permit DBS providers to determine the
method they will use to distribute EAS
messages to viewers, as long as all
viewers receive national EAS messages
regardless of the channel that they are
watching. Because of the complexity
associated with ensuring that national
alert messages will be transmitted on all
channels that do not originate at local
broadcast stations, the Commission is
providing DBS providers more time to
comply with these rules. DBS providers
will need to modify their satellite
uplink facilities at multiple locations.
DBS providers will also need to develop
and implement technologies within
each of several dozen different satellite
transponder data streams. Estimates
indicate that such efforts will likely
require approximately 18 months to
implement fully. Accordingly, these
rules will take effect May 31, 2007. The
Commission encourages DBS providers
that have the capability to participate in
EAS activations to do so as soon as
possible.
26. The Commission will require DBS
licensees to test their ability to receive
and distribute EAS messages in a
manner similar to that required of other
EAS participants in section 11.61 of its
rules and to keep records of all tests.
DBS licensees should monitor a state or
local primary source to participate in
testing. Accordingly, the Commission
will require that DBS providers conduct
EAS tests each month on at least 10
percent of the total channels they
provide. For purposes of this
calculation, the total number of
channels should not include those
channels that the DBS provider passes
through with the embedded national,
state or local EAS message. The
channels tested should vary each
month, and over the course of a year all
channels should be tested. DBS
providers must log receipt of weekly
tests in their records. Requiring that
only 10 percent of channels be tested
each month and that weekly tests must
only be logged in records should reduce
the burdens associated with EAS testing
for DBS providers. Any remaining
burdens are outweighed by the public
interest benefits of testing which
ensures that DBS providers are able to
receive and transmit EAS messages.
These testing requirements are no more
onerous to DBS providers than those
required of any other EAS participant.
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Due to the potential technical
difficulties and costs associated with
transmission of weekly tests, in the
Further Notice, the Commission seeks
comment regarding weekly test
transmission requirements for DBS
providers.
27. Although the Commission
encourages participation by HSD
providers, the Commission will not
require their participation in EAS
because: (1) There were only
approximately 145,000 HSD users in
June 2005 and that number continues to
decrease; and (2) as HSD users receive
programming directly from
programmers, it would be very
burdensome for HSD providers to
distribute EAS messages to subscribers.
28. Administrative Matters. The
Commission receives numerous
questions about and requests for
clarification and corrections of its EAS
rules. The Commission finds that
several minor administrative changes to
the EAS rules are in order. Accordingly,
the Commission amends its EAS rules to
delete all reference to the ‘‘FCC EAS
mailing list’’ which the Commission no
longer maintains. EAS information may
now be obtained from the Web site
https://www.fcc.gov/eb/eas and from the
general FCC information number 1888–
CALL–FCC. Further, the Commission
amends section 11.41 to change
‘‘Operating Handbook’’ to ‘‘EAS
Operating Handbook.’’ In section
11.52(b) of the Commission’s rules, the
Commission will change the reference
to 11.51(j)(2) to 11.51(m)(2). Section
11.53(c) provides that, prior to
commencing operations, broadcast
stations must determine whether the
EAS has been activated by monitoring
the assigned EAS sources. In order to
clarify how EAS monitoring
assignments are determined, the
Commission amends this section to add
the following to the end of section
11.53(c): ‘‘as specified in their State or
Local plan.’’ Finally, because section
76.305 no longer exists, the reference to
that section in 11.54(b)(13) is changed to
the correct reference: section 76.1711.
29. Conclusion. The Commission
expands the reach of EAS, as currently
constituted, to ensure that more
Americans are able to receive national
and/or regional public alerts and
warnings. Digital technologies are
rapidly becoming the norm for
communications technologies and
public alert and warning must keep
pace with this digital revolution.
Government and industry are engaged
in the early stages of efforts to develop
a fully integrated, state of the art,
digitally-based public alert and warning
system for the American public.
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Increasingly popular digital
technologies must have the ability to
deliver some level of basic national or
regional warning now, during the time
that more sophisticated alert and
warning systems are being developed.
Further, the Commission amends its
EAS rules to ensure that persons with
disabilities have equal access to public
warnings.
Final Paperwork Reduction Act
Analysis
30. This document contains new
information collection requirements.
The Commission, as part of its
continuing effort to reduce paperwork
burdens, invites the general public to
comment on the information collection
requirements contained in this Report
and Report and Order as required by the
Paperwork Reduction Act of 1995,
Public Law 104–13. Public and agency
comments are due January 24, 2006.
Final Regulatory Flexibility Analysis
31. As required by the Regulatory
Flexibility Act of 1980, as amended
(RFA), an Initial Regulatory Flexibility
Analysis (IRFA) was incorporated in the
NPRM. The Commission sought written
public comment on the proposals in the
NPRM, including comment on the IRFA.
The Commission received no comments
specifically directed toward the IRFA.
This Final Regulatory Flexibility
Analysis (FRFA) conforms to the RFA.
Need for, and Objectives of, the Rules
32. Today’s Order establishes rules
that expand the reach of the Emergency
Alert System (EAS), as currently
constituted, to cover the following
digital communications technologies
that are increasingly being used by the
American public to receive news and
entertainment—digital television and
radio, digital cable, and satellite
television and radio. As noted in the
Order, one of the most fundamental and
significant statutory mandates of the
Commission is the promotion of safety
of life and property through the use of
wire and radio communication. Clearly,
some level of EAS participation must be
established for new digital services to
ensure that large portions of the
American public are able to receive
national and/or regional public alerts
and warnings.
33. This Order is a follow-up to the
NPRM that was issued last year. In the
NPRM, the Commission solicited
comment on an array of questions and
potential rule changes to contribute to
an efficient and technologically current
public alert and warning system. The
NPRM also solicited comments and
participation of state and local
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emergency planning organizations and
all telecommunications industries to
develop a more effective EAS. The EAS
First Report and Order takes initial steps
to resolve the issues raised in the
NPRM.
Summary of Significant Issues Raised
by Public Comments in Response to the
IRFA
34. There were no comments filed
that specifically addressed the IRFA.
Nonetheless, the agency considered the
potential impact of the rules discussed
in the IRFA on small entities and
reduced the compliance burden for all
small entities (as discussed in Appendix
A of the NPRM) in order to reduce the
economic impact of the rules enacted
herein on such entities.
Description and Estimate of the Number
of Small Entities to Which Rules Will
Apply
35. The RFA directs agencies to
provide a description of, and, where
feasible, an estimate of, the number of
small entities that may be affected by
the rules adopted herein. The RFA
generally defines the term ‘‘small
entity’’ as having the same meaning as
the terms ‘‘small business,’’ ‘‘small
organization,’’ and ‘‘small governmental
jurisdiction.’’ In addition, the term
‘‘small business’’ has the same meaning
as the term ‘‘small business concern’’
under the Small Business Act. A ‘‘small
business concern’’ is one which: (1)
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).
36. A small organization is generally
‘‘any not-for-profit enterprise which is
independently owned and operated and
is not dominant in its field.’’
Nationwide, as of 2002, there were
approximately 1.6 million small
organizations. The term ‘‘small
governmental jurisdiction’’ is defined as
‘‘governments of cities, towns,
townships, villages, school districts, or
special districts, with a population of
less than fifty thousand.’’ As of 1997,
there were approximately 87,453
governmental jurisdictions in the
United States. This number includes
39,044 county governments,
municipalities, and townships, of which
37,546 (approximately 96.2%) have
populations of fewer than 50,000, and of
which 1,498 have populations of 50,000
or more. Thus, the Commission
estimates the number of small
governmental jurisdictions overall to be
84,098 or fewer. Nationwide, there are
a total of approximately 22.4 million
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small businesses, according to SBA
data.
37. Television Broadcasting. The SBA
has developed a small business sized
standard for television broadcasting,
which consists of all such firms having
$12 million or less in annual receipts.
Business concerns included in this
industry are those primarily engaged in
broadcasting images together with
sound. According to Commission staff
review of BIA Publications, Inc. Master
Access Television Analyzer Database, as
of May 16, 2003, about 814 of the 1,220
commercial television stations in the
United States had revenues of $12
million or less. The Commission notes,
however, that, in assessing whether a
business concern qualifies as small
under the above definition, business
(control) affiliations must be included.
The Commission’s estimates, therefore,
likely overstate the number of small
entities that might be affected by its
action, because the revenue figure on
which it is based does not include or
aggregate revenues from affiliated
companies. There are also 2,127 low
power television stations (LPTV). Given
the nature of this service, the
Commission will presume that all LPTV
licensees qualify as small entities under
the SBA size standard.
38. Radio Stations. The revised rules
and policies potentially will apply to all
AM and commercial FM radio
broadcasting licensees and potential
licensees. The SBA defines a radio
broadcasting station that has $6 million
or less in annual receipts as a small
business. A radio broadcasting station is
an establishment primarily engaged in
broadcasting aural programs by radio to
the public. Included in this industry are
commercial, religious, educational, and
other radio stations. Radio broadcasting
stations which primarily are engaged in
radio broadcasting and which produce
radio program materials are similarly
included. However, radio stations that
are separate establishments and are
primarily engaged in producing radio
program material are classified under
another NAICS number. According to
Commission staff review of BIA
Publications, Inc. Master Access Radio
Analyzer Database on March 31, 2005,
about 10,840 (95%) of 11,410
commercial radio stations have revenue
of $6 million or less. The Commission
notes, however, that many radio stations
are affiliated with much larger
corporations having much higher
revenue. The Commission’s estimate,
therefore, likely overstates the number
of small entities that might be affected
by this action.
39. Cable and Other Program
Distribution. The SBA has developed a
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small business size standard for cable
and other program distribution, which
consists of all such firms having $12.5
million or less in annual receipts.
According to Census Bureau data for
1997, in this category there was a total
of 1,311 firms that operated for the
entire year. Of this total, 1,180 firms had
annual receipts of under $10 million,
and an additional 52 firms had receipts
of $10 million to $24,999,999. Thus,
under this size standard, the majority of
firms can be considered small. In
addition, limited preliminary census
data for 2002 indicate that the total
number of cable and other program
distribution companies increased
approximately 46 percent from 1997 to
2002.
40. Cable System Operators (Rate
Regulation Standard). The Commission
has developed its own small business
size standard for cable system operators,
for purposes of rate regulation. Under
the Commission’s rules, a ‘‘small cable
company’’ is one serving fewer than
400,000 subscribers nationwide. The
Commission has estimated that there
were 1,439 cable operators who
qualified as small cable system
operators at the end of 1995. Since then,
some of those companies may have
grown to serve over 400,000 subscribers,
and others may have been involved in
transactions that caused them to be
combined with other cable operators.
Consequently, the Commission
estimates that there are now fewer than
1,439 small entity cable system
operators that may be affected by the
rules and policies proposed herein.
41. Cable System Operators (Telecom
Act Standard). The Communications
Act of 1934, as amended, also contains
a size standard for small cable system
operators, which is ‘‘a cable operator
that, directly or through an affiliate,
serves in the aggregate fewer than 1
percent of all subscribers in the United
States and is not affiliated with any
entity or entities whose gross annual
revenues in the aggregate exceed
$250,000,000.’’ The Commission has
determined that there are 67,700,000
subscribers in the United States.
Therefore, an operator serving fewer
than 677,000 subscribers shall be
deemed a small operator, if its annual
revenues, when combined with the total
annual revenues of all its affiliates, do
not exceed $250 million in the
aggregate. Based on available data, the
Commission estimates that the number
of cable operators serving 677,000
subscribers or fewer, totals 1,450. The
Commission neither requests nor
collects information on whether cable
system operators are affiliated with
entities whose gross annual revenues
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exceed $250 million, and therefore are
unable, at this time, to estimate more
accurately the number of cable system
operators that would qualify as small
cable operators under the size standard
contained in the Communications Act of
1934.
42. Multipoint Distribution Systems.
The established rules apply to
Multipoint Distribution Systems (MDS)
operated as part of a wireless cable
system. 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. This
definition of small entity in the context
of MDS auctions has been approved by
the SBA. The Commission completed its
MDS auction in March 1996 for
authorizations in 493 basic trading
areas. Of 67 winning bidders, 61
qualified as small entities. At this time,
the Commission estimates that of the 61
small business MDS auction winners, 48
remain small business licensees.
43. MDS also includes licensees of
stations authorized prior to the auction.
As noted above, the SBA has developed
a definition of small entities for pay
television services, cable and other
subscription programming, which
includes all such companies generating
$12.5 million or less in annual receipts.
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, the
Commission estimates that there are at
least 440 (392 pre-auction plus 48
auction licensees) small MDS providers
as defined by the SBA and the
Commission’s auction rules which may
be affected by the rules adopted herein.
In addition, limited preliminary census
data for 2002 indicate that the total
number of cable and other program
distribution companies increased
approximately 46 percent from 1997 to
2002.
44. Instructional Television Fixed
Service. The established rules would
also apply to Instructional Television
Fixed Service facilities operated as part
of a wireless cable system. The SBA
definition of small entities for pay
television services also appears to apply
to ITFS. 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.
However, the Commission does not
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collect annual revenue data for ITFS
licensees and is not able to ascertain
how many of the 100 non-educational
licensees would be categorized as small
under the SBA definition. Thus, the
Commission tentatively concludes that
at least 1,932 are small businesses and
may be affected by the established rules.
45. Satellite Telecommunications and
Other Telecommunications. The
Commission has not developed a small
business size standard specifically for
providers of satellite service. The
appropriate size standards under SBA
rules are for the two broad categories of
Satellite Telecommunications and Other
Telecommunications. Under both
categories, such a business is small if it
has $12.5 or less in average annual
receipts. For the first category of
Satellite Telecommunications, Census
Bureau data for 1997 show that there
were a total of 324 firms that operated
for the entire year. Of this total, 273
firms had annual receipts of under $10
million, and an additional twenty-four
firms had receipts of $10 million to
$24,999,999. Thus, the majority of
Satellite Telecommunications firms can
be considered small.
46. The second category—Other
Telecommunications—includes
‘‘establishments primarily engaged in
* * * providing satellite terminal
stations and associated facilities
operationally connected with one or
more terrestrial communications
systems and capable of transmitting
telecommunications to or receiving
telecommunications from satellite
systems.’’ Of this total, 424 firms had
annual receipts of $5 million to
$9,999,999 and an additional 6 firms
had annual receipts of $10 million to
$24,999,990. Thus, under this second
size standard, the majority of firms can
be considered small.
Description of Projected Reporting,
Recordkeeping, and Other Compliance
Requirements
47. In the Order, the Commission
takes steps to advance its public safety
mission by adopting rules that expand
the reach of EAS, as currently
constituted, to cover the following
digital communications technologies:
digital television and radio, digital
cable, and satellite television and radio.
48. As indicated above, the
Commission has revised its EAS rules to
make them apply to DTV broadcasters.
The Order requires that DTV
broadcasters comply with the
Commission’s part 11 rules. Thus, DTV
broadcasters must participate in all
national EAS activations. Participation
in state and local EAS activations will
remain voluntary, but if DTV
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71029
broadcasters choose to transmit state
and local EAS messages they must
comply with the Commission’s part 11
rules governing those messages.
Essentially, DTV providers will now
have the same EAS obligations as analog
television broadcasters. In addition, the
Order requires that, when DTV
broadcasters participate in EAS
activations, they must provide the EAS
message to viewers of all program
streams.
49. The Commission has revised its
EAS rules to require digital cable
systems to participate in national level
EAS activations. Digital cable systems
will now have the same EAS obligations
as analog cable systems. Participation in
state and local EAS activations will
continue to be voluntary, but digital
cable systems that choose to participate
must comply with the part 11 rules. The
Order requires that digital cable systems
with fewer than 5,000 subscribers must,
like analog and wireless cable systems
with fewer than 5,000 subscribers,
provide a video interruption and an
audio alert message on all channels and
the EAS message on at least one
channel.
50. The Commission also has revised
its EAS rules to make them apply to
digital audio broadcasting (DAB)
providers. The Order requires digital
audio broadcasters to air all national
EAS messages. Participation in state and
local EAS activations will be voluntary,
as it is for analog radio broadcasters. If
DAB providers choose to participate in
state and local EAS activations, they
must comply with part 11 of the
Commission’s rules. DAB providers will
now have the same EAS obligations as
analog radio broadcasters. The Order
also requires DAB providers to transmit
all EAS messages that they air on all
audio streams.
51. The Commission has revised its
EAS rules to require that all Satellite
Digital Audio Radio Service (SDARS)
licensees participate in EAS in its
current form. The Order requires
SDARS licensees to transmit national
level EAS messages on all channels.
52. The Commission also strongly
encourages SDARS licensees to have the
ability to receive EAS alerts from state
and local emergency managers and the
ability to disseminate state and local
EAS warnings on any local traffic and
weather channels that the SDARS
licensees provide. The Commission has
required SDARS licensees to inform
their customers of the channels that will
and will not supply state and local EAS
messages. This information should be
provided on the SDARS licensee’s Web
site and should also be distributed in
writing to customers at least annually.
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53. In addition, in order to ensure that
DBS satellite subscribers receive an EAS
message from the President in the event
of a national emergency, the
Commission has revised its EAS rules to
require that DBS satellite service
providers participate in national EAS
activations. For purposes of this Order,
DBS providers include the entities set
forth in section 25.701 of the
Commission’s rules. The Order permits
DBS satellite service providers to
determine the method they will use to
distribute EAS messages to viewers, as
long as all viewers receive the national
EAS message on the channel they are
watching. The Commission notes that
SBCA commented that DBS operators
need additional development time to
participate in national EAS activations.
SBCA focuses on the technical and
operational difficulties involved in
investing in new hardware and
software, but has provided no cost
estimate. However, DIRECTV
commented that it was prepared to
commit the assets to develop the
systems and procedure necessary to
deliver National EAS messages. The
Commission has determined that the
public safety benefit that would result
from imposing a timely public alert and
warning obligation on DBS providers far
outweighs the burdens to such
providers from implementing these new
requirements.
54. Although participation in state
and local EAS activations remains
voluntary, the Commission has required
DBS providers to pass through all EAS
messages aired on local channels to
subscribers receiving those channels so
that subscribers viewing local channels
through DBS services will receive all
EAS messages transmitted over those
local channels. The Commission has
also required DBS providers to be
capable of receiving (from state and
local emergency managers) and
distributing state and local EAS
messages or they must disclose their
inability to do on their website and in
writing to their customers at least
annually.
Steps Taken To Minimize the
Significant Economic Impact on Small
Entities, and Significant Alternatives
Considered
55. The RFA requires an agency to
describe any significant alternatives that
it has considered in developing its
approach, which may include the
following four alternatives (among
others): ‘‘(1) The establishment of
differing compliance or reporting
requirements or timetables that take into
account the resources available to small
entities; (2) the clarification,
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consolidation, or simplification of
compliance and reporting requirements
under the rule for such small entities;
(3) the use of performance rather than
design standards; and (4) an exemption
from coverage of the rule, or any part
thereof, for such small entities.’’
56. The NPRM invited Comments on
a number of alternatives to the
imposition of EAS obligations on the
digital communications technologies
discussed in this Order that are
increasingly being used by the
American public. For example, the
NPRM specifically sought comment on
the technical alternatives to providing
EAS messages. In particular, the NPRM
sought comment on whether the EAS
system could be made more efficient.
Should it be phased out in favor of a
new model? If so, what would the new
model look like? If a new model were
to be adopted, what legal and practical
barriers would have to be overcome to
ensure its implementation and
effectiveness? What technologies should
serve as the basis for such a model?
Alternatively, should EAS requirements
be extended to other services such as
cellular telephones?
57. The Commission has considered
each of the alternatives described above,
and in the EAS First Report and Order
imposes minimal regulation on small
entities to the extent consistent with the
Commission’s goal of advancing its
public safety mission by adopting rules
that expand the reach of EAS. The
affected service providers have
generally expressed their willingness to
cooperate in a national warning system,
and the Commission anticipates that
this addition of new providers to EAS
can be accomplished swiftly and
smoothly. The Commission believes that
the benefits of requiring DTV, DAB,
digital cable, satellite DTH and SDARS
providers to participate in the current
EAS far outweigh any burdens
associated with implementing these
requirements. EAS represents a
significant and valuable investment that
is able to provide effective alert and
warning during the time that new,
digitally-based public alert and warning
systems are being developed. The
Commission agrees with those
commenters who argue that EAS should
remain an important component of any
future alert and warning system.
Further, in most cases, the digital
platforms affected by this Order either
have in place the ability to distribute
EAS warnings, or can do so in a
reasonable amount of time and with
minimal cost. As indicated above, the
Commission will continue, along with
other agencies and industry, to explore
ways in which emergency information
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might be made available in an efficient,
effective, and technologically current
fashion.
Report to Congress
58. The Commission will send a copy
of the Order, including this FRFA, in a
report to be sent to Congress and the
Government Accountability Office
pursuant to the Congressional Review
Act. In addition, the Commission will
send a copy of the Order, including this
FRFA, to the Chief Counsel for
Advocacy of the SBA. A copy of the
Order and FRFA (or summaries thereof)
will also be published in the Federal
Register.
Report and Ordering Clauses
59. Accordingly, it is ordered that
pursuant to sections 1, 4(i), 4(o), 303(r),
403, 624(g) and 706 of the
Communications Act of 1934, as
amended, 47 U.S.C. 151, 154(i) and (o),
303(r), 403, 554(g) and 606, the First
Report and Order in EB Docket No. 04–
296 is adopted, and that part 11 of the
Commission’s rules, 47 CFR part 11, is
revised as set forth in the rule changes.
The rules set forth in the First Report
and Order shall become effective for
digital television broadcasters, digital
audio broadcasters, digital cable systems
and SDARS licensees on December 31,
2006, and for DBS providers on May 31,
2007, except §§ 11.15, 11.21, 11.35,
11.51, 11.52, 11.55 and 11.61 which
contains information that has not been
approved by OMB. The Commission
will publish a document in the Federal
Register announcing the effective dates
of these sections.
60. It is further ordered that the
Commission’s Consumer and
Governmental Affairs Bureau, Reference
Information Center, SHALL SEND a
copy of this First Report and Order,
including the Final Regulatory
Flexibility Analysis, to the Chief
Counsel for Advocacy of the Small
Business Administration.
List of Subjects in 47 CFR Part 11
Radio, Television.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Final Rules
For the reasons discussed in the
preamble, the Federal Communications
Commission amends 47 CFR part 11 as
follows:
I
PART 11—EMERGENCY ALERT
SYSTEM (EAS)
1. The authority citation for part 11
continues to read as follows:
I
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Authority: 47 U.S.C. 151, 154 (i) and (o),
303(r), 544(g) and 606.
I
2. Revise § 11.1 to read as follows:
§ 11.1
Purpose.
This part contains rules and
regulations providing for an Emergency
Alert System (EAS). The EAS provides
the President with the capability to
provide immediate communications and
information to the general public at the
National, State and Local Area levels
during periods of national emergency.
The rules in this part describe the
required technical standards and
operational procedures of the EAS for
analog AM, FM, and TV broadcast
stations, digital broadcast stations,
analog cable systems, digital cable
systems, wireless cable systems, Direct
Broadcast Satellite (DBS) services,
Satellite Digital Audio Radio Service
(SDARS), and other participating
entities. The EAS may be used to
provide the heads of State and local
government, or their designated
representatives, with a means of
emergency communication with the
public in their State or Local Area.
I 3. Amend § 11.11 by revising
paragraphs (a), (b) and (e) to read as
follows:
§ 11.11
(EAS).
The Emergency Alert System
(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; analog
television broadcast stations including
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; wireless cable
systems which may consist of
Broadband Radio Service (BRS), or
Educational Broadband Service (EBS)
stations; DBS services, as defined in 47
CFR 25.701(a) (including certain Kuband Fixed-Satellite Service Direct to
Home providers); SDARS, as defined in
47 CFR 25.201; participating broadcast
networks, cable networks and program
suppliers; and other entities and
industries operating on an organized
basis during emergencies at the
National, State and local levels. These
entities are referred to collectively as
EAS Participants in this part, and are
subject to this part, except as otherwise
provided herein. These rules in this part
are effective on December 31, 2006 for
DTV, DAB, digital cable and SDARS
providers, and on May 31, 2007 for DBS
providers. At a minimum EAS
Participants must use a common EAS
protocol, as defined in § 11.31, to send
and receive emergency alerts in
accordance with the effective dates
listed above in this paragraph and in the
following tables:
ANALOG AND DIGITAL BROADCAST STATIONS
EAS equipment requirement
AM & FM
Two-tone encoder 5 6 ........................
EAS decoder ....................................
EAS encoder ....................................
Audio message ................................
Video message ................................
Y
Y 1/1/97
Y 1/1/97
Y 1/1/97
N/A
Digital
Y 12/31/06
Y 12/31/06
Y 12/31/06
Y 12/31/06
N/A
TV AM &
FM
Y
Y
Y
Y
Y
1/1/97
1/1/97
1/1/97
1/1/97
DTV
Y
Y
Y
Y
Y
12/31/06
12/31/06
12/31/06
12/31/06
12/31/06
FM Class
D1
N
Y 1/1/97
N
Y 1/1/97
N/A
LPTV 2
N
Y 1/1/97
N
Y 1/1/97
Y 1/1/97
Class A
TV 4
LPFM 3
N
Y
N
Y
N/A
Y
Y
1 Effective
December 31, 2006, digital FM Class D stations have the same requirements.
stations that operate as television broadcast translator stations are exempt from the requirement to have EAS equipment. Effective December 31, 2006, digital LPTV stations have the same requirements.
3 LPFM stations must install a decoder within one year after the FCC publishes in the FEDERAL REGISTER a public notice indicating that at least
one decoder has been certified by the FCC. Effective December 31, 2006, digital LPFM stations have the same requirements.
4 Effective December 31, 2006, digital Class A TV stations have the same requirements.
5 Effective July 1, 1995, the two-tone signal must be 8–25 seconds.
6 Effective January 1, 1998, the two-tone signal may only be used to provide audio alerts to audiences before EAS emergency messages and
the required monthly tests.
2 LPTV
ANALOG CABLE SYSTEMS
[A. Analog cable systems serving fewer than 5,000 subscribers from a headend must either provide the National level EAS message on all programmed channels_including the required testing_by October 1, 2002, or comply with the following EAS requirements. All other analog cable
systems must comply with B.]
System size and effective dates
B. EAS equipment requirement
>=10,000
subscribers
>=5,000
but
<10,000
subscribers
<5,000
subscribers
Two-tone signal from storage device ............................................................................................................
EAS decoder 3 ...............................................................................................................................................
EAS encoder 2 ...............................................................................................................................................
Audio and Video EAS Message on all channels ..........................................................................................
Video interrupt and audio alert message on all channels,3 Audio and Video EAS message on at least
one channel.
Y 12/31/98
Y 12/31/98
Y 12/31/98
Y 12/31/98
N
Y 10/1/02
Y 10/1/02
Y 10/1/02
Y 10/1/02
N
Y 10/1/02
Y 10/1/02
Y 10/1/02
N
Y 10/1/02
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone
signal must be 8–25 seconds in duration.
2 Analog cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games.
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WIRELESS CABLE SYSTEMS (BRS/EBS STATIONS)
[A. Wireless cable systems serving fewer than 5,000 subscribers from a single transmission site must either provide the National level EAS message on all programmed channels including the required testing by October 1, 2002, or comply with the following EAS requirements. All
other wireless cable systems must comply with B.]
System size and effective dates
B. EAS equipment requirement subscribers
>=5,000
subscribers
<5,000
EAS decoder ........................................................................................................................................................................
EAS encoder 1 2 ...................................................................................................................................................................
Audio and Video EAS Message on all channels 3 ..............................................................................................................
Video interrupt and audio alert message on all channels; 4 Audio and Video EAS message on at least one channel ....
Y 10/1/02
Y 10/1/02
Y 10/1/02
N
Y 10/1/02
Y 10/1/02
N
Y 10/1/02
1 The two-tone signal is used only to provide an audio alert to an audience prior to an EAS emergency message or to the Required Monthly
Test (RMT) under § 11.61(a)(1). The two-tone signal must be 8–25 seconds in duration.
2 Wireless cable systems serving < 5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 All wireless cable systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated
channel that carries the required audio and video EAS messages.
4 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
Note: Programmed channels do not include channels used for the transmission of data services such as Internet.
DIGITAL CABLE SYSTEMS
[A. Digital cable systems serving fewer than 5,000 subscribers from a headend must either provide the National level EAS message on all programmed channels including the required testing by December 31, 2006, or comply with the following EAS requirements. All other digital
cable systems must comply with B.]
System size and effective dates
B. EAS equipment requirement
>=5,000
subscribers
<5,000
subscribers
Two-tone signal from storage device 1 ................................................................................................................................
EAS decoder 3 .....................................................................................................................................................................
EAS encoder 2 .....................................................................................................................................................................
Audio and Video EAS Message on all channels 4 ..............................................................................................................
Video interrupt and audio alert message on all channels,3 Audio and Video EAS message on at least one channel .....
Y 12/31/06
Y 12/31/06
Y 12/31/06
Y 12/31/06
N
Y 12/31/06
Y 12/31/06
Y 12/31/06
N
Y 12/31/06
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone
signal must be 8–25 seconds in duration.
2 Digital cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
4 All digital cable systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games or the transmission of data
services such as Internet.
SDARS AND DBS
EAS equipment requirement
SDARS
Two-tone signal 1 .................................................................................................................................................................
EAS decoder ........................................................................................................................................................................
EAS encoder ........................................................................................................................................................................
Audio message on all channels 2 ........................................................................................................................................
Video message on all channels 2 ........................................................................................................................................
Y 12/31/06
Y 12/31/06
Y 12/31/06
Y 12/31/06
N/A
DBS
Y
Y
Y
Y
Y
5/31/07
5/31/07
5/31/07
5/31/07
5/31/07
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone
signal must be 8–25 seconds in duration.
2 All SDARS and DBS providers may comply with this requirement by providing a means to switch all programmed channels to a
predesignated channel that carries the required audio and video EAS messages or by any other method that ensures that viewers of all channels
receive the EAS message.
(b) Analog class D non-commercial
educational FM stations as defined in
§ 73.506 of this chapter, digital class D
non-commercial educational FM
stations, analog LPFM stations as
defined in §§ 73.811 and 73.853 of this
chapter, digital LPFM stations, analog
LPTV stations as defined in § 74.701(f),
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and digital LPTV stations as defined in
§ 74.701(k) of this chapter are not
required to comply with § 11.32. Analog
and digital LPTV stations that operate as
television broadcast translator stations,
as defined in § 74.701(b) of this chapter,
are not required to comply with the
requirements of this part. FM broadcast
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booster stations as defined in
§ 74.1201(f) of this chapter and FM
translator stations as defined in
§ 74.1201(a) of this chapter which
entirely rebroadcast the programming of
other local FM broadcast stations are not
required to comply with the
requirements of this part. International
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broadcast stations as defined in § 73.701
of this chapter are not required to
comply with the requirements of this
part. Analog and digital broadcast
stations that operate as satellites or
repeaters of a hub station (or common
studio or control point if there is no hub
station) and rebroadcast 100 percent of
the programming of the hub station (or
common studio or control point) may
satisfy the requirements of this part
through the use of a single set of EAS
equipment at the hub station (or
common studio or control point) which
complies with §§ 11.32 and 11.33.
*
*
*
*
*
(e) Organizations using other
communications systems or
technologies such as low earth orbit
satellite systems, paging, computer
networks, etc. may join the EAS on a
voluntary basis by contacting the FCC.
Organizations that choose to voluntarily
participate must comply with the
requirements of this part.
I 4. Revise § 11.13 to read as follows:
through the period of the initial license
and subsequent renewals from the time
of issuance unless returned by the
holder or suspended, modified, or
withdrawn by the Commission.
I 7. Revise § 11.21 introductory text and
paragraph (a) to read as follows:
§ 11.21 State and Local Area Plans and
FCC Mapbook.
(a) The Emergency Action
Notification (EAN) is the notice to all
EAS Participants and to the general
public that the EAS has been activated
for a national emergency.
(b) The Emergency Action
Termination (EAT) is the notice to all
EAS Participants and to the general
public that the EAN has terminated.
I 5. Revise § 11.15 to read as follows:
EAS plans contain guidelines which
must be followed by EAS Participants’
personnel, emergency officials, and
National Weather Service (NWS)
personnel to activate the EAS. The plans
include the EAS header codes and
messages that will be transmitted by key
EAS sources (NP, LP, SP and SR). State
and local plans contain unique methods
of EAS message distribution such as the
use of the Radio Broadcast Data System
(RBDS). The plans must be reviewed
and approved by the Director, Office of
Homeland Security, Enforcement
Bureau, prior to implementation to
ensure that they are consistent with
national plans, FCC regulations, and
EAS operation.
(a) The State 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.
*
*
*
*
*
I 8. Amend § 11.31 by revising the
format code for LLLLLLLL in paragraph
(c), revising paragraph (d), and revising
the footnotes in paragraphs (e) and (f) to
read as follows:
§ 11.15
§ 11.31
§ 11.13 Emergency Action Notification
(EAN) and Emergency Action Termination
(EAT).
EAS Operating Handbook.
The EAS Operating Handbook states
in summary form the actions to be taken
by personnel at EAS Participant
facilities upon receipt of an EAN, an
EAT, tests, or State and Local Area
alerts. It is issued by the FCC and
contains instructions for the above
situations. A copy of the Handbook
must be located at normal duty
positions or EAS equipment locations
when an operator is required to be on
duty and be immediately available to
staff responsible for authenticating
messages and initiating actions.
I 6. Revise § 11.19 to read as follows:
EAS protocol.
*
*
*
*
*
(c) * * *
LLLLLLLL—This is the identification
of the EAS Participant, NWS office, etc.,
transmitting or retransmitting the
message. These codes will be
automatically affixed to all outgoing
messages by the EAS encoder.
*
*
*
*
*
(d) The only originator codes are:
ORG
code
Originator
§ 11.19 EAS Non-participating National
Authorization Letter.
EAS Participant ............................
Civil authorities .............................
National Weather Service ............
Primary Entry Point System .........
This authorization letter is issued by
the FCC to EAS Participants that have
elected not to participate in the national
level EAS. It states that the EAS
Participant has agreed to go off the air
or discontinue programming on all
channels during a national level EAS
message. For licensees this
authorization will remain in effect
(e) * * *
1 Effective May 16, 2002, analog radio
and television broadcast stations, analog
cable systems and wireless cable
systems may upgrade their existing EAS
equipment to add these event codes on
a voluntary basis until the equipment is
replaced. All models of EAS equipment
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EAS
CIV
WXR
PEP
71033
manufactured after August 1, 2003 must
be capable of receiving and transmitting
these event codes. EAS Participants that
install or replace their EAS equipment
after February 1, 2004 must install
equipment that is capable of receiving
and transmitting these event codes.
(f) * * *
1 Effective May 16, 2002, analog radio
and television broadcast stations, analog
cable systems and wireless cable
systems may upgrade their existing EAS
equipment to add these marine area
location codes on a voluntary basis until
the equipment is replaced. All models
of EAS equipment manufactured after
August 1, 2003, must be capable of
receiving and transmitting these marine
area location codes. EAS Participants
that install or replace their EAS
equipment after February 1, 2004, must
install equipment that is capable of
receiving and transmitting these
location codes.
I 9. Amend § 11.33 by revising
paragraphs (a)(4) and (b) introductory
text to read as follows:
§ 11.33
EAS Decoder.
(a) * * *
(4) Display and logging. 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
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. 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.
*
*
*
*
*
(b) Attention Signal. EAS Decoders
shall have detection and activation
circuitry that will demute a receiver
upon detection of the two audio tones
of 853 Hz and 960 Hz. To prevent false
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responses, decoders designed to use the
two tones for receiver demuting shall
comply with the following:
*
*
*
*
*
I 10. Amend § 11.34 by revising
paragraph (e) to read as follows:
§ 11.34
Acceptability of the equipment.
*
*
*
*
*
(e) Waiver requests of the Certification
requirements for EAS Encoders or EAS
Decoders which are constructed for use
by an EAS Participant, but are not
offered for sale will be considered on an
individual basis in accordance with part
1, subpart G, of this chapter.
*
*
*
*
*
I 11. Revise § 11.35 to read as follows:
§ 11.35
Equipment operational readiness.
(a) EAS Participants are responsible
for ensuring that EAS Encoders, EAS
Decoders and Attention Signal
generating and receiving equipment
used as part of the EAS 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 (a)(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.
(b) If the EAS Encoder or EAS
Decoder becomes defective, the EAS
Participant may operate without the
defective equipment pending its repair
or replacement for 60 days without
further FCC authority. Entries shall be
made in the broadcast station log, cable
system records, and records of other
EAS Participants, as specified in
paragraph (a) of this rule, showing the
date and time the equipment was
removed and restored to service. For
personnel training purposes, the
required monthly test script must still
be transmitted even though the
equipment for generating the EAS
message codes, Attention Signal and
EOM code is not functioning.
(c) If repair or replacement of
defective equipment is not completed
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Jkt 208001
within 60 days, an informal request
shall be submitted to the District
Director of the FCC field office serving
the area in which the EAS Participant is
located, or in the case of DBS and
SDARS providers to the District Director
of the FCC field office serving the area
where their headquarters is located, for
additional time to repair the defective
equipment. This request must explain
what steps have been taken to repair or
replace the defective equipment, the
alternative procedures being used while
the defective equipment is out of
service, and when the defective
equipment will be repaired or replaced.
I 12. Revise § 11.41 to read as follows:
§ 11.41
Participation in EAS.
(a) All EAS Participants specified in
§ 11.11 are categorized as Participating
National (PN) sources unless authorized
by the FCC to be Non-Participating (NN)
sources.
(b) An EAS Participant may submit a
written request to the FCC asking to be
an NN source. The FCC may then issue
a Non-participating National
Authorization letter. NN sources must
go off the air during a national EAS
activation after transmitting specified
information.
(1) An EAS Participant that is an NN
source under § 11.18(f) that wants to
become a PN source in the national
level EAS must submit a written request
to the FCC.
(2) NN sources may voluntarily
participate in the State and Local Area
EAS. Participation is at the discretion of
EAS Participant management and
should comply with State and Local
Area EAS Plans.
(c) All sources, including NN, must
have immediate access to an EAS
Operating Handbook.
I 13. Amend § 11.42 by revising
paragraphs (a)(1), (a)(2), (b), and (c) to
read as follows:
(b) Upon receipt of the Emergency
Action Termination, the common
carriers shall disconnect the originating
source and the participating
independent stations and restore the
networks and other EAS Participants to
their original configurations.
(c) During a National level EAS Test,
common carriers which have facilities
in place may, without charge, connect
an originating source from the nearest
exchange to a selected Test Center and
then to any EAS Participant.
Independent stations will not be
connected during the test unless
authorized by the FCC. Upon test
termination, EAS Participants shall be
restored to their original configurations.
*
*
*
*
*
I 14. Amend § 11.44 by revising
paragraph (d) to read as follows:
§ 11.44
EAS message priorities.
*
*
*
*
*
(d) During a national emergency, the
facilities of all EAS Participants must be
reserved exclusively for distribution of
Presidential Messages. NIC messages
received from national networks which
are not broadcast at the time of original
transmission must be recorded locally
by LP sources for transmission at the
earliest opportunity consistent with the
message priorities in paragraph (b) of
this section.
I 15. Revise § 11.46 to read as follows:
§ 11.46 EAS public service
announcements.
EAS Participants may use Public
Service Announcements or obtain
commercial sponsors for
announcements, infomercials, or
programs explaining the EAS to the
public. Such announcements and
programs may not be a part of alerts or
tests, and may not simulate or attempt
to copy alert tones or codes.
I 16. Revise § 11.47 to read as follows:
§ 11.42 Participation by communications
common carriers.
§ 11.47 Optional use of other
communications methods and systems.
(a) * * *
(1) An originating source from the
nearest service area to a selected Test
Center and then to the EAS Participant
for the duration of the emergency,
provided an Emergency Action
Notification is issued by the White
House and the originating source has a
local channel from the originating point
to the nearest service area.
(2) An independent broadcast station
to the radio and television broadcast
networks and any other EAS Participant
provided the station has in service a
local channel from the station’s studio
or transmitter directly to the broadcast
source.
(a) Analog and digital broadcast
stations may additionally transmit EAS
messages through other
communications means. For example,
on a voluntary basis, FM stations may
use subcarriers to transmit the EAS
codes including 57 kHz using the RBDS
standard produced by the National
Radio Systems Committee (NRSC) and
television stations may use subsidiary
communications services.
(b) Other technologies and public
service providers, such as low earth
orbiting satellites, that wish to
participate in the EAS may contact the
FCC’s Office of Homeland Security,
Enforcement Bureau, or their State
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Emergency Communications Committee
for information and guidance.
I 17. Revise § 11.51 to read as follows:
§ 11.51 EAS code and Attention Signal
Transmission requirements.
(a) Analog and digital broadcast
stations must transmit, either
automatically or manually, national
level EAS messages and required tests
by sending the EAS header codes,
Attention Signal, emergency message
and End of Message (EOM) codes using
the EAS Protocol. The Attention Signal
must precede any emergency audio
message. After January 1, 1998, the
shortened Attention Signal may only be
used as an audio alert signal and the
EAS codes will become the minimum
signaling requirement for National level
messages and tests.
(b) When relaying EAS messages, EAS
Participants may transmit only the EAS
header codes and the EOM code without
the Attention Signal and emergency
message for State and local emergencies.
Pauses in video programming before
EAS message transmission should not
cause television receivers to mute EAS
audio messages. No Attention Signal is
required for EAS messages that do not
contain audio programming, such as a
Required Weekly Test.
(c) By the effective dates provided in
§ 11.11(a), all analog and digital radio
and television stations shall transmit
EAS messages in the main audio
channel. Effective December 31, 2006,
all DAB stations shall also transmit EAS
messages on all audio streams. Effective
December 31, 2006, all DTV broadcast
stations shall also transmit EAS
messages on all program streams.
(d) By the effective dates provided in
§ 11.11(a), analog and digital television
broadcast stations shall transmit a visual
message containing the Originator,
Event, Location and the valid time
period of an EAS message. If the
message is a video crawl, it shall be
displayed at the top of the television
screen or where it will not interfere with
other visual messages.
(e) Analog class D non-commercial
educational FM stations as defined in
§ 73.506 of this chapter, digital class D
non-commercial educational FM
stations, analog Low Power FM (LPFM)
stations as defined in §§ 73.811 and
73.853 of this chapter, digital LPFM
stations, analog low power TV (LPTV)
stations as defined in § 74.701(f) of this
chapter, and digital LPTV stations as
defined in § 74.701(k) of this chapter are
not required to have equipment capable
of generating the EAS codes and
Attention Signal specified in § 11.31.
(f) Analog and digital broadcast
station equipment generating the EAS
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12:24 Nov 23, 2005
Jkt 208001
codes and the Attention Signal shall
modulate a broadcast station transmitter
so that the signal broadcast to other EAS
Participants alerts them that the EAS is
being activated or tested at the National,
State or Local Area level. The minimum
level of modulation for EAS codes,
measured at peak modulation levels
using the internal calibration output
required in § 11.32(a)(4), shall modulate
the transmitter at the maximum possible
level, but in no case less than 50% of
full channel modulation limits.
Measured at peak modulation levels,
each of the Attention Signal tones shall
be calibrated separately to modulate the
transmitter at no less than 40%. These
two calibrated modulation levels shall
have values that are within 1 dB of each
other.
(g) Analog cable systems and digital
cable systems with fewer than 5,000
subscribers per headend and wireless
cable systems with fewer than 5,000
subscribers shall transmit EAS audio
messages in the same order specified in
paragraph (a) of this section on at least
one channel. The Attention Signal may
be produced from a storage device.
Additionally, these analog cable
systems, digital cable systems, and
wireless cable systems:
(1) Must install, operate, and maintain
equipment capable of generating the
EAS codes. The modulation levels for
the EAS codes and Attention Signal for
analog cable systems shall comply with
the aural signal requirements in § 76.605
of this chapter,
(2) Must provide a video interruption
and an audio alert message on all
channels. The audio alert message must
state which channel is carrying the EAS
video and audio message,
(3) Shall transmit a visual EAS
message on at least one channel. The
message shall contain 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.
(4) May elect not to interrupt EAS
messages from broadcast stations based
upon a written agreement between all
concerned. Further, analog cable
systems, digital cable systems, and
wireless cable systems may elect not to
interrupt the programming of a
broadcast station carrying news or
weather related emergency information
with state and local EAS messages based
on a written agreement between all
parties.
(5) Wireless cable systems and digital
cable systems with a requirement to
carry the audio and video EAS message
on at least one channel and a
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71035
requirement to provide video interrupt
and an audio alert message on all other
channels stating which channel is
carrying the audio and video EAS
message, may comply by using a means
on all programmed channels that
automatically tunes the subscriber’s settop box to a pre-designated channel
which carries the required audio and
video EAS messages.
(h) Analog cable and digital cable
systems with 10,000 or more
subscribers; analog cable and digital
cable systems serving 5,000 or more, but
less than 10,000 subscribers per
headend; and wireless cable systems
with 5,000 or more subscribers shall
transmit EAS audio messages in the
same order specified in paragraph (a) of
this section. The Attention Signal may
be produced from a storage device.
Additionally, these analog cable
systems, digital cable systems, and
wireless cable systems:
(1) Must install, operate, and maintain
equipment capable of generating the
EAS codes. The modulation levels for
the EAS codes and Attention Signal for
analog cable systems shall comply with
the aural signal requirements in § 76.605
of this chapter. This will provide
sufficient signal levels to operate
subscriber television and radio receivers
equipped with EAS decoders and to
audibly alert subscribers. Wireless cable
systems and digital cable systems shall
also provide sufficient signal levels to
operate subscriber television and radio
receivers equipped with EAS decoders
and to audibly alert subscribers.
(2) Shall transmit the EAS audio
message required in paragraph (a) of this
section on all downstream channels.
(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.
These are elements of the EAS header
code and are described in § 11.31. If the
visual message is a video crawl, it shall
be displayed at the top of the
subscriber’s television screen or where
it will not interfere with other visual
messages.
(4) May elect not to interrupt EAS
messages from broadcast stations based
upon a written agreement between all
concerned. Further, analog cable
systems, digital cable systems, and
wireless cable systems may elect not to
interrupt the programming of a
broadcast station carrying news or
weather related emergency information
with state and local EAS messages based
on a written agreement between all
parties.
(5) Wireless cable systems and digital
cable systems with a requirement to
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carry the audio and video EAS message
on all downstream channels may
comply by using a means on all
programmed channels that
automatically tunes the subscriber’s settop box to a pre-designated channel
which carries the required audio and
video EAS messages.
(i) Effective December 31, 2006,
SDARS licensees shall transmit national
audio EAS messages on all channels in
the same order specified in paragraph
(a) of this section.
(1) SDARS licensees must install,
operate, and maintain equipment
capable of generating the EAS codes.
(2) SDARS licensees may determine
the distribution methods they will use
to comply with this requirement.
(j) Effective May 31, 2007, DBS
providers shall transmit national audio
and visual EAS messages on all
channels in the same order specified in
paragraph (a) of this section.
(1) DBS providers must install,
operate, and maintain equipment
capable of generating the EAS codes.
(2) The visual message shall contain
the Originator, Event, Location and the
valid time period of the EAS message.
These are elements of the EAS header
code and are described in § 11.31. If the
visual message is a video crawl, it shall
be displayed at the top of the
subscriber’s television screen or where
it will not interfere with other visual
messages.
(3) DBS providers may determine the
distribution methods they will use to
comply with this requirement. Such
methods may include distributing the
EAS message on all channels, using a
means to automatically tune the
subscriber’s set-top box to a predesignated channel which carries the
required audio and video EAS messages,
and/or passing through the EAS
message provided by programmers and/
or local channels (where applicable).
(k) If manual interrupt is used as
authorized in paragraph (m) of this
section, EAS Encoders must be located
so that EAS Participant staff, at normal
duty locations, can initiate the EAS
code and Attention Signal transmission.
(l) EAS Participants that are co-owned
and co-located with a combined studio
or control facility, (such as an AM and
FM licensed to the same entity and at
the same location or a cable headend
serving more than one system) may
provide the EAS transmitting
requirements contained in this section
for the combined stations or systems
with one EAS Encoder. The
requirements of § 11.32 must be met by
the combined facility.
(m) EAS Participants are required to
transmit all received EAS messages in
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which the header code contains the
Event codes for Emergency Action
Notification (EAN), Emergency Action
Termination (EAT), and Required
Monthly Test (RMT), and when the
accompanying location codes include
their State or State/county. These EAS
messages shall be retransmitted
unchanged except for the LLLLLLLLcode which identifies the EAS
Participant retransmitting the message.
See § 11.31(c). If an EAS source
originates an EAS message with the
Event codes in this paragraph, it must
include the location codes for the State
and counties in its service area. When
transmitting the required weekly test,
EAS Participants shall use the event
code RWT. The location codes are the
state and county for the broadcast
station city of license or system
community or city. Other location codes
may be included upon approval of
station or system management. EAS
messages may be transmitted
automatically or manually.
(1) Automatic interrupt of
programming and transmission of EAS
messages are required when facilities
are unattended. Automatic
transmissions must include a permanent
record that contains at a minimum the
following information: Originator,
Event, Location and valid time period of
the message. The decoder performs the
functions necessary to determine which
EAS messages are automatically
transmitted by the encoder.
(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 include the
minimum information required for EAS
video messages.
(n) EAS Participants may employ a
minimum delay feature, not to exceed
15 minutes, for automatic interruption
of EAS codes. However, this may not be
used for the EAN event which must be
transmitted immediately. The delay
time for an RMT message may not
exceed 60 minutes.
(o) Either manual or automatic
operation of EAS equipment may be
used by EAS Participants that use
remote control. If manual operation is
used, an EAS decoder must be located
at the remote control location and it
must directly monitor the signals of the
two assigned EAS sources. If direct
monitoring of the assigned EAS sources
is not possible at the remote location,
automatic operation is required. If
automatic operation is used, the remote
control location may be used to override
the transmission of an EAS alert. EAS
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Participants may change back and forth
between automatic and manual
operation.
I 18. Revise § 11.52 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 § 11.32(a)(9) and emergency
messages of other broadcast stations
during their hours of operation. EAS
Participants must install and operate
during their hours of operation,
equipment capable of receiving and
decoding, either automatically or
manually, the EAS header codes,
emergency messages and EOM code.
EAS Participants must comply with
these requirements by the dates set forth
in § 11.11.
Note to Paragraph (a): The two-tone
Attention Signal will not be used to actuate
two-tone decoders but will be used as an
aural alert signal.
(b) If manual interrupt is used as
authorized in § 11.51(m)(2), decoders
must be located so that operators at their
normal duty stations can be alerted
immediately when EAS messages are
received.
(c) EAS Participants that are coowned and co-located with a combined
studio or control facility (such as an AM
and FM licensed to the same entity and
at the same location or a cable headend
serving more than one system) may
comply with the EAS monitoring
requirements contained in this section
for the combined station or system with
one EAS Decoder. The requirements of
§ 11.33 must be met by the combined
facility.
(d) EAS Participants must monitor
two EAS sources. The monitoring
assignments of each broadcast station
and cable system and wireless cable
system are specified in the State EAS
Plan and FCC Mapbook. They are
developed in accordance with FCC
monitoring priorities.
(1) If the required EAS sources cannot
be received, alternate arrangements or a
waiver may be obtained by written
request to the FCC’s EAS office. In an
emergency, a waiver may be issued over
the telephone with a follow up letter to
confirm temporary or permanent
reassignment.
(2) The management of EAS
Participants shall determine which
header codes will automatically
interrupt their programming for State
and Local Area emergency situations
affecting their audiences.
(e) EAS Participants are required to
interrupt normal programming either
automatically or manually when they
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receive an EAS message in which the
header code contains the Event codes
for Emergency Action Notification
(EAN), Emergency Action Termination
(EAT), and Required Monthly Test
(RMT) for their State or State/county
location.
(1) Automatic interrupt of
programming is required when facilities
are unattended. Automatic operation
must provide a permanent record of the
EAS message that contains at a
minimum the following information:
Originator, Event, Location and valid
time period of the message.
(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(b)(13).
Decoders must be programmed for the
EAN and EAT Event header codes for
National level emergencies and the RMT
and RWT Event header codes for
required monthly and weekly tests, with
the appropriate accompanying State and
State/county location codes.
I 19. Amend § 11.53 by revising
paragraphs (a) introductory text and (c)
to read as follows:
§ 11.53 Dissemination of Emergency
Action Notification.
*
*
*
*
*
(a) National Level. The EAN is issued
by the White House. The EAN message
is sent from a government origination
point to broadcast stations and other
entities participating in the PEP system.
It is then disseminated via EAS
Participants.
*
*
*
*
*
(c) Analog and digital broadcast
stations must, prior to commencing
routine operation or originating any
emissions under program test,
equipment test, experimental, or other
authorizations, determine whether the
EAS has been activated by monitoring
the assigned EAS sources as specified in
their State or Local plan.
I 20. Amend § 11.54 by revising
paragraphs (b), (c), (d) and (e) to read as
follows:
§ 11.54 EAS operation during a National
Level emergency.
*
*
*
*
*
(b) Immediately upon receipt of an
EAN message, EAS Participants must:
(1) Monitor the two EAS sources
assigned in the State or Local Area plan
or FCC Mapbook for any further
instructions. SDARS licensees and DBS
providers may choose their two EAS
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12:24 Nov 23, 2005
Jkt 208001
sources, one of which must be a PEP
station.
(2) Discontinue normal programming
and follow the transmission procedures
in the appropriate section of the EAS
Operating Handbook. Announcements
may be made in the same language as
the primary language of the EAS
Participant.
(i) Key EAS sources (National Primary
(NP), Local Primary (LP), State Primary
(SP), State Relay (SR) and Participating
National (PN) sources) follow the
transmission procedures and make the
announcements in the National Level
Instructions of the EAS Operating
Handbook.
(ii) Non-participating National (NN)
sources follow the transmission
procedures and make the sign-off
announcement in the EAS Operating
Handbook’s National Level Instructions
section for NN sources. After the signoff announcement, NN sources are
required to remove their carriers or
services from the air and monitor for the
Emergency Action Termination
message. NN sources using automatic
interrupt under § 11.51(m)(1), must
transmit the header codes, Attention
Signal, sign-off announcement and EOM
code after receiving the appropriate EAS
header codes for a national emergency.
(3) After completing the above
transmission procedures, key EAS and
Participating National sources must
transmit a common emergency message
until receipt of the Emergency Action
Termination Message. Message
priorities are specified in § 11.44. If LP
or SR sources of a Local Area cannot
provide an emergency message feed, any
source in the Local Area may elect to
provide a message feed. This should be
done in an organized manner as
designated in State and Local Area EAS
Plans.
(4) The Standby Script shall be used
until emergency messages are available.
The text of the Standby Script is in the
EAS Operating Handbook’s section for
Participating sources.
(5) Analog and digital TV broadcast
stations shall display an appropriate
EAS slide and then transmit all EAS
announcements visually and aurally as
specified in §§ 11.51(a) through (e) and
73.1250(h) of this chapter.
(6) Analog cable systems, digital cable
systems, and wireless cable systems
shall transmit all EAS announcements
visually and aurally as specified in
§ 11.51(g) and (h).
(7) DBS providers shall transmit all
EAS announcements visually and
aurally as specified in § 11.51(j).
(8) Announcements may be made in
the same language as the primary
language of the EAS participant.
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71037
(9) Analog and digital broadcast
stations may transmit their call letters
and analog cable systems, digital cable
systems and wireless cable systems may
transmit the names of the communities
they serve during an EAS activation.
State and Local Area identifications
must be given as provided in State and
Local Area EAS plans.
(10) All analog and digital broadcast
stations and analog cable systems,
digital cable systems and wireless cable
systems operating and identified with a
particular EAS Local Area must transmit
a common national emergency message
until receipt of the Emergency Action
Termination.
(11) Analog and digital broadcast
stations, except those holding an EAS
Non-participating National
Authorization letter, are exempt from
complying with §§ 73.62 and 73.1560 of
this chapter (operating power
maintenance) while operating under
this part.
(12) National Primary (NP) sources
must operate under the procedures in
the National Control Point Procedures.
(13) The time of receipt of the EAN
and Emergency Action Termination
messages shall be entered by analog and
digital broadcast stations in their logs
(as specified in §§ 73.1820 and 73.1840
of this chapter), by analog and digital
cable systems in their records (as
specified in § 76.1711 of this chapter),
by subject wireless cable systems in
their records (as specified in § 21.304 of
this chapter), and by all other EAS
Participants in their records as specified
in § 11.35(a).
(c) Upon receipt of an Emergency
Action Termination Message, EAS
Participants must follow the termination
procedures in the EAS Operating
Handbook.
(d) EAS Participants originating
emergency communications under this
section shall be considered to have
conferred rebroadcast authority, as
required by section 325(a) of the
Communications Act of 1934, 47 U.S.C.
325(a), to other EAS Participants.
(e) During a national level EAS
emergency, EAS Participants may
transmit in lieu of the EAS audio feed
an audio feed of the President’s voice
message from an alternative source,
such as a broadcast network audio feed.
I 21. Amend § 11.55 by revising
paragraphs (a), (c) introductory text,
(c)(4) and (c)(7) to read as follows:
§ 11.55 EAS operation during a State or
Local Area emergency.
(a) The EAS may be activated at the
State and Local Area levels by EAS
Participants at their discretion for dayto-day emergency situations posing a
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Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 / Rules and Regulations
threat to life and property. Examples of
natural emergencies which may warrant
activation are: Tornadoes, floods,
hurricanes, earthquakes, heavy snows,
icing conditions, widespread fires, etc.
Man-made emergencies may include:
toxic gas leaks or liquid spills,
widespread power failures, industrial
explosions, and civil disorders.
(1) DBS providers shall pass through
all EAS messages aired on local
television broadcast stations carried by
DBS providers under the Commission’s
broadcast signal carriage rules to
subscribers receiving those channels.
(2) SDARS licensees and DBS
providers may participate in EAS at the
state and local level and make their
systems capable of receiving and
transmitting state and local level EAS
messages on all channels. If an SDARS
licensee or DBS provider is not capable
of receiving and transmitting state and
local EAS message on all channels, it
must inform its subscribers, on its
website and in writing on an annual
basis, of which channels are and are not
capable of supplying state and local
messages.
*
*
*
*
*
(c) Immediately upon receipt of a
State or Local Area EAS message, EAS
Participants participating in the State or
Local Area EAS must do the following:
*
*
*
*
*
(4) EAS Participants participating in
the State or Local Area EAS must
discontinue normal programming and
follow the procedures in the State and
Local Area plans. Analog and digital
television broadcast stations must
comply with § 11.54(b)(5); analog cable
systems, digital cable systems, and
wireless cable systems must comply
with § 11.54(b)(6); and DBS providers
must comply with § 11.54(b)(7). EAS
Participants providing foreign language
programming should comply with
§ 11.54(b)(8).
*
*
*
*
*
(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(b)(13).
*
*
*
*
*
I 22. Revise § 11.61 to read as follows:
§ 11.61
Tests of EAS procedures.
(a) EAS Participants shall conduct
tests at regular intervals, as specified in
paragraphs (a)(1) and (a)(2) of this
section. Additional tests may be
performed anytime. EAS activations and
special tests may be performed in lieu
of required tests as specified in
paragraph (a)(4) of this section. All tests
will conform with the procedures in the
EAS Operating Handbook.
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12:24 Nov 23, 2005
Jkt 208001
(1) Required Monthly Tests of the
EAS header codes, Attention Signal,
Test Script and EOM code.
(i) Tests in odd numbered months
shall occur between 8:30 a.m. and local
sunset. Tests in even numbered months
shall occur between local sunset and
8:30 a.m. They will originate from Local
or State Primary sources. The time and
script content will be developed by
State Emergency Communications
Committees in cooperation with affected
EAS Participants. Script content may be
in the primary language of the EAS
Participant. These monthly tests must
be transmitted within 60 minutes of
receipt by EAS Participants in an EAS
Local Area or State. Analog and digital
class D non-commercial educational FM
and analog and digital LPTV stations are
required to transmit only the test script.
(ii) Effective May 31, 2007, DBS
providers must comply with this section
by monitoring a state or local primary
source to participate in testing. Tests
should be performed on 10% of all
channels monthly (excluding local-intolocal channels for which the monthly
transmission tests are passed through by
the DBS provider), with channels tested
varying from month to month, so that
over the course of a given year, 100%
of all channels are tested.
(2) Required Weekly Tests:
(i) EAS Header Codes and EOM
Codes:
(A) Analog and digital AM, FM, and
TV broadcast stations must conduct
tests of the EAS header and EOM codes
at least once a week at random days and
times. Effective December 31, 2006,
DAB stations must conduct these tests
on all audio streams. Effective December
31, 2006, DTV stations must conduct
these tests on all program streams.
(B) Analog cable systems and digital
cable systems with 5,000 or more
subscribers per headend and wireless
cable systems with 5,000 or more
subscribers must conduct tests of the
EAS Header and EOM Codes at least
once a week at random days and times
on all programmed channels.
(C) Analog cable systems and digital
cable systems serving fewer than 5,000
subscribers per headend and wireless
cable systems with fewer than 5,000
subscribers must conduct tests of the
EAS Header and EOM Codes at least
once a week at random days and times
on at least one programmed channel.
(D) SDARS providers must conduct
tests of the EAS Header and EOM codes
at least once a week at random days and
times on all channels.
(ii) DBS providers, analog and digital
class D non-commercial educational FM
stations, and analog and digital LPTV
stations are not required to transmit this
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Frm 00048
Fmt 4700
Sfmt 4700
test but must log receipt, as specified in
§§ 11.35(a) and 11.54(b)(13).
(iii) The EAS weekly test is not
required during the week that a monthly
test is conducted.
(iv) EAS Participants are not required
to transmit a video message when
transmitting the required weekly test.
(3) Periodic National Tests. National
Primary (NP) sources shall participate in
tests as appropriate. The FCC may
request a report of these tests.
(4) EAS activations and special tests.
The EAS may be activated for
emergencies or special tests at the State
or Local Area level by an EAS
Participant instead of the monthly or
weekly tests required by this section. To
substitute for a monthly test, activation
must include transmission of the EAS
header codes, Attention Signal,
emergency message and EOM code and
comply with the visual message
requirements in § 11.51. To substitute
for the weekly test of the EAS header
codes and EOM codes in paragraph
(a)(2)(i) of this section, activation must
include transmission of the EAS header
and EOM codes. Analog and digital
television broadcast stations, analog
cable systems, digital cable systems,
wireless cable systems, and DBS
providers shall comply with the aural
and visual message requirements in
§ 11.51. Special EAS tests at the State
and Local Area levels may be conducted
on daily basis following procedures in
State and Local Area EAS plans.
(b) Entries shall be made in EAS
Participant records, as specified in
§§ 11.35(a) and 11.54(b)(13).
[FR Doc. 05–23271 Filed 11–23–05; 8:45 am]
BILLING CODE 6712–01–P
DEPARTMENT OF ENERGY
48 CFR Parts 909 and 970
RIN 1991–AB64
Acquisition Regulation: Work for
Others
Department of Energy (DOE).
Final rule.
AGENCY:
ACTION:
SUMMARY: The Department of Energy
(DOE) is adopting as final without
change an Interim Final Rule amending
the Department of Energy Acquisition
Regulation (DEAR) to provide policy
and procedures regarding work for nonDOE entities performed by DOE
contractors who manage and operate
DOE-owned or DOE-leased facilities and
to make an administrative change
concerning debarment and suspension
officials.
E:\FR\FM\25NOR1.SGM
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]]>Agencies
[Federal Register Volume 70, Number 226 (Friday, November 25, 2005)]
[Rules and Regulations]
[Pages 71023-71038]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-23271]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 11
[EB Docket No. 04-296; FCC 05-191]
Review of the Emergency Alert System
AGENCY: Federal Communications Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this document, the Federal Communications Commission
(Commission) adopts rules that expand the reach of the Emergency Alert
System (EAS), as currently constituted, to cover digital communications
technologies that are increasingly being used by the American public to
receive news and entertainment--digital television and radio, digital
cable, and satellite television and radio. This First Report and Order
is the most recent in a series of proceedings in which the Commission
has sought to contribute to an efficient and technologically current
public alert and warning system.
DATES: Effective Date: The rules set forth in the First Report and
Order shall become effective for digital television broadcasters,
digital audio broadcasters, digital cable systems and SDARS licensees
on December 31, 2006, and for DBS providers on May 31, 2007, except
Sec. Sec. 11.15, 11.21, 11.35, 11.51, 11.52, 11.55 and 11.61 which
contains information that has not been approved by OMB. The Commission
will publish a document in the Federal Register announcing the
effective dates of these sections.
Comment Date: Written comments by the public on the new and/or
modified information collection requirements are due January 24, 2006.
ADDRESSES: Federal Communications Commission, 445 12th Street, SW.,
Room TW-A325, Washington, DC 20554. You may submit your Paperwork
Reduction Act (PRA) comments by electronic mail or U.S. mail. To submit
your PRA comments by electronic mail, send comments to: PRA@fcc.gov. To
submit your PRA comments by U.S. mail, mark them to the attention of
Judith B. Herman and address them to the Federal Communications
Commission, Room 1-C804, 445 12th Street, SW., Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT: Jean Ann Collins, Senior Counsel,
Office of Homeland Security, Enforcement Bureau, at (202) 418-1199. For
additional information concerning the Paperwork Reduction Act
information collection requirements contained in this document, send an
e-mail to PRA@fcc.gov or contact Judith B. Herman at (202) 418-0214.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's First
Report and Order in EB Docket No. 04-296, FCC 05-191, adopted November
3, 2005, and released November 10, 2005. The complete text of this
document is available for inspection and copying during normal business
hours in the FCC Reference Information Center, Portals II, 445 12th
Street, SW., Room CY-A257, Washington, DC, 20554. This document may
also be purchased from the Commission's duplicating contractor, Best
Copy and Printing, Inc., 445 12th Street, SW., Room CY-B402,
Washington, DC 20554, telephone (800) 378-3160 or (202) 863-2893,
facsimile (202) 863-2898, or via e-mail at https://www.bcpiweb.com. It
is also available on the Commission's Web site at https://www.fcc.gov.
This document contains new information collection requirements. The
Commission, as part of its continuing effort to reduce paperwork
burdens, invites the general public to comment on the information
collection requirements contained in this document as required by the
Paperwork Reduction Act of 1995, Public Law 104-13. Public and agency
comments are due January 24, 2006. In addition, the Commission notes
that pursuant to the Small Business Paperwork Relief Act of 2002,
Public Law 107-198, see 44 U.S.C. 3506(c)(4), the Commission previously
sought specific comment on how the Commission might ``further reduce
the information collection burden for small business concerns with
fewer than 25 employees.''
In this present document, the Commission has assessed the effects
of expanding the reach of EAS to cover DTV, DAB, digital cable, DBS and
SDARS providers, and finds that this imposes minimal regulation on
small entities to the extent consistent with the Commission's goal of
advancing its public safety mission.
[[Page 71024]]
Synopsis of the First Report and Order
1. Background. In the Notice of Proposed Rulemaking (NPRM) (69 FR
16193, August 30, 2004), the Commission sought comment on whether the
EAS in its present form is the most efficient mechanism for warning the
American public of an emergency and, if not, on how the Emergency Alert
System (EAS) can be improved. The main objective of the NPRM was to
seek comment on whether the EAS as currently constituted is the most
effective and efficient public warning system that best takes advantage
of appropriate technological advances and best responds to the public's
need to obtain timely emergency information. The NPRM sought comment on
the current efficacy of EAS in an age when the communications landscape
has evolved from what it was when EAS predecessors, and EAS itself,
were originally conceived.
2. Introduction. In the First Report and Order, the Commission
takes steps to advance its important public safety mission by adopting
rules that expand the reach of EAS, as currently constituted, to cover
digital communications technologies that are increasingly being used by
the American public to receive news and entertainment--digital
television and radio, digital cable, and satellite television and
radio.
3. Discussion. The Commission's immediate concern, and the subject
of this First Report and Order, is to ensure that increasingly popular
digital technologies deliver some level of basic national or regional
warning now, while more sophisticated alert and warning systems are
being developed. It is an essential element of the Commission's mission
to ensure that the American public receives public alerts and warnings.
For the reasons indicated below, the Commission believes that the
current EAS is overall the most effective way to provide such a basic
level of warning as the Commission transitions to more sophisticated
systems. Accordingly, the Commission adopts rules to ensure that
digital television (DTV), digital audio broadcasting (DAB), digital
cable, direct broadcast satellite (DBS) and satellite digital audio
radio service (SDARS) consumers are provided with effective, basic
alert and warning information now, in a manner that will neither
interfere with nor impede the ongoing development of a fully integrated
state of the art warning system. The Commission seeks to facilitate
this steady transition to a digital warning system by extending the EAS
obligations of analog broadcasters and cable systems to these
additional digital communications systems.
4. The Commission believes that the benefits of requiring DTV, DAB,
digital cable, DBS and SDARS licensees to participate in the current
EAS far outweigh any burdens associated with implementing these
requirements. EAS represents a significant and valuable investment that
provides effective alert and warning during the time that new,
digitally-based public alert and warning systems are being developed.
The Commission agrees with those commenters who argue that EAS should
remain an important component of any future alert and warning system.
Further, in most cases, the digital platforms affected by this First
Report and Order either have in place the ability to distribute EAS
warnings, or can do so in a reasonable amount of time and with
reasonable cost. Accordingly, based on the Commission's examination of
the record in this proceeding, it does not believe that requiring these
digital services to install and use EAS equipment will impose undue
regulatory or financial burdens. The Commission will continue, along
with other agencies and industry, to explore ways in which emergency
information might be made available in a more efficient, effective, and
technologically current fashion.
5. Digital Television. Television broadcasting in the United States
is in the midst of a conversion from analog to digital technology. The
majority of television stations serving all markets in the United
States are already airing DTV programming, and the Commission set a
target date of December 31, 2006 for the completion of the DTV
transition. When the DTV transition is complete, some of the spectrum
currently used for broadcast television will be reclaimed and put to
other uses, notably public safety. The Commission has adopted standards
and rules that address the transition of the nation's television
broadcasters from analog to DTV, which are set forth in Part 73 of the
Commission's rules. None of these rules, however, have addressed EAS
participation.
6. In the NPRM, the Commission sought comment on whether to make
participation compulsory. The Commission asked commenters to address
the possibility that when television stations turn off their analog
signals as part of the DTV transition, they could leave a market devoid
of an EAS participating broadcaster. The Commission also noted that DTV
broadcasters have the ability to multicast, i.e., to transmit more than
one program stream on their assigned channel. The Commission sought
comment on whether DTV broadcasters should be required to transmit EAS
messages on all program streams, or whether they should be permitted to
transmit on only one stream and force tune receivers to that stream.
7. Based on the record before the Commission, the Commission finds
that revising its EAS rules to apply to DTV broadcasters furthers the
public interest by ensuring that the public--regardless of the form of
technology used--receives emergency information. Accordingly, the
Commission will require DTV broadcasters to comply with the
Commission's part 11 rules. DTV broadcasters must participate in all
national EAS activations. Participation in state and local EAS
activations will remain voluntary, but if DTV broadcasters choose to
transmit state and local EAS messages they must comply with the
Commission's part 11 rules governing those messages. Essentially, DTV
providers will now have the same EAS obligations as analog television
broadcasters, including, inter alia, the obligations to install ENDEC
units so that the monitoring and transmitting functions are available
during the times stations are in operation and transmit EAS test
messages. These requirements will be effective on December 31, 2006.
8. In addition, the Commission concludes that when a DTV
broadcaster participates in EAS activations, it must provide the EAS
message to viewers of all program streams that the DTV broadcaster
provides over a particular channel. All DTV viewers should have access
to the potentially life-saving emergency information contained in EAS
messages. The Commission concludes that all viewers should be informed
of critical emergency information regardless of which program stream
they are viewing.
9. Digital Cable. Cable systems, like broadcasters, are required to
carry Presidential EAS messages, and permitted to transmit state and
local EAS messages on a voluntary basis. In 1997, the Commission
extended EAS requirements to wireless cable systems. The Commission's
EAS requirements do not specifically refer to digital cable, which was
not in widespread use in 1994 when EAS was implemented. In the NPRM,
the Commission sought comment on whether it should extend EAS
obligations to digital media, including digital cable television. In
addition, the Commission raised technical questions regarding digital
cable service participation in EAS.
[[Page 71025]]
10. Digital cable offers a number of advantages over analog cable.
For instance, the digital format eliminates unwanted noise and
interference from programming. Further, digital compression allows more
than five times the number of stations to be delivered via the same
bandwidth, on additional channel capacity that allows digital cable
operators to deliver ``near on-demand'' programming by staggering the
start times of programs on different channels. Because of these
advantages, digital cable is increasingly deployed with analog cable in
the marketplace. By 2005, more than 23 percent of TV households
subscribed to digital cable.
11. The Commission specifically extends the EAS obligations set
forth in Part 11 of its rules to digital cable systems. For purposes of
this First Report and Order and Part 11 of the Commission's rules only,
the term ``digital cable systems'' is defined as the portion of a cable
system that delivers channels in digital format to subscribers.
Essentially, digital cable systems will now have the same EAS
obligations as analog cable systems. Specifically, the Commission will
require digital cable systems to participate in national level EAS
activations. Participation in state and local EAS activations will
continue to be voluntary, but digital cable systems that choose to
participate must comply with the part 11 rules.
12. The Commission will permit digital cable systems that are
participating in EAS activations to determine the method they will use
to distribute EAS messages to viewers of digital cable channels as long
as all viewers receive the complete EAS message on the channel that
they are watching. For example, digital cable systems may transmit EAS
messages on all digital channels or transmit EAS messages on a single
channel and force tune all receivers to that channel. Under the rules
adopted in the EAS First Report and Order, digital cable systems with
fewer than 5,000 subscribers must, like analog and wireless cable
systems with fewer than 5,000 subscribers, provide a video interruption
and an audio alert message on all channels and the EAS message on at
least one channel.
13. Digital Audio Broadcasting. Radio stations using in-band, on-
channel (IBOC) digital audio broadcasting (DAB) technology are able to
provide enhanced sound fidelity, improved reception, multiple audio
streams, and new data services to digital-ready radio receivers. This
technology makes use of the existing AM and FM bands (In-Band) by
adding digital carriers to a radio station's analog signal, allowing
broadcasters to transmit digitally on their existing channel
assignments (On-Channel) while simultaneously maintaining their analog
service. Thus, IBOC permits the transmission of both analog and digital
signals within the spectral emission mask of a single AM or FM channel,
placing digital information on frequencies immediately adjacent to the
analog signal. This technology allows new radios to receive both
digital broadcasts and analog broadcasts from stations that have not
yet converted to digital. This system is designed to blend to analog
when digital reception fails. Radio stations will eventually convert to
all-digital modes of operation. DAB does not require use of additional
spectrum and there is no statutory mandate to convert to a digital
format.
14. The Commission revises its part 11 EAS rules to apply to DAB
broadcasters. The Commission will require DAB broadcasters to air all
national EAS messages. Participation in state and local EAS activations
will be voluntary, as it is for analog radio broadcasters. If DAB
broadcasters choose to participate in state and local EAS activations,
they must comply with the Commission's part 11 EAS rules. Essentially,
DAB providers will now have the same EAS obligations as analog radio
broadcasters. The Commission will also require DAB broadcasters to
transmit all EAS messages that they air on all audio streams. Because
DAB broadcasters will face similar burdens of equipment purchase,
installation and training as DTV and digital cable providers, the
Commission will apply the same date of compliance that it applied for
DTV and digital cable. Accordingly, these rules will be effective
December 31, 2006.
15. The Commission agrees with commenters who argue that EAS
requirements should apply to all audio streams because the goal of EAS
as a public warning system is to reach as many people as possible with
lifesaving information and to do otherwise would result in the reduced
effectiveness of EAS as digital radio listenership increases. All
listeners should be informed of critical emergency information
regardless of which audio stream they are listening to. The Commission
sees no reason to exempt subscription-based streams. Further, as the
Commission afforded to DTV broadcasters, the Commission affords DAB
broadcasters more than a year to comply with these rules and grant DAB
broadcasters the flexibility to determine the method they will use to
distribute EAS messages to listeners of all audio streams as long as
all listeners receive the complete and timely EAS message on the stream
that they are listening to.
16. Satellite Digital Audio Radio Service. Governed by part 25 of
the Commission's rules, SDARS provides a wide variety of digital radio
programming on a subscription basis to subscribers throughout the
contiguous United States. Most SDARS programming is created in the
licensees' central headquarters in New York City (Sirius) and
Washington, DC (XM), but SDARS licensees also re-transmit the
programming of third-party content providers. Content is currently
transmitted exclusively on a nationwide basis. SDARS licensees have
recently begun providing metropolitan area traffic and weather updates
on a round-the-clock basis by means of dedicated channels, but all
subscribers receive each of these channels on a nationwide basis.
SDARS, however, is not a broadcast service, and is not currently
required to participate in EAS. In the NPRM, the Commission sought
comment on whether it should adopt rules extending EAS obligations to
other digital networks, such as SDARS.
17. The Commission amends part 11 of its rules to require that all
SDARS licensees participate in EAS. The new rules will require SDARS
licensees to transmit national level EAS messages on all channels. The
Commission will require that SDARS licensees receive national EAS
messages through an encoder/decoder (ENDEC) unit, the same manner as
currently required of broadcasters and cable systems, from which they
must directly monitor at least two sources, including one PEP station,
or must directly monitor FEMA. This should not be difficult to
accomplish as XM currently already monitors EAS alerts from an LP-1
station through an ENDEC unit located at its Washington, D.C.
headquarters. The Commission strongly encourages SDARS licensees to
have the ability to receive EAS alerts from state and local emergency
managers and the ability to disseminate state and local EAS warnings on
local traffic and weather channels that the SDARS licensees provide.
The Commission will require SDARS licensees to inform their customers
of the channels that will and will not be capable of supplying state
and local EAS messages. Finally, the Commission will require SDARS
licensees to test their ability to receive and distribute EAS messages
in the same manner required of other EAS participants in section 11.61
of the Commission's rules and to keep records of all tests. Because
SDARS licensees will face burdens of equipment
[[Page 71026]]
purchase, installation and/or training similar to those of DTV and DAB
broadcasters and digital cable providers, these new rules will also
take effect December 31, 2006.
18. The Commission will allow SDARS licensees that choose to
implement the ability to receive state and local EAS warnings to
develop the methods by which they can receive state and local EAS
messages. In addition, the Commission encourages SDARS licensees that
choose to implement the ability to receive and transmit state and local
EAS warnings to develop additional ways of distributing EAS messages to
the appropriate listeners, regardless of the channel they are listening
to. Finally, the Commission requires SDARS licensees to inform their
customers of the channels that will and will not supply state and local
EAS messages. This information should be provided on the SDARS
licensee's website and also distributed in writing to customers at
least annually.
19. To alert listeners to an emergency announcement that may
interest them, Sirius also suggested exploring the possibility of pre-
empting the text box that normally contains the channel name and
current programming, to announce the state or region and type of alert,
and the channel number transmitting detailed information. The
Commission strongly encourages such developments, and the use of the
SDARS and DAB text box to display entire EAS messages, which the
Commission hopes to see included in any next generation public alert
and warning system.
20. Direct-to-Home Satellite Services. DTH satellite services
include DBS and Home Satellite Dish (HSD) services. Under the
Commission's current part 11 rules, DBS providers and HSD providers are
not required to participate in EAS, but may participate on a voluntary
basis. The Commission has encouraged such participation. For purposes
of this First Report and Order, DBS providers include the entities set
forth in section 25.701(a) of the Commission's rules. Accordingly, DBS
providers include: (1) Entities licensed to operate satellites in the
12.2 to 12.7 GHz DBS frequency bands; (2) entities licensed to operate
satellites in the Ku band fixed satellite service (FSS) and that sell
or lease capacity to a video programming distributor that offers
service directly to consumers providing a sufficient number of channels
so that four percent of the total applicable programming channels
yields a set aside of at least one channel of non commercial
programming pursuant to section 25.701(e) of the Commission's rules, or
(3) non U.S. licensed satellite operators in the Ku band that offer
video programming directly to consumers in the United States pursuant
to an earth station license issued under part 25 of this title and that
offer a sufficient number of channels to consumers so that four percent
of the total applicable programming channels yields a set aside of one
channel of non commercial programming pursuant to section 25.701(e) of
the Commission's rules. This definition ensures that the EAS rules
apply to the vast majority of existing DTH satellite services,
particularly those for which viewers may have expectations as to
available warnings based on experience with broadcast television
services. The use of this definition will make the EAS obligations
applicable to DTH-FSS licensees, including those who provide capacity
to video programming distributors.
21. HSD providers originally supplied satellite television;
however, currently, DBS providers serve most satellite television
consumers. Over the past 5 years, the number of DBS subscribers has
steadily increased from almost 13 million in June 2000 to over 27
million in June 2005. During the same time period, the number of HSD
subscribers has steadily decreased from almost 1.5 million to fewer
than 150,000. DTH satellite service provides multi-channel video
programming and now reaches almost 25% of U.S. households with a
television. DTH satellite providers receive programming from national
programmers, such as HBO, ESPN, and CNN, and from local channels, such
as the broadcast affiliates in a particular area, and then transmit
these programs to customers' receivers. Because of this pass-through
system, a satellite television customer receives EAS messages only if
he receives the local broadcast stations as part of his programming
package, and those stations carry the EAS message.
22. In the NPRM, the Commission sought comment on: (1) Whether it
should adopt rules extending EAS obligations to DBS; (2) whether it
serves the public interest to continue to exempt such satellite
services that reach increasingly larger numbers of Americans from any
requirement to provide public warning; (3) what burdens extending the
EAS obligations would place on such services and whether the benefits
outweigh the burdens; and (4) technical issues involved with requiring
DBS providers to comply with the Commission's EAS rules.
23. In order to ensure that DBS subscribers receive an EAS message
from the President in the event of a national emergency, the Commission
modifies its EAS rules to require DBS providers to participate in
national EAS activations by discontinuing regular programming and
providing the national EAS message to viewers of all channels.
Accordingly, DBS providers will be required to comply with the
Commission's part 11 EAS rules. DBS providers must install equipment
capable of encoding and decoding the EAS protocol and generating and
detecting all EAS codes. DBS providers may install this equipment at
the location most convenient to their system designs. In addition to
ensuring that EAS equipment complies with Commission rules, providers
must also monitor two EAS sources upon receipt of an emergency action
notification and ensure that their EAS monitoring equipment is
operational. Finally, the Commission will require DBS licensees to test
their ability to receive and distribute EAS messages. The Commission
concludes that extending national level EAS requirements to DBS
providers serves the public interest by ensuring that the significant
portion of the American public that are DBS subscribers have access to
this critical emergency information.
24. Although participation in state and local EAS activations
remains voluntary, the Commission will require DBS providers to pass
through all EAS messages aired on local channels to subscribers
receiving those channels. Therefore, subscribers viewing local channels
through DBS services will receive all EAS messages transmitted over
those local channels. Additionally, the Commission concludes that DBS
providers must be capable of receiving (from state and local emergency
managers) and distributing state and local EAS messages or they must
disclose their inability to do on their Web site and in writing to
their customers at least annually. Most emergencies originate at the
state and local level and the current EAS system includes an interface
for state and local emergency managers, providing a way to access the
system and originate and relay EAS messages. The Commission encourages
DBS licensees to design their systems to include this capability and,
specifically, to design their converter boxes to be capable of
receiving the appropriate regional, state and local EAS messages. Any
future Public Alert and Warning System will likely include EAS and may
require DBS licensees to increase participation in regional, state and
local EAS activations.
[[Page 71027]]
25. The Commission acknowledges that there are technical issues
that will need to be resolved in order for DBS licensees to make the
necessary changes to their systems and wishes to give maximum
flexibility to DBS providers. Accordingly, the Commission will permit
DBS providers to determine the method they will use to distribute EAS
messages to viewers, as long as all viewers receive national EAS
messages regardless of the channel that they are watching. Because of
the complexity associated with ensuring that national alert messages
will be transmitted on all channels that do not originate at local
broadcast stations, the Commission is providing DBS providers more time
to comply with these rules. DBS providers will need to modify their
satellite uplink facilities at multiple locations. DBS providers will
also need to develop and implement technologies within each of several
dozen different satellite transponder data streams. Estimates indicate
that such efforts will likely require approximately 18 months to
implement fully. Accordingly, these rules will take effect May 31,
2007. The Commission encourages DBS providers that have the capability
to participate in EAS activations to do so as soon as possible.
26. The Commission will require DBS licensees to test their ability
to receive and distribute EAS messages in a manner similar to that
required of other EAS participants in section 11.61 of its rules and to
keep records of all tests. DBS licensees should monitor a state or
local primary source to participate in testing. Accordingly, the
Commission will require that DBS providers conduct EAS tests each month
on at least 10 percent of the total channels they provide. For purposes
of this calculation, the total number of channels should not include
those channels that the DBS provider passes through with the embedded
national, state or local EAS message. The channels tested should vary
each month, and over the course of a year all channels should be
tested. DBS providers must log receipt of weekly tests in their
records. Requiring that only 10 percent of channels be tested each
month and that weekly tests must only be logged in records should
reduce the burdens associated with EAS testing for DBS providers. Any
remaining burdens are outweighed by the public interest benefits of
testing which ensures that DBS providers are able to receive and
transmit EAS messages. These testing requirements are no more onerous
to DBS providers than those required of any other EAS participant. Due
to the potential technical difficulties and costs associated with
transmission of weekly tests, in the Further Notice, the Commission
seeks comment regarding weekly test transmission requirements for DBS
providers.
27. Although the Commission encourages participation by HSD
providers, the Commission will not require their participation in EAS
because: (1) There were only approximately 145,000 HSD users in June
2005 and that number continues to decrease; and (2) as HSD users
receive programming directly from programmers, it would be very
burdensome for HSD providers to distribute EAS messages to subscribers.
28. Administrative Matters. The Commission receives numerous
questions about and requests for clarification and corrections of its
EAS rules. The Commission finds that several minor administrative
changes to the EAS rules are in order. Accordingly, the Commission
amends its EAS rules to delete all reference to the ``FCC EAS mailing
list'' which the Commission no longer maintains. EAS information may
now be obtained from the Web site https://www.fcc.gov/eb/eas and from
the general FCC information number 1888-CALL-FCC. Further, the
Commission amends section 11.41 to change ``Operating Handbook'' to
``EAS Operating Handbook.'' In section 11.52(b) of the Commission's
rules, the Commission will change the reference to 11.51(j)(2) to
11.51(m)(2). Section 11.53(c) provides that, prior to commencing
operations, broadcast stations must determine whether the EAS has been
activated by monitoring the assigned EAS sources. In order to clarify
how EAS monitoring assignments are determined, the Commission amends
this section to add the following to the end of section 11.53(c): ``as
specified in their State or Local plan.'' Finally, because section
76.305 no longer exists, the reference to that section in 11.54(b)(13)
is changed to the correct reference: section 76.1711.
29. Conclusion. The Commission expands the reach of EAS, as
currently constituted, to ensure that more Americans are able to
receive national and/or regional public alerts and warnings. Digital
technologies are rapidly becoming the norm for communications
technologies and public alert and warning must keep pace with this
digital revolution. Government and industry are engaged in the early
stages of efforts to develop a fully integrated, state of the art,
digitally-based public alert and warning system for the American
public. Increasingly popular digital technologies must have the ability
to deliver some level of basic national or regional warning now, during
the time that more sophisticated alert and warning systems are being
developed. Further, the Commission amends its EAS rules to ensure that
persons with disabilities have equal access to public warnings.
Final Paperwork Reduction Act Analysis
30. This document contains new information collection requirements.
The Commission, as part of its continuing effort to reduce paperwork
burdens, invites the general public to comment on the information
collection requirements contained in this Report and Report and Order
as required by the Paperwork Reduction Act of 1995, Public Law 104-13.
Public and agency comments are due January 24, 2006.
Final Regulatory Flexibility Analysis
31. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), an Initial Regulatory Flexibility Analysis (IRFA) was
incorporated in the NPRM. The Commission sought written public comment
on the proposals in the NPRM, including comment on the IRFA. The
Commission received no comments specifically directed toward the IRFA.
This Final Regulatory Flexibility Analysis (FRFA) conforms to the RFA.
Need for, and Objectives of, the Rules
32. Today's Order establishes rules that expand the reach of the
Emergency Alert System (EAS), as currently constituted, to cover the
following digital communications technologies that are increasingly
being used by the American public to receive news and entertainment--
digital television and radio, digital cable, and satellite television
and radio. As noted in the Order, one of the most fundamental and
significant statutory mandates of the Commission is the promotion of
safety of life and property through the use of wire and radio
communication. Clearly, some level of EAS participation must be
established for new digital services to ensure that large portions of
the American public are able to receive national and/or regional public
alerts and warnings.
33. This Order is a follow-up to the NPRM that was issued last
year. In the NPRM, the Commission solicited comment on an array of
questions and potential rule changes to contribute to an efficient and
technologically current public alert and warning system. The NPRM also
solicited comments and participation of state and local
[[Page 71028]]
emergency planning organizations and all telecommunications industries
to develop a more effective EAS. The EAS First Report and Order takes
initial steps to resolve the issues raised in the NPRM.
Summary of Significant Issues Raised by Public Comments in Response to
the IRFA
34. There were no comments filed that specifically addressed the
IRFA. Nonetheless, the agency considered the potential impact of the
rules discussed in the IRFA on small entities and reduced the
compliance burden for all small entities (as discussed in Appendix A of
the NPRM) in order to reduce the economic impact of the rules enacted
herein on such entities.
Description and Estimate of the Number of Small Entities to Which Rules
Will Apply
35. The RFA directs agencies to provide a description of, and,
where feasible, an estimate of, the number of small entities that may
be affected by the rules adopted herein. The RFA generally defines the
term ``small entity'' as having the same meaning as the terms ``small
business,'' ``small organization,'' and ``small governmental
jurisdiction.'' In addition, the term ``small business'' has the same
meaning as the term ``small business concern'' under the Small Business
Act. A ``small business concern'' is one which: (1) 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).
36. A small organization is generally ``any not-for-profit
enterprise which is independently owned and operated and is not
dominant in its field.'' Nationwide, as of 2002, there were
approximately 1.6 million small organizations. The term ``small
governmental jurisdiction'' is defined as ``governments of cities,
towns, townships, villages, school districts, or special districts,
with a population of less than fifty thousand.'' As of 1997, there were
approximately 87,453 governmental jurisdictions in the United States.
This number includes 39,044 county governments, municipalities, and
townships, of which 37,546 (approximately 96.2%) have populations of
fewer than 50,000, and of which 1,498 have populations of 50,000 or
more. Thus, the Commission estimates the number of small governmental
jurisdictions overall to be 84,098 or fewer. Nationwide, there are a
total of approximately 22.4 million small businesses, according to SBA
data.
37. Television Broadcasting. The SBA has developed a small business
sized standard for television broadcasting, which consists of all such
firms having $12 million or less in annual receipts. Business concerns
included in this industry are those primarily engaged in broadcasting
images together with sound. According to Commission staff review of BIA
Publications, Inc. Master Access Television Analyzer Database, as of
May 16, 2003, about 814 of the 1,220 commercial television stations in
the United States had revenues of $12 million or less. The Commission
notes, however, that, in assessing whether a business concern qualifies
as small under the above definition, business (control) affiliations
must be included. The Commission's estimates, therefore, likely
overstate the number of small entities that might be affected by its
action, because the revenue figure on which it is based does not
include or aggregate revenues from affiliated companies. There are also
2,127 low power television stations (LPTV). Given the nature of this
service, the Commission will presume that all LPTV licensees qualify as
small entities under the SBA size standard.
38. Radio Stations. The revised rules and policies potentially will
apply to all AM and commercial FM radio broadcasting licensees and
potential licensees. The SBA defines a radio broadcasting station that
has $6 million or less in annual receipts as a small business. A radio
broadcasting station is an establishment primarily engaged in
broadcasting aural programs by radio to the public. Included in this
industry are commercial, religious, educational, and other radio
stations. Radio broadcasting stations which primarily are engaged in
radio broadcasting and which produce radio program materials are
similarly included. However, radio stations that are separate
establishments and are primarily engaged in producing radio program
material are classified under another NAICS number. According to
Commission staff review of BIA Publications, Inc. Master Access Radio
Analyzer Database on March 31, 2005, about 10,840 (95%) of 11,410
commercial radio stations have revenue of $6 million or less. The
Commission notes, however, that many radio stations are affiliated with
much larger corporations having much higher revenue. The Commission's
estimate, therefore, likely overstates the number of small entities
that might be affected by this action.
39. Cable and Other Program Distribution. The SBA has developed a
small business size standard for cable and other program distribution,
which consists of all such firms having $12.5 million or less in annual
receipts. According to Census Bureau data for 1997, in this category
there was a total of 1,311 firms that operated for the entire year. Of
this total, 1,180 firms had annual receipts of under $10 million, and
an additional 52 firms had receipts of $10 million to $24,999,999.
Thus, under this size standard, the majority of firms can be considered
small. In addition, limited preliminary census data for 2002 indicate
that the total number of cable and other program distribution companies
increased approximately 46 percent from 1997 to 2002.
40. Cable System Operators (Rate Regulation Standard). The
Commission has developed its own small business size standard for cable
system operators, for purposes of rate regulation. Under the
Commission's rules, a ``small cable company'' is one serving fewer than
400,000 subscribers nationwide. The Commission has estimated that there
were 1,439 cable operators who qualified as small cable system
operators at the end of 1995. Since then, some of those companies may
have grown to serve over 400,000 subscribers, and others may have been
involved in transactions that caused them to be combined with other
cable operators. Consequently, the Commission estimates that there are
now fewer than 1,439 small entity cable system operators that may be
affected by the rules and policies proposed herein.
41. Cable System Operators (Telecom Act Standard). The
Communications Act of 1934, as amended, also contains a size standard
for small cable system operators, which is ``a cable operator that,
directly or through an affiliate, serves in the aggregate fewer than 1
percent of all subscribers in the United States and is not affiliated
with any entity or entities whose gross annual revenues in the
aggregate exceed $250,000,000.'' The Commission has determined that
there are 67,700,000 subscribers in the United States. Therefore, an
operator serving fewer than 677,000 subscribers shall be deemed a small
operator, if its annual revenues, when combined with the total annual
revenues of all its affiliates, do not exceed $250 million in the
aggregate. Based on available data, the Commission estimates that the
number of cable operators serving 677,000 subscribers or fewer, totals
1,450. The Commission neither requests nor collects information on
whether cable system operators are affiliated with entities whose gross
annual revenues
[[Page 71029]]
exceed $250 million, and therefore are unable, at this time, to
estimate more accurately the number of cable system operators that
would qualify as small cable operators under the size standard
contained in the Communications Act of 1934.
42. Multipoint Distribution Systems. The established rules apply to
Multipoint Distribution Systems (MDS) operated as part of a wireless
cable system. 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. This definition of
small entity in the context of MDS auctions has been approved by the
SBA. The Commission completed its MDS auction in March 1996 for
authorizations in 493 basic trading areas. Of 67 winning bidders, 61
qualified as small entities. At this time, the Commission estimates
that of the 61 small business MDS auction winners, 48 remain small
business licensees.
43. MDS also includes licensees of stations authorized prior to the
auction. As noted above, the SBA has developed a definition of small
entities for pay television services, cable and other subscription
programming, which includes all such companies generating $12.5 million
or less in annual receipts. 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, the Commission estimates that there are at
least 440 (392 pre-auction plus 48 auction licensees) small MDS
providers as defined by the SBA and the Commission's auction rules
which may be affected by the rules adopted herein. In addition, limited
preliminary census data for 2002 indicate that the total number of
cable and other program distribution companies increased approximately
46 percent from 1997 to 2002.
44. Instructional Television Fixed Service. The established rules
would also apply to Instructional Television Fixed Service facilities
operated as part of a wireless cable system. The SBA definition of
small entities for pay television services also appears to apply to
ITFS. 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. However, the
Commission does not collect annual revenue data for ITFS licensees and
is not able to ascertain how many of the 100 non-educational licensees
would be categorized as small under the SBA definition. Thus, the
Commission tentatively concludes that at least 1,932 are small
businesses and may be affected by the established rules.
45. Satellite Telecommunications and Other Telecommunications. The
Commission has not developed a small business size standard
specifically for providers of satellite service. The appropriate size
standards under SBA rules are for the two broad categories of Satellite
Telecommunications and Other Telecommunications. Under both categories,
such a business is small if it has $12.5 or less in average annual
receipts. For the first category of Satellite Telecommunications,
Census Bureau data for 1997 show that there were a total of 324 firms
that operated for the entire year. Of this total, 273 firms had annual
receipts of under $10 million, and an additional twenty-four firms had
receipts of $10 million to $24,999,999. Thus, the majority of Satellite
Telecommunications firms can be considered small.
46. The second category--Other Telecommunications--includes
``establishments primarily engaged in * * * providing satellite
terminal stations and associated facilities operationally connected
with one or more terrestrial communications systems and capable of
transmitting telecommunications to or receiving telecommunications from
satellite systems.'' Of this total, 424 firms had annual receipts of $5
million to $9,999,999 and an additional 6 firms had annual receipts of
$10 million to $24,999,990. Thus, under this second size standard, the
majority of firms can be considered small.
Description of Projected Reporting, Recordkeeping, and Other Compliance
Requirements
47. In the Order, the Commission takes steps to advance its public
safety mission by adopting rules that expand the reach of EAS, as
currently constituted, to cover the following digital communications
technologies: digital television and radio, digital cable, and
satellite television and radio.
48. As indicated above, the Commission has revised its EAS rules to
make them apply to DTV broadcasters. The Order requires that DTV
broadcasters comply with the Commission's part 11 rules. Thus, DTV
broadcasters must participate in all national EAS activations.
Participation in state and local EAS activations will remain voluntary,
but if DTV broadcasters choose to transmit state and local EAS messages
they must comply with the Commission's part 11 rules governing those
messages. Essentially, DTV providers will now have the same EAS
obligations as analog television broadcasters. In addition, the Order
requires that, when DTV broadcasters participate in EAS activations,
they must provide the EAS message to viewers of all program streams.
49. The Commission has revised its EAS rules to require digital
cable systems to participate in national level EAS activations. Digital
cable systems will now have the same EAS obligations as analog cable
systems. Participation in state and local EAS activations will continue
to be voluntary, but digital cable systems that choose to participate
must comply with the part 11 rules. The Order requires that digital
cable systems with fewer than 5,000 subscribers must, like analog and
wireless cable systems with fewer than 5,000 subscribers, provide a
video interruption and an audio alert message on all channels and the
EAS message on at least one channel.
50. The Commission also has revised its EAS rules to make them
apply to digital audio broadcasting (DAB) providers. The Order requires
digital audio broadcasters to air all national EAS messages.
Participation in state and local EAS activations will be voluntary, as
it is for analog radio broadcasters. If DAB providers choose to
participate in state and local EAS activations, they must comply with
part 11 of the Commission's rules. DAB providers will now have the same
EAS obligations as analog radio broadcasters. The Order also requires
DAB providers to transmit all EAS messages that they air on all audio
streams.
51. The Commission has revised its EAS rules to require that all
Satellite Digital Audio Radio Service (SDARS) licensees participate in
EAS in its current form. The Order requires SDARS licensees to transmit
national level EAS messages on all channels.
52. The Commission also strongly encourages SDARS licensees to have
the ability to receive EAS alerts from state and local emergency
managers and the ability to disseminate state and local EAS warnings on
any local traffic and weather channels that the SDARS licensees
provide. The Commission has required SDARS licensees to inform their
customers of the channels that will and will not supply state and local
EAS messages. This information should be provided on the SDARS
licensee's Web site and should also be distributed in writing to
customers at least annually.
[[Page 71030]]
53. In addition, in order to ensure that DBS satellite subscribers
receive an EAS message from the President in the event of a national
emergency, the Commission has revised its EAS rules to require that DBS
satellite service providers participate in national EAS activations.
For purposes of this Order, DBS providers include the entities set
forth in section 25.701 of the Commission's rules. The Order permits
DBS satellite service providers to determine the method they will use
to distribute EAS messages to viewers, as long as all viewers receive
the national EAS message on the channel they are watching. The
Commission notes that SBCA commented that DBS operators need additional
development time to participate in national EAS activations. SBCA
focuses on the technical and operational difficulties involved in
investing in new hardware and software, but has provided no cost
estimate. However, DIRECTV commented that it was prepared to commit the
assets to develop the systems and procedure necessary to deliver
National EAS messages. The Commission has determined that the public
safety benefit that would result from imposing a timely public alert
and warning obligation on DBS providers far outweighs the burdens to
such providers from implementing these new requirements.
54. Although participation in state and local EAS activations
remains voluntary, the Commission has required DBS providers to pass
through all EAS messages aired on local channels to subscribers
receiving those channels so that subscribers viewing local channels
through DBS services will receive all EAS messages transmitted over
those local channels. The Commission has also required DBS providers to
be capable of receiving (from state and local emergency managers) and
distributing state and local EAS messages or they must disclose their
inability to do on their website and in writing to their customers at
least annually.
Steps Taken To Minimize the Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
55. The RFA requires an agency to describe any significant
alternatives that it has considered in developing its approach, which
may include the following four alternatives (among others): ``(1) The
establishment of differing compliance or reporting requirements or
timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance and reporting requirements under the rule for such small
entities; (3) the use of performance rather than design standards; and
(4) an exemption from coverage of the rule, or any part thereof, for
such small entities.''
56. The NPRM invited Comments on a number of alternatives to the
imposition of EAS obligations on the digital communications
technologies discussed in this Order that are increasingly being used
by the American public. For example, the NPRM specifically sought
comment on the technical alternatives to providing EAS messages. In
particular, the NPRM sought comment on whether the EAS system could be
made more efficient. Should it be phased out in favor of a new model?
If so, what would the new model look like? If a new model were to be
adopted, what legal and practical barriers would have to be overcome to
ensure its implementation and effectiveness? What technologies should
serve as the basis for such a model? Alternatively, should EAS
requirements be extended to other services such as cellular telephones?
57. The Commission has considered each of the alternatives
described above, and in the EAS First Report and Order imposes minimal
regulation on small entities to the extent consistent with the
Commission's goal of advancing its public safety mission by adopting
rules that expand the reach of EAS. The affected service providers have
generally expressed their willingness to cooperate in a national
warning system, and the Commission anticipates that this addition of
new providers to EAS can be accomplished swiftly and smoothly. The
Commission believes that the benefits of requiring DTV, DAB, digital
cable, satellite DTH and SDARS providers to participate in the current
EAS far outweigh any burdens associated with implementing these
requirements. EAS represents a significant and valuable investment that
is able to provide effective alert and warning during the time that
new, digitally-based public alert and warning systems are being
developed. The Commission agrees with those commenters who argue that
EAS should remain an important component of any future alert and
warning system. Further, in most cases, the digital platforms affected
by this Order either have in place the ability to distribute EAS
warnings, or can do so in a reasonable amount of time and with minimal
cost. As indicated above, the Commission will continue, along with
other agencies and industry, to explore ways in which emergency
information might be made available in an efficient, effective, and
technologically current fashion.
Report to Congress
58. The Commission will send a copy of the Order, including this
FRFA, in a report to be sent to Congress and the Government
Accountability Office pursuant to the Congressional Review Act. In
addition, the Commission will send a copy of the Order, including this
FRFA, to the Chief Counsel for Advocacy of the SBA. A copy of the Order
and FRFA (or summaries thereof) will also be published in the Federal
Register.
Report and Ordering Clauses
59. Accordingly, it is ordered that pursuant to sections 1, 4(i),
4(o), 303(r), 403, 624(g) and 706 of the Communications Act of 1934, as
amended, 47 U.S.C. 151, 154(i) and (o), 303(r), 403, 554(g) and 606,
the First Report and Order in EB Docket No. 04-296 is adopted, and that
part 11 of the Commission's rules, 47 CFR part 11, is revised as set
forth in the rule changes. The rules set forth in the First Report and
Order shall become effective for digital television broadcasters,
digital audio broadcasters, digital cable systems and SDARS licensees
on December 31, 2006, and for DBS providers on May 31, 2007, except
Sec. Sec. 11.15, 11.21, 11.35, 11.51, 11.52, 11.55 and 11.61 which
contains information that has not been approved by OMB. The Commission
will publish a document in the Federal Register announcing the
effective dates of these sections.
60. It is further ordered that the Commission's Consumer and
Governmental Affairs Bureau, Reference Information Center, SHALL SEND a
copy of this First Report and Order, including the Final Regulatory
Flexibility Analysis, to the Chief Counsel for Advocacy of the Small
Business Administration.
List of Subjects in 47 CFR Part 11
Radio, Television.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Final Rules
0
For the reasons discussed in the preamble, the Federal Communications
Commission amends 47 CFR part 11 as follows:
PART 11--EMERGENCY ALERT SYSTEM (EAS)
0
1. The authority citation for part 11 continues to read as follows:
[[Page 71031]]
Authority: 47 U.S.C. 151, 154 (i) and (o), 303(r), 544(g) and
606.
0
2. Revise Sec. 11.1 to read as follows:
Sec. 11.1 Purpose.
This part contains rules and regulations providing for an Emergency
Alert System (EAS). The EAS provides the President with the capability
to provide immediate communications and information to the general
public at the National, State and Local Area levels during periods of
national emergency. The rules in this part describe the required
technical standards and operational procedures of the EAS for analog
AM, FM, and TV broadcast stations, digital broadcast stations, analog
cable systems, digital cable systems, wireless cable systems, Direct
Broadcast Satellite (DBS) services, Satellite Digital Audio Radio
Service (SDARS), and other participating entities. The EAS may be used
to provide the heads of State and local government, or their designated
representatives, with a means of emergency communication with the
public in their State or Local Area.
0
3. Amend Sec. 11.11 by revising paragraphs (a), (b) and (e) to read as
follows:
Sec. 11.11 The Emergency Alert System (EAS).
(a) The EAS is composed of analog radio broadcast stations
including AM, FM, and Low-power FM (LPFM) stations; digital audio
broadcasting (DAB) stations, including digital AM, FM, and Low-power FM
stations; analog television broadcast stations including 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;
wireless cable systems which may consist of Broadband Radio Service
(BRS), or Educational Broadband Service (EBS) stations; DBS services,
as defined in 47 CFR 25.701(a) (including certain Ku-band Fixed-
Satellite Service Direct to Home providers); SDARS, as defined in 47
CFR 25.201; participating broadcast networks, cable networks and
program suppliers; and other entities and industries operating on an
organized basis during emergencies at the National, State and local
levels. These entities are referred to collectively as EAS Participants
in this part, and are subject to this part, except as otherwise
provided herein. These rules in this part are effective on December 31,
2006 for DTV, DAB, digital cable and SDARS providers, and on May 31,
2007 for DBS providers. At a minimum EAS Participants must use a common
EAS protocol, as defined in Sec. 11.31, to send and receive emergency
alerts in accordance with the effective dates listed above in this
paragraph and in the following tables:
Analog and Digital Broadcast Stations
--------------------------------------------------------------------------------------------------------------------------------------------------------
FM Class D Class A TV
EAS equipment requirement AM & FM Digital TV AM & FM DTV \1\ LPTV \2\ LPFM \3\ \4\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Two-tone encoder \5\ \6\..... Y Y 12/31/06 Y Y 12/31/06 N N N .............
EAS decoder.................. Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 1/1/97 Y Y
EAS encoder.................. Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 N N N .............
Audio message................ Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 1/1/97 Y Y
Video message................ N/A N/A Y 1/1/97 Y 12/31/06 N/A Y 1/1/97 N/A .............
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Effective December 31, 2006, digital FM Class D stations have the same requirements.
\2\ LPTV stations that operate as television broadcast translator stations are exempt from the requirement to have EAS equipment. Effective December 31,
2006, digital LPTV stations have the same requirements.
\3\ LPFM stations must install a decoder within one year after the FCC publishes in the Federal Register a public notice indicating that at least one
decoder has been certified by the FCC. Effective December 31, 2006, digital LPFM stations have the same requirements.
\4\ Effective December 31, 2006, digital Class A TV stations have the same requirements.
\5\ Effective July 1, 1995, the two-tone signal must be 8-25 seconds.
\6\ Effective January 1, 1998, the two-tone signal may only be used to provide audio alerts to audiences before EAS emergency messages and the required
monthly tests.
Analog Cable Systems
[A. Analog cable systems serving fewer than 5,000 subscribers from a headend must either provide the National
level EAS message on all programmed channels--including the required testing--by October 1, 2002, or comply with
the following EAS requirements. All other analog cable systems must comply with B.]
----------------------------------------------------------------------------------------------------------------
System size and effective dates
-----------------------------------------------------------------------------------------------------------------
>=5,000 but <10,000
B. EAS equipment requirement >=10,000 subscribers subscribers <5,000 subscribers
----------------------------------------------------------------------------------------------------------------
Two-tone signal from storage device... Y 12/31/98 Y 10/1/02 Y 10/1/02
EAS decoder \3\....................... Y 12/31/98 Y 10/1/02 Y 10/1/02
EAS encoder \2\....................... Y 12/31/98 Y 10/1/02 Y 10/1/02
Audio and Video EAS Message on all Y 12/31/98 Y 10/1/02 N
channels.
Video interrupt and audio alert N N Y 10/1/02
message on all channels,\3\ Audio and
Video EAS message on at least one
channel.
----------------------------------------------------------------------------------------------------------------
\1\ Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and
required monthly test. The two-tone signal must be 8-25 seconds in duration.
\2\ Analog cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they
install an FCC-certified decoder.
\3\ The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS
emergency message. The audio alert must give the channel where the EAS messages are carried and be repeated
for the duration of the EAS message.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games.
[[Page 71032]]
Wireless Cable Systems (BRS/EBS STATIONS)
[A. Wireless cable systems serving fewer than 5,000 subscribers from a
single transmission site must either provide the National level EAS
message on all programmed channels including the required testing by
October 1, 2002, or comply with the following EAS requirements. All
other wireless cable systems must comply with B.]
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