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Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter of )
)
Amendment of Part 11 of the Commission's Rules ) EB Docket
No. 01-66
Regarding the Emergency Alert System ) RM-9156
) RM-9215
REPORT AND ORDER
Adopted: February 22, 2002 Released: February 26, 2002
By the Commission:
TABLE OF CONTENTS
Paragraph
I. INTRODUCTION 1
II. BACKGROUND 3
III. DISCUSSION 5
A.EAS Codes 5
1. Event Codes 7
a.Naming Convention 7
b.New Event Codes 11
c.Cancellation Codes 31
2. Location Codes 34
a.Marine Area Location Codes 35
b.Entire Country Location Code 37
c.Customized Location Codes 40
3. Originator Codes 42
B.EAS Equipment 44
1. Selective Displaying and Logging of EAS Messages 44
2. Equipment Authorization Requirements 46
C.EAS Testing 48
D.Modulation Level of EAS Codes 51
E.Protocol for Text Transmission 54
F.Carriage of Audio of Presidential Messages from Non-EAS
Sources57
G.Use of Common EAS Equipment by ``Key'' Broadcast Stations
and Cable Systems 60
H.EAN Network 62
I.International High Frequency Stations 64
J.Waiver Requests 66
K.Other Matters 76
IV. CONCLUSION 83
V. PROCEDURAL MATTERS 84
VI. ORDERING CLAUSES 86
I. INTRODUCTION
1. In this Report and Order, we amend Part 11 of the
Commission's Rules (``Rules'') to revise the technical and
operational requirements for the Emergency Alert System
(``EAS'').1 Specifically, we amend the Part 11 rules to (1)
add new state and local event codes, including a Child
Abduction Event Code, and new location codes; (2) permit
broadcast stations and cable systems to program their EAS
equipment to selectively display and log state and local EAS
messages; (3) increase the time for retransmitting Required
Monthly Tests (``RMTs'') from 15 to 60 minutes of receipt of
the RMT message; (4) revise the minimum required modulation
level of EAS codes; (5) permit broadcast stations to air the
audio of a presidential EAS message from a higher quality,
non-EAS source; (6) eliminate references to the now-defunct
Emergency Action Notification (``EAN'') network; (7)
eliminate the requirements that international High Frequency
(``HF'') broadcast stations purchase and install EAS
equipment and cease broadcasting immediately upon receipt of
a national-level EAS message; (8) exempt satellite/repeater
broadcast stations which rebroadcast 100% of the programming
of their hub station from the requirement to install EAS
equipment; (9) authorize cable systems serving fewer than
5,000 subscribers to meet the October 1, 2002 deadline by
installing certified EAS decoders, to the extent that such
decoders may become available, rather than both encoders and
decoders; and (10) provide that low power FM stations need
not install EAS decoders until one year after any such
decoders are certified by the Commission.
2. The rule changes we are adopting in this Report and
Order are primarily intended to enhance the capabilities and
performance of the EAS during state and local emergencies.
Recent events in this country have highlighted the
importance of maintaining an alert system which affords
national as well as state and local authorities the
capability to provide emergency communications and
information to the American public immediately via broadcast
stations and cable systems. Nevertheless, we recognize that
participation in EAS at the state and local levels remains
voluntary and we do not wish to impose additional costs or
burdens on broadcast stations and cable systems that may
have the unintended effect of discouraging voluntary
participation in state and local EAS activities. Therefore,
we will not require broadcast stations and cable systems to
upgrade their existing EAS equipment to add the new state
and local event codes and location codes that we are
adopting in this proceeding. Rather, we will permit
broadcast stations and cable systems to upgrade their
existing EAS equipment to add the new event and location
codes on a voluntary basis until the equipment is replaced.
All existing and new models of EAS equipment manufactured
after August 1, 2003 will be required to be capable of
receiving and transmitting the new codes. We believe that
this approach strikes an appropriate balance between
promoting public safety by permitting enhancements to state
and local EAS and ensuring that any such enhancements do not
result in reduced voluntary participation in state and local
EAS activities.
II. BACKGROUND
3. In 1994, the Commission adopted rules establishing the
EAS as a replacement for the Emergency Broadcast System
(``EBS'') and requiring cable systems as well as broadcast
stations to participate in EAS.2 The Commission extended
the EAS requirements to wireless cable systems in 1997.3
Participation in national EAS alerts is mandatory for
broadcast stations, cable systems and wireless cable
systems.4 These entities participate in state and local
area EAS plans on a voluntary basis. Broadcast stations were
required to install the new EAS equipment by January 1,
1997. Cable systems with 10,000 or more subscribers were
required to install new EAS equipment by December 31, 1998.
Cable systems with fewer than 10,000 subscribers and
wireless cable systems5 are required to install EAS
equipment by October 1, 2002.
4. On March 20, 2001, the Commission issued a Notice of
Proposed Rulemaking (``NPRM'')6 to seek comment on various
revisions to technical and operational EAS requirements
requested in petitions for rulemaking filed by the National
Oceanic and Atmospheric Administration (``NOAA'') National
Weather Service (``NWS'')7 and the Society of Broadcast
Engineers (``SBE'').8 The NPRM also proposed to revise the
EAS rules to eliminate obsolete references to the EAN
network and its participants and to delete the requirement
that international HF broadcast stations purchase and
install EAS equipment. Thirty-four parties filed comments
on the NPRM.9
III. DISCUSSION
A. EAS Codes
5. The EAS equipment used by broadcast stations and cable
systems sends and receives messages using a precise format
called the EAS protocol. Each EAS message has four parts:
digital header codes, a two-tone attention signal, an audio
and/or video message, and an End of Message code. The
header codes define the nature of the event or emergency
(event code), the location of the emergency (location code),
the party that originated the emergency message (originator
code), and the valid time period of the message. The two-
tone attention signal, which must be transmitted for a
minimum of eight seconds, provides an audio alert to
audiences that emergency information is about to be sent.
The EAS protocol is virtually identical to the NOAA Weather
Radio (``NWR'') Specific Area Message Encoding (``SAME'')
technique, which NWS uses to transmit messages over NWR
transmitters around the country.
6. The NPRM sought comment on numerous revisions to the
EAS codes requested by NWS and SBE, including the adoption
of a naming convention for event codes, new event and
location codes, and a revision of NWS's originator code.
1. Event Codes
a. Naming Convention
7. In the NPRM, we invited comment on NWS's request that
the Commission adopt a naming convention for state and local
event codes.10 Under the naming convention suggested by
NWS, the third letter of all hazardous state and local event
codes would be limited to one of four letters: ``W'' for
warnings, ``A'' for watches, ``E'' for emergencies, and
``S'' for statements.11 NWS asserted that the naming
convention would make possible a wider range of consumer
products without lessening the current capabilities of the
EAS or NWR-SAME. We noted in the NPRM that adoption of the
naming convention would require revision of the existing
event codes for Tornado Warning (TOR), Severe Thunderstorm
Warning (SVR) and Evacuation Immediate (EVI) to TOW, SVW and
IEW, respectively. We expressed concern that adding the
revised codes and deleting the existing codes for these
three important events would require any broadcast station
or cable system that wishes to participate in state and
local EAS alerts to modify or upgrade its EAS equipment to
handle the revised codes. Therefore, we sought comment on
ways to ease the transition in the event that we adopted the
naming convention, such as requiring NWS to transmit both
the revised codes and the existing codes for these three
events during a transition period. We also requested
specific information on any costs that broadcast stations
and cable systems participating voluntarily in state and
local EAS alerts may incur if the naming convention is
adopted and the impact the revised codes would have on
existing EAS equipment that is not modified or upgraded.
8. Based on our review of the comments, we conclude that
the best approach is to use the naming convention suggested
by NWS on a going-forward basis for the new event codes that
we adopt in this proceeding and any new event codes we may
adopt in the future, but not to revise any existing event
codes. NWS asserts that adoption of the naming convention
will ensure that the NWR-SAME and EAS systems are downward
compatible with consumer products using these code
systems.12 NWS explains that although it is not possible to
integrate new three-character event codes into the hundreds
of thousands of existing consumer products or the millions
of such products anticipated in coming years, adoption of
the naming convention would allow an algorithm in consumer
devices to check the third character of any event code not
integrated in the device for a W, A, E, or S and generate a
generic notification with the intended alert level. Thus,
for example, if the third letter in an event code is ``W,''
the consumer device would recognize the event as a warning
and alert, even if the device does not recognize the first
two letters of the event code.13 We agree that it is
logical to apply the naming convention prospectively to new
event codes because it will enable existing and future
consumer products to alert upon receipt of a new event code
even if the product does not recognize the particular code.
9. However, we believe that any benefits that may result
from revising any existing codes to conform with the naming
convention are outweighed by the costs. As several
commenters point out, it does not appear that it is
necessary to revise the existing codes.14 NWS does not
offer any specific reason or justification for revising the
existing codes. Rather, NWS simply states that ``[w]hile it
may appear that not revising these event codes would have no
adverse consequences, it is not unreasonable to conclude
that inaction now may result in reduced future applications,
complications, and significant costs for changes.''15 We
are not persuaded that some possible, undefined future
consequences justify the costs that would be incurred by
broadcast stations and cable systems if we revised the
existing codes to accommodate the naming convention. In
this regard, we share concerns voiced by some commenters
that revising the existing codes would require any broadcast
station or cable system that wishes to participate in state
and local EAS alerts to upgrade its EAS equipment to handle
the revised codes.16 Two EAS equipment manufacturers
indicate that the revised codes could be accomplished
through software and/or firmware upgrades to existing
equipment,17 while the National Cable & Telecommunications
Association (``NCTA'') states that the manufacturers it has
contacted have suggested that hardware and/or software
upgrades will be required to the equipment in each and every
location with equipment.18 Estimates of the cost of such
upgrades provided by the equipment manufacturers range from
$100 to $300 plus shipping and handling.19 NCTA estimates
that for the cable industry the cost to upgrade equipment
would be $200 to $500 plus labor and the administrative
costs of installing the upgrades for some companies in as
many as 2,500 headends and nodes.20 Commenters express
concern that some broadcast stations and cable systems,
particularly smaller entities, may forego equipment upgrades
necessary to incorporate the revised codes because of these
costs.21 As we discuss in more detail below, we do not wish
to impose additional costs and burdens on EAS participants
that may result in reduced voluntary participation in state
and local EAS activities. We are also very concerned that
revision of the existing codes may cause the public to miss
emergency warnings for these important events if some
broadcast stations and cable systems choose not to upgrade
their EAS equipment.
10. Moreover, NWS disputes our suggestion in the NPRM that
it has the capability to transmit both existing and revised
codes for Tornado Warning, Severe Thunderstorm Warning and
Evacuation Immediate events during a transition period,
asserting that NWR-SAME systems cannot encode two event
codes in the same message header.22 Other commenters also
raise strenuous objections to this suggestion, arguing that
the simultaneous transmission of existing and revised codes
for these important events could lead to confusion and
error.23 Thus, it appears that providing a transition
period during which both existing and revised codes could be
used is not a viable option. Particularly in view of the
cost and safety concerns cited above, we are unwilling to
revise any existing event codes without being able to afford
broadcast stations and cable systems an adequate period of
time to ease the transition.
b. New Event Codes
11. Section 11.31(e) of the Rules lists the authorized
three-letter event codes for national EAS events and tests,
which broadcasters and cable systems are required to receive
and transmit, and for state and local EAS events, which
broadcasters and cable systems voluntarily participating in
state and local area EAS plans may transmit on an optional
basis.24 We sought comment in the NPRM on requests by NWS
and others that we amend Section 11.31(e) to add new state
and local event codes for emergency conditions not included
in the current list and for certain administrative messages
and non-EAS applications.25 We included a listing of the
recommended new event codes in an Appendix to the NPRM.26 We
also sought comment on whether, as an alternative to adding
new state and local event codes and location codes, we
should amend the rules to provide that any modifications to
existing authorized EAS equipment that are necessary to
implement revisions in EAS codes are Class I permissive
changes that do not require a new application for and grant
of equipment certification.27 Under this alternative,
broadcasters and cable systems could satisfy their EAS
obligations with equipment designed to function with either
the existing codes or an expanded range of codes.
Additional state and local event codes and location codes
could be developed directly by state and local officials,
broadcasters and cable operators, equipment manufacturers
and other interested parties. The use of these codes and
the equipment needed to access them would be implemented on
a permissive basis as determined by the specific needs and
interests of the local area participants. We suggested that
this alternative approach would eliminate the need to
conduct rulemakings to revise the state and local event
codes, and would afford equipment manufacturers greater
flexibility in the design and modification of EAS equipment.
12. We will amend Section 11.31(e) of the Rules to add new
state and local event codes. There is widespread support
among the commenters for the addition of new event codes.28
Commenters assert that adding new event codes to Section
11.31(e) will improve and expand the capabilities of EAS and
thereby promote public safety.29 We agree. In addition,
commenters overwhelmingly oppose our alternative suggestion
to leave the development of state and local event codes and
location codes to state and local authorities.30 Commenters
fear that this approach would result in great variations in
EAS equipment throughout the country, which could threaten
the reliability of the EAS system and jeopardize public
safety.31 Commenters are also concerned that equipment
manufacturers may be reluctant to insert new codes into
their equipment unless the codes are specified in the
Commission's rules and that the cost of purchasing
customized equipment might be prohibitive and result in
decreased voluntary participation in EAS.32 We believe that
these are valid concerns and therefore will not adopt our
alternative suggestion to leave the development of event
codes and location codes to state and local authorities.33
13. Although commenters generally support the addition of
new state and local event codes, they differ on how the new
codes should be implemented. Some commenters urge us to
require all broadcast stations and cable systems to upgrade
existing EAS equipment to incorporate the new codes and
commence use of the new codes on a specified future date.34
Other commenters favor voluntary upgrades of existing
equipment.35 We will adopt NCTA's suggestion to permit
broadcast stations and cable systems to upgrade their
existing EAS equipment to add the new event codes on a
voluntary basis until it is replaced.36 Further, we are
cognizant of the effects of these rule changes on equipment
manufacturers and therefore will not require that newly
manufactured equipment be capable of receiving and
transmitting these new event codes until August 1, 2003.
Thus, all existing and new models of EAS equipment
manufactured after August 1, 2003 will be required to be
capable of receiving and transmitting these codes. We
believe that this approach is preferable for several
reasons.
14. First, participation in EAS at the state and local
levels has been voluntary since we first authorized its use
for state and local emergencies in 1976.37 Despite the fact
that participation in state and local EAS is voluntary,
broadcast stations and cable systems have participated
extensively in state and local EAS activities and have
helped to make EAS an invaluable tool for disseminating
information about state and local emergencies to the public.
We fully expect that broadcast stations and cable systems
will continue to be active participants in their state and
local EAS plans and we strongly encourage them to upgrade
their existing equipment and begin using the new codes
without delay. We think, however, that it would be contrary
to the voluntary nature of state and local EAS to mandate
upgrades to existing EAS equipment to incorporate new
optional event codes.
15. In addition, we are concerned that imposing additional
costs and burdens on broadcast stations and cable systems at
this time may have the undesired effect of reducing
voluntary participation in state and local EAS activities.
The commenters confirm that implementation of the new codes
will necessitate software/firmware and, in some cases,
hardware upgrades to existing equipment.38 Two equipment
manufacturers which filed comments estimate that such
upgrades will cost from $100 to $300 plus shipping and
handling.39 While these costs may seem relatively modest,
we recognize that they may present a financial burden to
some broadcast stations, particularly radio stations in
smaller markets.40 Furthermore, it appears that the costs
of upgrades for cable systems may be significantly higher.
In this regard, NCTA estimates, based on discussions with
equipment manufacturers, that the cost for cable systems to
upgrade their equipment would be $200 to $500 plus labor and
the administrative costs of installing the upgrades in each
and every headend.41 NCTA further observes that for cable
systems this additional expense would come only three years
after making substantial expenditures to purchase and
install new EAS equipment.42 Similarly, the National
Association of Broadcasters (``NAB'') points out that it has
only been about five years since broadcast stations made
substantial investments in new EAS equipment.43 Several
commenters predict that the costs and burdens associated
with a requirement to retrofit existing equipment to
implement the new codes would cause some broadcast stations
and cable systems to suspend their voluntary participation
in state and local EAS.44 We are troubled that this could
result in the public missing important emergency warnings.
Moreover, the record before us is incomplete in that only
two EAS equipment manufacturers submitted comments including
specific cost information for their equipment. While we
expect that the costs of upgrading other models of EAS
equipment will be comparable, we are unable to fully assess
the impact that mandatory upgrades of existing equipment
would have on broadcast stations and cable systems without
specific cost information for all types of EAS equipment.
Thus, for these reasons, we think that the public safety
objectives underlying addition of the new codes are best
accomplished by encouraging maximum voluntary participation
in state and local EAS plans, rather than by mandating
upgrades to existing equipment.
16. Although we are not mandating that broadcast stations
and cable systems upgrade their existing EAS equipment to
incorporate the new event codes, we will require broadcast
stations and cable systems which replace their EAS equipment
after February 1, 2004 to install EAS equipment that is
capable of receiving and transmitting the new event codes.
Thus, after February 1, 2004, broadcast stations and cable
systems may not replace their existing EAS equipment with
used equipment or older models of equipment that has not
been upgraded to incorporate the new event codes. This will
ensure that all broadcast stations and cable systems have
the capability to receive and transmit the new event codes
when their EAS equipment is replaced.
17. We recognize that broadcast stations and cable systems
which do not upgrade their existing equipment will be unable
to receive or transmit the new event codes.45 However, we
believe that any minor inconvenience this may cause EAS
participants (e.g., by causing their equipment to log an
``unknown event'') is offset by the benefits to the public
of adding the new event codes. In addition, we are
confident that permitting EAS participants to upgrade
existing equipment on a voluntary basis will not compromise
the functioning of the EAS system. The State Emergency
Communications Committees (``SECCs'') and Local Emergency
Communications Committees (``LECCs'') have played a critical
role in developing state and local EAS operating plans and
ensuring that the public receives timely and useful
information when natural disasters and other emergency
situations arise. We expect that the SECCs and LECCs will
continue to demonstrate their commitment and dedication to
EAS by updating their state and local plans and taking other
steps necessary to ensure the smooth implementation of the
new codes within their states (e.g., by encouraging key
sources which relay EAS messages to obtain the upgrades
promptly).
18. Commenters express differing views on which new event
codes should be added to the list in Section 11.31(e). Some
commenters assert that event codes should only be added to
the extent necessary to address the public's need to be
informed in an emergency and to enhance public safety,46 and
some commenters caution that the total number of event codes
should be modest to avoid threatening the memory and
functioning of EAS equipment.47 Many commenters make
specific recommendations as to which codes should be adopted
and which should be rejected as redundant or unnecessary.48
We will add the following new event codes to the list in
Section 11.31(e):
Nature of Activation Event Code
Avalanche Warning AVW
Avalanche Watch AVA
Child Abduction Emergency CAE
Civil Danger Warning CDW
Coastal Flood Warning CFW
Coastal Flood Watch CFA
Dust Storm Warning DSW
Earthquake Warning EQW
Fire Warning FRW
Hazardous Materials Warning HMW
Law Enforcement Warning LEW
Local Area Emergency LAE
Network Message Notification NMN
911 Telephone Outage Emergency TOE
Nuclear Power Plant Warning NUW
Radiological Hazard Warning RHW
Shelter in Place Warning SPW
Special Marine Warning SMW
Tropical Storm Warning TRW
Tropical Storm Watch TRA
Volcano Warning VOW
As we discuss above, we are using NWS's naming convention
for these new codes. In adopting these new codes, we have
attempted to balance the interest in promoting public safety with
the various concerns articulated by commenters. Following is a
discussion of the event codes which prompted specific comments or
objections.
19. Child Abduction Emergency Code. We included a Missing
Child Statement (MIS) event code in the list of suggested
event codes in the NPRM based on requests to Commission
staff for a specific event code to be used in connection
with local, state and regional AMBER Plans.49 Fourteen
parties filed comments endorsing the addition of a specific
event code to activate AMBER Plans.50 As the National
Center for Missing and Exploited Children (``NCMEC'')
explains, the AMBER51 Plan is a voluntary partnership
between law enforcement agencies and the media to send out
an emergency alert to the public in serious child abduction
cases.52 It was established in 1996 in response to the
abduction and murder of a nine-year old girl in Dallas,
Texas. Under the AMBER Plan, area radio and television
stations interrupt programming to broadcast information
concerning a serious child abduction case using the EAS. To
maintain the integrity of the EAS and prevent its overuse,
AMBER alerts are only used for the most serious child
abduction cases, where police believe the child is in danger
of serious bodily harm or death, not for runaways or most
parental abductions. Currently, there are approximately 26
active AMBER Plans nationwide on the local, state and
regional levels and numerous other AMBER Plans under
development. However, because there is no specific EAS
event code for serious child abductions, AMBER Plans are
presently activated using the Civil Emergency Message event
code. NCMEC states that the use of the Civil Emergency
Message event code for AMBER alerts has caused confusion
among some listeners and viewers, who initially think that
the Civil Emergency Message is being used to alert the
public about a natural disaster.
20. We conclude that the public interest will be served by
adding a specific event code to be used for AMBER alerts.
We believe that the addition of a specific code for this
purpose will promote public safety by providing local law
enforcement authorities and EAS participants with a means to
quickly disseminate information pertaining to serious child
abduction cases. Additionally, we are very concerned that
the current practice of using the Civil Emergency Message
code to activate AMBER alerts may mislead and confuse some
listeners and viewers. However, we agree with commenters
who maintain that the Missing Child Statement code suggested
in the NPRM may misrepresent the purpose of the AMBER Plan
and lead to overuse of the EAS system.53 Accordingly, we
will instead add a Child Abduction Emergency (CAE) event
code. We think that the designation Child Abduction
Emergency is more appropriate because it underscores that
the code is only to be used for the most serious child
abduction cases when a child's life is believed to be in
danger; thus, use of the Child Abduction Emergency code will
protect the integrity and credibility of both the AMBER Plan
and the EAS system. In response to concerns raised by one
commenter,54 we emphasize that participation in local AMBER
Plans will be entirely voluntary under our rules.
21. Nuclear Power Plant Warning Code. The NPRM sought
comment on recommendations to add Nuclear Power Plant Test
Message (NPM) and Nuclear Power Plant Warning (NPW) event
codes.55 Two commenters object that use of these codes could
conflict with internal NWS codes used for ``non-
precipitation warnings.''56 Another commenter asserts that
a separate code for nuclear power plants is redundant and
unnecessary if the Radiological Hazard Warning code is
adopted.57 One commenter submits that separate Radiological
Hazard Warning and Nuclear Power Plant Warning event codes
are appropriate because the risk posed by a nuclear plant is
greater and could impact a much wider geographical area;
this commenter suggests that we add NPP for Nuclear Power
Plant Warning to avoid any conflicts with internal NWS
codes.58
22. We will add a NUW event code for Nuclear Power Plant
Warnings in lieu of the codes suggested in the NPRM. This
code will not conflict with the internal non-precipitation
warning codes used by NWS. Moreover, while a nuclear power
plant emergency could fall under the general category of
radiological hazards, we believe that it is appropriate to
add a separate, more specific code for nuclear power plant
emergencies because they pose a greater risk to the public.
We think that the NUW code is preferable to the NPP code
suggested by one commenter because it conforms with the
naming convention we are adopting in this proceeding.
23. School Closing Statement Code. In the NPRM, we
requested comment on a recommendation to add a School
Closing Statement (SCS) event code.59 Two commenters oppose
adding this code, arguing, among other things, that the
media already does an adequate job of announcing school
closures due to inclement weather and other causes and that
school closings are typically done on a district-by-district
or school-by-school basis so there would have to be separate
alerts for each district and school.60 None of the
commenters expressly support addition of this code. We
concur with the arguments made by commenters and therefore
will not add the School Closing Statement event code.
24. Dam Break Warning Code. We requested comment in the
NPRM on the addition of a Dam Break Warning (DBW) event
code.61 NWS opposes the addition of this code.62 NWS
states that, as part of its legislatively-mandated mission,
it issues Flash Flood Warnings and other messages for dam
break emergencies based on information provided by federal,
state and local land and water management authorities
through agreements with appropriate agencies. NWS contends
that adding another code for the same event would create
operational conflicts and possible public confusion during
emergencies. SBE disagrees with NWS, arguing that the Dam
Break Warning is more than a simple Flash Flood Warning and
would reach parties that would not normally require
notification and call to action for typical flash flood
situations.63 We will not add the Dam Break Warning event
code. We will defer to NWS's view that this code is
unnecessary in light of its expertise as the agency
primarily responsible for issuing alerts for dam break
emergencies.
25. NWS's Internal Use Only Administrative Codes. The NPRM
sought comment on four ``administrative'' event codes which
would be used by NWS to control individual NWR transmitter
systems: Transmitter Primary On (TXP), Transmitter Backup
On (TXB), Transmitter Carrier On (TXO), and Transmitter
Carrier Off (TXF).64 One commenter objects to adding these
codes to the EAS rules because they are for internal NWS
machine command and control functions and thus fall outside
the scope of EAS, which is intended to be used for the
dissemination of call to action and warning messages.65
This commenter also maintains that inclusion of these codes
in the EAS rules would limit NWS's operational flexibility
because further rulemakings would be required before NWS
could implement any additional such codes.
26. We will not add these administrative codes to the list
of event codes in Section 11.31(e). We see no need to amend
the EAS rules to include event codes which are clearly not
intended for transmission over the EAS system. Instead, we
think that a better approach would be to leave it to NWS's
discretion to implement these internal use only
administrative codes over its NWR-SAME system.66 This
approach will afford NWS greater flexibility to make any
necessary changes or additions to its administrative codes
and to implement such codes without having to request a
Commission rulemaking.
27. SKYWARN Code. Two commenters request that we add the
new event code SKY to be used to activate SKYWARN, which is
the NWS's national volunteer severe weather spotting
program.67 According to these commenters, NWS Forecast
Offices (``NWSFOs'') currently activate the SKYWARN
volunteers using telephone trees, pagers and announcements
on NWR. The commenters state that the addition of the
SKYWARN code would enable the NWSFOs to automate the
activation of the SKYWARN volunteers and would also get the
SKYWARN activation message via the EAS to news media, which
would result in the greatest possible dissemination of the
activation message. One commenter asserts that we should
not act on the request for a SKYWARN code at this time,
arguing that recommendations in this area should be made by
NWS.68
28. Although we recognize that the SKYWARN volunteers
provide a valuable service, we will not add the SKYWARN code
to the list of event codes in Section 11.31(e). Notably,
NWS has not endorsed the adoption of this event code. We
agree that recommendations in this area should be made or at
least supported by NWS. In addition, we are concerned that
transmission of this code over the EAS would vastly increase
message traffic on the EAS system. In this regard, we are
worried that overuse of the EAS, particularly for non-
emergency messages, could reduce voluntary participation in
EAS and could also desensitize the audience to the alerting
system.
29. Miscellaneous Watch and Statement Codes. The NPRM
requested comment on a number of new event codes recommended
for ``watch'' events, including Avalanche Watch (AVA), Civil
Danger Watch (CDA), Coastal Flood Watch (CFA), Dust Storm
Watch (DSA), Earthquake Watch (EQA), Hazardous Materials
Watch (HMA), Radiological Hazard Watch (RHA), Tropical Storm
Watch (TSA) and Volcano Watch (VOA). Two commenters oppose
adding many of these watch event codes due to concerns over
the physical limitations of existing EAS equipment, i.e.,
concerns that adding too many codes will threaten the memory
and functioning of the equipment.69 Additionally, they
complain that many of the recommended watch event codes are
not useful and contend that it would be more appropriate to
skip the watch and proceed directly to a warning for these
events.70 For similar reasons, both commenters also
recommend elimination of many of the existing watch and
statement event codes.
30. Although it is unclear from the record what effect, if
any, the addition of the relatively modest number of event
codes recommended in this proceeding would have on existing
EAS equipment,71 we are sensitive to concerns that adding
too many codes could threaten the memory and functioning of
the equipment. Furthermore, we agree with the commenters
that some of the suggested watch event codes may not be
particularly useful. A ``watch'' is defined as an event
which poses a significant threat to public safety and/or
property, but either the onset time or probability of
occurrence or location is uncertain.72 Watches are
typically issued where the conditions are ripe or favorable
for the event to occur, but the event has not yet been
created or confirmed, e.g., a hurricane watch or a tornado
watch. However, for some events, such as Civil Danger, it
may not be particularly useful to issue an EAS alert where
the probability of occurrence or location is still
uncertain. In such cases, it would seem to make more sense
to proceed directly to a warning if and when it is
determined that there is a high probability that the event
will occur. Thus, we do not think that it is necessary to
add a corresponding watch code for every warning code we
add. Therefore, we will not add all of the watch event
codes suggested in the NPRM.73 We will not, however,
eliminate any of the existing watch and statement event
codes. We do not think that it would be prudent to remove
from the EAS rules any codes that are already in use.
c. Cancellation Codes
31. In the NPRM, we sought comment on SBE's suggestion that
we amend the rules to include a cancellation code for each
event code in the current list and for each event code that
will be added to the list.74 SBE maintained that
cancellation codes are needed for situations where a warning
can be cancelled prior to its issued expiration time. We
stated in the NPRM that we were not convinced that the
cancellation codes suggested by SBE are necessary given that
EAS messages already contain a code that specifies the valid
time period of the message. We therefore requested specific
comment on how frequently situations arise where a warning
can be cancelled prior to its issued expiration time.
32. We will not add any cancellation codes at this time.
It is unclear based on the record before us that
cancellation codes are necessary. Only two commenters
addressed the question we raised in the NPRM regarding how
frequently situations arise where a warning can be cancelled
prior to its issued expiration time. NCTA states that the
cable industry's experience is that cancellation
circumstances do not arise with sufficient frequency to
justify addition of cancellation codes.75 The Ohio
Emergency Management Agency (``Ohio EMA'') reports that the
State of Ohio has not experienced a single situation where a
cancellation code was needed.76 Furthermore, SBE indicates
in its comments that it no longer seeks the addition of
cancellation codes for all event codes, but rather only for
specific event codes ``where a clear advantage can be
demonstrated.''77 SBE suggests that cancellation codes
would be appropriate for the Evacuation Immediate, 911
Telephone Outage and Shelter in Place event codes.78 Two
other commenters also support the addition of cancellation
codes for certain specific event codes, such as Civil
Emergency Message, Evacuation Immediate, 911 Telephone
Outage and Shelter in Place.79 However, even for these few
events, the commenters have not explained why they believe
cancellation codes are necessary or demonstrated that there
is a greater likelihood that the warnings for these events
can be cancelled prior to the issued expiration time.
33. As an alternative to adding cancellation codes, one
commenter suggests that EAS alerts could be cancelled by
resending the alert with the valid time period set for zero
(+0000-), which would be decoded to mean that the alert has
been cancelled.80 In its reply comments, SBE acknowledges
that this suggestion may have merit, but maintains that it
can only offer tentative support for this suggestion without
input from manufacturers as to its impact on EAS
equipment.81 We conclude that we cannot evaluate this
suggestion without specific information from manufacturers
as to what effect it might have on existing EAS equipment.
2. Location Codes
34. Location codes are six-digit numerical codes used in
the transmission of EAS messages to indicate what geographic
areas may be affected by an emergency. These codes have
three separate parts. The ``SS'' portion of the location
code is a two-digit number that identifies the state or
territory in which the emergency is located. The ``CCC''
portion of the location code is a three-digit number that
identifies the county or city affected by the emergency.
The ``P'' portion of the location code is optional and
allows the message originator to divide a county into nine
sections to further pinpoint the affected portion of the
county. The ``SS'' and ``CCC'' numbers are unique Federal
Information Processing Standard numbers assigned by the
National Institute of Standards and Technology. The ``SS''
numbers are listed in Section 11.31(f) of the Rules.82 The
``CCC'' numbers are contained in the State EAS Mapbook.
a. Marine Area Location Codes
35. The NPRM sought comment on NWS's request that we add
new location codes to cover marine areas, which are not
presently included in the location codes specified in
Section 11.31(f) of the Rules.83 The marine areas are
immediate offshore areas likely to be affected by extreme
weather conditions and are identified by two-digit numbers
that would comprise the ``SS'' portion of the location code.
We included a listing of the specific marine area location
codes requested by NWS in an Appendix to the NPRM.84
36. We will amend Section 11.31(f) of the Rules to add the
marine area location codes suggested by NWS. Numerous
commenters support adding marine area location codes to the
EAS rules to ensure the public's safety in near shore and
open waters.85 We are persuaded that addition of these
location codes, which will be used with the Special Marine
Warning (SMW) event code we are adopting in this Report and
Order, will enhance public safety. In its comments, SBE
suggests an alternative method of defining the marine areas
in which the marine areas would be listed as ``water
counties'' and assigned to the nearest state or the state
where the responsible NWSFO is located.86 However, we think
that the alternative suggested by SBE would be unworkable
because, as NWS points out in its reply comments,87 NWSFOs
change over time. One commenter questions whether marine
weather alerts transmitted via NWS weather radio would need
to be relayed to commercial broadcast stations and cable
systems for EAS transmission since land areas adjacent to
bodies of water would be covered by land weather alerts.88
In addition, NCTA asserts that the cable industry does not
serve sailing vessels that are not in port and therefore
would have little reason to transmit these codes.89 While
we anticipate that the Special Marine Warnings will
primarily be transmitted over NWR to marine weather radios,
we expect that some EAS participants which serve communities
adjacent to the marine areas may wish to transmit the marine
alerts voluntarily over EAS. However, consistent with the
approach we are adopting for new event codes, we will not
require broadcast stations and cable systems to update their
existing equipment to add the new location codes. Rather,
broadcast stations and cable systems may upgrade their
existing equipment on a voluntary basis until it is
replaced. All existing and new models of EAS equipment
manufactured after August 1, 2003 will be required to be
capable of receiving and transmitting these location codes.
In addition, broadcast stations and cable systems which
replace their EAS equipment after February 1, 2004 must
install EAS equipment that is capable of receiving and
transmitting the new location codes.
b. Entire Country Location Code
37. In the NPRM, we requested comment on whether we should
add an entire country location code to be used by the
Federal Emergency Management Agency (``FEMA'') when issuing
a national level EAS message.90 NWS and SBE sought addition
of an 000000 location code so that multiple alerts are not
needed to activate the entire country when a national level
emergency situation arises. In addition, we requested
comment on NWS's proposal that we require EAS equipment at
broadcast stations and cable systems, when retransmitting
the event code and 000000 location code, to trigger
transmission of all county location codes stored within the
equipment in order to enable activation of consumer products
that activate only upon transmission of the location code
for the county in which they are located. We expressed
concern that the triggering proposal would require costly
modification of existing equipment at broadcast stations and
cable systems but asked whether we should permit this as an
optional feature of EAS equipment. Further, we sought
comment on whether there are a significant number of
consumer devices which rely upon EAS transmissions of
broadcast stations and cable systems rather than NWS weather
transmitters.
38. We will not add an entire country location code to the
EAS rules at this time. While a number of the commenters
support the addition of an entire country location code,91
it is unclear from the record in this proceeding that an
entire country location code is needed. As NAB observes,92
we previously considered this issue and determined, after
consultation with FEMA, that ``alerting the nation on a
regional basis would be much more manageable and reliable
but would retain effective and timely warning
capability.''93 We think that it would be premature to add
an entire country location code without further evidence of
a need for such a code. It is also unclear from the record
whether modifications to existing EAS equipment would be
required to implement an entire country location code and,
if so, what such modifications would cost. The cost of any
such modifications is particularly significant because an
entire country location code would be used for national EAS
alerts, which all broadcast stations and cable systems are
required to transmit. One equipment manufacturer indicates
that addition of an entire country location code would not
require any modification of its existing EAS units.94
Another manufacturer reports that an entire country location
code is not necessary for its EAS equipment because its
equipment reacts to any message with an EAN code, regardless
of the location code embedded in the message.95 However, we
are unable to thoroughly assess the impact that addition of
this code would have on broadcast stations and cable systems
without specific information from manufacturers on all
models of EAS equipment. We may revisit this issue at a
later date if we receive evidence that it would not require
modification of any existing models of EAS equipment.
39. Two commenters also suggest subdividing the country
into nine regions and creating regional location codes.96
However, we note that entities which originate EAS alerts
are already able to include up to 31 state location codes in
EAS messages.97 In this way, a group of several states can
be activated for a regional emergency. We think that this
approach, which can also be used to activate several
regional groups for a national emergency, affords alerting
entities more flexibility to tailor their EAS messages to
particular regions of the country.
c. Customized Location Codes
40. In the NPRM, we invited comment on NWS's suggestion
that we permit the use of any combination of the standard
alphabet and numbers in the ``CCC'' portion of the location
code.98 NWS stated that organizations responsible for the
warning communications associated with special facilities -
such as nuclear power plants, chemical, biological and
nuclear weapons storage facilities, and plants that produce
and store hazardous materials - are now using or evaluating
the use of NWR as their primary radio communications system.
NWS further stated that allowing the geographic code blocks
to include both numbers and letters plus the * symbol would
enable these organizations to create up to 1.4 million
possible location code and message combinations, which could
provide site specific information such as shelter in place
information, evacuation routes and safe areas.
41. We will not amend Part 11 of the Rules to permit the
use of customized location coding in EAS messages. The
majority of commenters which addressed this issue vigorously
oppose the use of customized location coding in EAS
messages.99 Among other things, these commenters argue that
customized location coding is not necessary because the
current EAS protocol for location codes has not been used to
its potential; that compatibility problems could result if
all codes permitted for use in EAS equipment are not
specified in the Part 11 rules; that customized location
codes could cause existing, non-upgraded EAS equipment to
false alert; and that a substantial amount of memory would
be needed to store customized location codes in EAS
equipment. We believe that these concerns are valid and
therefore will not authorize the use of customized location
coding in EAS messages without assurances that it will not
compromise the EAS system.
3. Originator Codes
42. We asked for comment in the NPRM on NWS's request that
we revise its originator code from WXR to NWS.100 We
expressed concern, however, that adding the NWS code and
deleting the WXR code could have a substantial adverse
impact on the use of the EAS for state and local emergency
purposes because NWS is the originator of emergency weather
information. Therefore, any broadcast station or cable
system that wishes to participate in state and local EAS
alerts would need to modify or upgrade its EAS equipment to
handle the revised originator code.
43. In its comments, NWS states that it no longer seeks
revision of its originator code, conceding that ``the
minimal benefit would not justify the work necessary to make
the revision.''101 In addition, all but one of the
commenters which addressed this issue oppose revision of
NWS's originator code.102 Accordingly, we will not revise
NWS's originator code.
B. EAS Equipment
1. Selective Displaying and Logging of EAS Messages
44. In the NPRM, we sought comment on whether we should
amend Part 11 to permit equipment manufacturers to include
an optional feature in EAS equipment that would allow EAS
users the capability to program their EAS decoders to
selectively display and log EAS messages that contain state
and local event codes.103 Currently, the Part 11 rules
require EAS equipment to display and log every message
received.104 We observed that permitting this optional
feature would promote compatibility of EAS equipment with
NWR-SAME equipment because it would relieve EAS participants
that monitor NWR-SAME transmissions of the burden of logging
every message transmitted, even unwanted test messages.
45. We will amend the Part 11 rules to permit broadcast
stations and cable systems to program their EAS equipment to
preselect which EAS messages containing state and local
event codes they wish to display and log.105 Many
commenters favor some degree of selective displaying and
logging.106 NWS states that this feature is ``critical'' to
improving the effectiveness of both the EAS and NWR.107 We
agree that permitting selective logging and displaying of
state and local EAS messages will greatly enhance EAS. It
will relieve EAS participants from the burden of logging
unwanted messages, e.g., messages that do not apply to a
participant's service area or messages concerning events
which the participant has decided not to transmit.
Additionally, it will enable NWS to broadcast non-alerting
messages, conduct tests, and perform system administration
and control functions without impacting EAS participants
which monitor NWR transmissions. SBE maintains that this
feature should be limited to ``administrative'' event codes
that are not intended to reach the general public, such as
the designated monthly practice/demonstration (DMO).108 SBE
fears that relaxation of the requirement to display and log
all emergency events, including events that are designated
for the geographic area for which the decoder is programmed,
could degrade the system's ability to deliver emergency
information to decoder locations near or adjacent to areas
directly impacted. However, we conclude that it is more
consistent with the voluntary nature of state and local EAS
to allow broadcast stations and cable systems to choose
which state and local EAS messages they wish to display and
log. We are confident that EAS participants will exercise
good judgement in making these choices. Broadcast stations
and cable systems may upgrade their existing EAS equipment
to include the selective displaying and logging capability
on an optional basis until the equipment is replaced. All
existing and new models of EAS equipment manufactured after
August 1, 2003 must be capable of selectively displaying and
logging messages with state and local event codes.
Broadcast stations and cable systems which replace their EAS
equipment after February 1, 2004 must install EAS equipment
that is capable of selectively displaying and logging EAS
messages with state and local event codes. We emphasize
that this selective displaying and logging feature applies
only to state and local events. EAS equipment must continue
to display and log all national EAS messages and all
required weekly and monthly tests.
2. Equipment Authorization Requirements
46. As explained above, we have decided not to adopt the
alternative suggestion set forth in the NPRM to leave the
development of event codes and location codes to state and
local authorities. However, we will amend the rules to
provide that any modifications to existing authorized EAS
equipment that are necessary to implement revisions in EAS
codes or to implement the selective displaying and logging
feature for state and local events are Class I permissive
changes that do not require a new application for and grant
of equipment certification. We believe that this amendment
will provide equipment manufacturers more flexibility in the
design and modification of EAS equipment.
47. Furthermore, as discussed above, we are amending Part
11 to require that all existing and new models of EAS
equipment manufactured after August 1, 2003 be capable of
transmitting and receiving the new event and location codes
adopted in this Report and Order. Similarly, we are
amending Part 11 to require that all existing and new models
of EAS equipment manufactured after August 1, 2003 be
capable of selectively displaying and logging messages with
state and local event codes.
C. EAS Testing
48. Current Part 11 rules require broadcast stations and
cable systems to retransmit the Required Monthly Test
(``RMT'') within 15 minutes of receipt of the RMT
message.109 In the NPRM, we proposed to amend Part 11 to
increase the time for retransmitting RMTs to 60 minutes from
the time of receipt of the RMTs.110 We tentatively
concluded that a longer relay window for RMTs would ease
scheduling difficulties for all EAS participants without
negatively affecting EAS test procedures.
49. Commenters overwhelmingly support increasing the relay
window to 60 minutes, noting that it will provide additional
flexibility to insert the RMT message into the program
schedule without disruption.111 Only one commenter opposes
this proposal, arguing that a 60-minute relay window would
not be a meaningful test of the EAS because it would not
simulate a true emergency.112 We will adopt the proposal to
increase the time for retransmitting RMTs from 15 minutes to
60 minutes from the time of receipt of the RMTs. We agree
with the majority of commenters that a longer relay window
will provide EAS participants more flexibility and reduce
the risk of program disruptions. Moreover, we do not
believe that increasing the relay window for RMTs will
compromise the ability of the EAS to deliver a real EAS
message in a timely manner.
50. One commenter suggests decreasing the relay window for
RMTs to five minutes ``based on the observed tendency to put
it off until it's too late,''113 and another commenter
suggests eliminating the requirement to relay the RMT
altogether.114 We conclude that it would not be in the
public interest to decrease the relay window for RMTs. In
this regard, there is no evidence in the record
demonstrating that EAS participants have a tendency to put
off relaying RMTs until it is too late. Additionally, we do
not think that the public interest would be served by
eliminating the requirement to relay the RMT altogether. As
SBE points out, the RMT is the only test EAS participants
conduct to verify their ability to relay an EAN, and it has
not been shown that the requirement to relay the RMT is
unduly burdensome.115
D. Modulation Level of EAS Codes
51. In the NPRM, we proposed to reduce the minimum required
modulation level of EAS codes from 80% to 50% of full
channel modulation limits.116 SBE had requested this
change, asserting that in most cases the tone insertion
equipment must be inserted after station processing to
attain the required modulation level and that this situation
is ``adverse to acceptable engineering practice.''
52. In its comments, SBE states that shortly after the
adoption of the Part 11 rules, it became clear that the
composition of the EAS tones generally prohibited achieving
the prescribed 80% modulation requirement in the vast
majority of broadcast installations due to the reaction of
audio processing and modulation control equipment.117 SBE
recommends that rather than stating a minimum modulation
level of 50% as proposed in the NPRM, the Commission should
require that the modulation level of EAS codes be at the
maximum possible level, but in no case less than 50%. SBE
maintains that this change will bring the Part 11 rules into
alignment with the technical limitations of the equipment
involved. Of the other commenters that addressed this
issue, only RadioShack Corporation (``RadioShack'') objects
to reducing the modulation level of EAS codes.118 According
to RadioShack, reducing the modulation level to 50% would
diminish the ability of consumers living in fringe areas to
receive EAS alerts on their consumer weather radios. In its
reply comments, SBE clarifies that the proposed change will
not reduce the existing modulation percentage but will
simply bring the Commission rules into alignment with the
actual modulation levels used by broadcasters. Thus, SBE
asserts that the proposed change will not compromise the
ability of existing consumer weather radios to receive EAS
alerts.
53. We will amend Part 11 to require that the modulation
level of EAS codes be at the maximum possible level, but in
no case less than 50% of full channel modulation limits.
This amendment will bring the Part 11 rules into alignment
with the actual modulation levels currently obtainable by
broadcasters. Because this amendment simply conforms the
Part 11 rules with current practice, we are satisfied that
it will not reduce the ability of consumer weather radios to
receive EAS alerts.
E. Protocol for Text Transmission
54. In the NPRM, we invited comment on SBE's request that
we amend the Part 11 rules to include a specific protocol
for text transmission.119 According to SBE, a protocol for
text transmission would enable broadcasters and cable
operators to make greater use of already formatted text
messages in order to provide more detailed disaster
information and updates. SBE suggested that text
information could be transmitted immediately following the
existing EAS message format, using the existing Audio
Frequency Shift Keying (``AFSK'') technique. We noted,
however, that we had no information or data to support the
addition of text messaging to the EAS system using the AFSK
technique or any other scheme and that we were aware of no
comprehensive field tests that have been conducted to show
the viability of different text formats. As an alternative
to SBE's suggestion, we sought comment on whether we should
add a local event code (TXT) that can be used as an
indicator that textual information will be transmitted after
the End of Message code. We observed that this alternative
would allow for the testing of different textual formats and
could eventually lead to an industry standard.
55. We will not adopt a specific EAS text transmission
protocol at this time. The general consensus among the
commenters is that further study and evaluation of text
transmission techniques and additional data on the cost and
feasibility of adding text processing to existing EAS
equipment are needed before the Commission can adopt a text
transmission protocol.120 Even SBE now advocates additional
study of the matter with the goal of creating a widely
supported technical standard.121 We agree that further
study and field testing of text transmission methodologies
is needed before a specific text protocol can be adopted.
Furthermore, we believe that the costs and feasibility of
upgrading existing EAS equipment to add text messaging
capability must be carefully evaluated. We note that there
is presently no information in the record on which to base
such an evaluation. In addition, we share the concern
raised by NCTA that the adoption of a text protocol may
require modification of the standard developed by the cable
industry for digital EAS alerts.122 Accordingly, we will
not take action on this matter herein. We encourage the
broadcast and cable industries to work with state and local
EAS authorities, the hearing impaired community and other
interested parties to evaluate different text transmission
techniques and develop an industry standard for EAS text
transmission.
56. We also decline to add a TXT event code to be used for
evaluating different text formats and text transmission
techniques. A number of commenters support addition of the
TXT event code.123 However, we note that addition of the
TXT code would necessitate adoption of a protocol for
determining when a text transmission has ended. There is
insufficient information in the record to permit adoption of
such a protocol at this time.
F. Carriage of Audio of Presidential Messages from Non-EAS
Sources
57. The NPRM sought comment on SBE's request that in the
case of a national EAS alert, broadcast stations be
permitted to air the President's voice message from a source
other than the EAS source from which the alert was
received.124 In support of this request, SBE stated that
most broadcast stations are equipped with high audio quality
network connections, whereas the audio received on an EAS
decoder may be of questionable quality. SBE also expressed
concern that severe video to audio synchronization problems
may occur if a television station chooses to air the video
of the President from the station's network feed, but is
required to air the audio portion of the President's message
from the EAS source which provided the activation.
58. We will amend Part 11 to permit broadcast stations to
override the EAS audio feed during a national EAS alert and
substitute an audio feed of the President's message from
another source. Commenters point out that the quality of the
EAS audio feed is far inferior to the high quality audio
network connections available to most broadcast stations125
and that it may be difficult or impossible for television
stations to synchronize the EAS audio feed with their video
feeds.126 We agree with commenters that the public interest
will be served by amending Part 11 to allow broadcast
stations to provide the highest quality audio available to
them during a national emergency. Because National Primary
broadcast stations will still be required to relay all
national EAS messages in accordance with Section 11.51 of
the Rules,127 this amendment will not compromise the
integrity of the EAS system or prevent those broadcast
stations that do not have access to alternative audio feeds
from transmitting presidential EAS messages to the public.
59. One commenter cautions that we must ensure that lengthy
delays do not result because broadcast stations are waiting
for audio feeds from alternative sources.128 We emphasize
that broadcast stations may not delay the transmission of
national EAS messages in order to substitute alternative
audio feeds. Rather, broadcast stations must continue to
transmit all national EAS messages immediately upon
receipt.129
G. Use of Common EAS Equipment by ``Key'' Broadcast
Stations and Cable Systems
60. Under the Part 11 rules, broadcast stations that are
co-owned and co-located with a combined studio and cable
systems that are co-owned and co-located with a combined
control facility are permitted to use a common set of EAS
equipment to comply with the EAS rules.130 In the NPRM, we
sought comment on a suggestion by SBE that the Commission
amend Part 11 to provide that where more than one of the co-
owned and co-located broadcast stations or cable systems are
designated as ``key'' stations or systems,131 the common EAS
equipment must be configured such that the EAS message of
one key station or system is either simulcast or relayed by
the remaining key station(s) or system(s).132 In support of
this request, SBE stated that since EAS equipment does not
provide for the relay of a message originated by itself, co-
located key stations that do not simulcast program
originations must originate tests and alerts separately.
When the same EAS message is originated on co-located key
stations at different times, two apparently separate
messages for the same event circulate through the EAS relay
web, and automated, unattended, or manned stations set to
automatic will air both messages.
61. We will not adopt SBE's suggestion concerning co-owned,
co-located key stations and systems. Several commenters
endorse this suggestion, asserting that there is a potential
for confusion when the same EAS message is originated on co-
located key stations at different times.133 However, as we
noted in the NPRM, we have not received any reports of
specific instances of the problem described by SBE.134
Further, none of the commenters in this proceeding cite
specific instances where this problem has occurred.135 In
addition, we have no information as to how many co-owned,
co-located key stations and systems there currently are. We
also note that one EAS equipment manufacturer indicates that
adoption of SBE's suggestion would necessitate a major
redesign effort with respect to its equipment and estimates
that the per unit cost to modify existing hardware and
software to incorporate this feature might exceed $500.136
Given that it is unclear from the record before us whether
or to what extent the problem described by SBE exists, we
are unwilling to require potentially costly modifications to
EAS equipment. Instead, if this problem does arise, we
think that a better approach would be for broadcast stations
and cable systems to work with their SECCs and LECCs to
explore less costly alternatives, e.g., by taking steps to
ensure that two or more co-owned, co-located stations or
systems are not designated in state and local EAS plans as
key stations or systems.
H. EAN Network
62. In the NPRM, we proposed to delete those portions of
the Part 11 rules that reference the now-defunct Emergency
Action Notification (``EAN'') network and its
participants.137 Previously, the EAN network was one of two
networks used to distribute national emergency messages from
the federal government.138 It consisted of a dedicated
communications service connecting industry networks, wire
services and common carriers with government activation
points. FEMA phased out the EAN network in 1995 in
accordance with a presidential directive.139
63. The two parties which commented on this issue both
support our proposal.140 Accordingly, we will amend Part 11
as proposed in the NPRM to eliminate all references to the
EAN network and its participants.
I. International High Frequency Stations
64. The NPRM proposed to amend Part 11 of the Rules to
eliminate the requirement that international HF broadcast
stations purchase and install EAS equipment.141 The NPRM
also proposed to delete Section 11.54(b)(9) of the Rules,
which requires international HF broadcast stations to cease
broadcasting immediately upon receipt of a national-level
EAS message and remain off the air until they receive an EAS
message terminating the activation.142 We noted that in
1996, after concluding that the technical and political
concerns which gave rise to the requirements of Section
11.54(b)(9) are no longer relevant, Commission staff granted
a request by the National Association of Shortwave
Broadcasters, Inc. to exempt all FCC licensed international
HF broadcast stations from the requirement to purchase and
install EAS equipment.143
65. Ohio EMA, the only commenter which addressed this
issue, concurs with our proposals.144 Therefore, for the
reasons set forth in the NPRM, we will amend Part 11 as
proposed in the NPRM to eliminate the requirement that
international HF broadcast stations purchase and install EAS
equipment and to delete Section 11.54(b)(9).
J. Waiver Requests
66. Several parties filed comments seeking waivers of the
EAS rules. The Public Broadcasters, a group of public
universities, public broadcasters and government or non-
profit entities operating noncommercial educational radio
and television stations, seek permanent waivers of the
requirement to install EAS equipment for satellite/repeater
stations which rebroadcast 100% of the programming of their
lead or hub station.145 The Public Broadcasters note that
under the old EBS rules, the Commission permitted licensees
of broadcast station transmitters located at different
geographic points but programmed from a common studio point
to use only one set of EBS equipment upon a showing that one
set of equipment could meet the requirements and intent of
the EBS rules.146 The Commission staff has granted
permanent waivers of the requirement to install EAS
equipment for satellite/repeater stations that rebroadcast
100% of the programming of their hub station and are located
in the same local EAS area as the hub station, but has
granted only temporary waivers where the satellite/repeater
stations are outside the hub station's local EAS area.147
The Public Broadcasters argue that these temporary waivers
should be made permanent because they can comply with the
requirements and intent of the EAS rules without incurring
the additional costs and burdens of installing EAS equipment
at each of the satellite/repeater stations. The Public
Broadcasters assert that satellite/repeater stations which
simulcast 100% of their hub station's programming comply
with the requirement that broadcast stations participate in
national EAS alerts because national EAS alerts carried by a
hub station are automatically retransmitted over the
satellite/repeater stations. They further assert that they
should not be required to install EAS equipment at each of
the satellite/repeater locations for the sole purpose of
transmitting state and local EAS alerts because
participation in state and local EAS activities is voluntary
under the EAS rules. None of the commenters addressed the
Public Broadcasters' waiver request.
67. We will amend the Part 11 rules to exempt
satellite/repeater stations which rebroadcast 100% of the
programming of their hub station from the requirement to
install EAS equipment. Specifically, we will consider the
use of a single set of EAS equipment at a hub station (or
common studio/control point where there is no hub station)
to satisfy the EAS obligations of the satellite/repeater
stations which rebroadcast 100% of the hub station's
programming. This exemption will apply to existing
satellite/repeater stations and any proposed new
satellite/repeater stations. As the Public Broadcasters
point out, the satellite/repeater stations will comply with
the requirement to transmit all national EAS alerts because
all national alerts will be passed through from the hub
station. In addition, we acknowledge that it may be
unnecessarily burdensome for the governmental and
educational institutions operating these satellite/repeater
stations to incur the substantial cost of installing EAS
equipment at each such satellite/repeater station for the
sole purpose of being able to transmit state and local EAS
alerts, which are voluntary under our rules. Furthermore,
only a small number of broadcast stations will be eligible
for this exemption.148 We emphasize, however, that if any
of the satellite/repeater stations start originating any of
their own programming, they will be required to install EAS
equipment. Finally, we note that some models of EAS
equipment have the capability to monitor the assigned EAS
sources for more than one local EAS area, i.e., a hub
station may have the capability to monitor the assigned EAS
sources of some or all of its satellite stations in addition
to its own sources. Where this capability exists, we
strongly encourage the hub station to voluntarily transmit
at least the most serious local emergency alerts (e.g.,
tornado warnings) over its entire network of satellite
stations to help ensure widespread dissemination of vital
emergency information to the affected community or
communities.
68. Two commenters seek waivers or other relief involving
the use of EAS decoders. NCTA, Telecommunications for the
Deaf, Inc. and the National Association for the Deaf
(jointly, ``NCTA/TDI/NAD'') seek a waiver which would allow
cable systems serving fewer than 5,000 subscribers per
headend to comply with the EAS rules by installing a decoder
only, rather than both an encoder and a decoder.149 Cable
systems serving fewer than 5,000 subscribers are required to
install encoders and decoders by October 1, 2002.150
NCTA/TDI/NAD assert that purchasing equipment without
encoding capability will allow for significant cost savings
to these small cable systems. NCTA/TDI/NAD acknowledge that
their waiver request assumes that EAS decoders will become
available.
69. Media Access Project (``MAP'') requests a temporary
blanket waiver of the requirement that low power FM
(``LPFM'') stations install FCC-certified EAS decoders or,
alternatively, suggests that the Commission could authorize
LPFM stations to install non-FCC-certified decoders or
change the certification criteria for EAS decoders.151
Under the EAS rules, LPFM stations are only required to
install certified decoders, not the combined encoder/decoder
units which full power stations are required to install.152
MAP states that when the Commission adopted the requirement
that LPFM stations install certified decoders, it
acknowledged that certified decoders were not currently
available, but assumed that they would become available at a
cost similar to non-certified decoders.153 However, MAP
states that certified decoders are still not available and
that such decoders are unlikely to become available because
adding a memory function in order to achieve certification
would be expensive and therefore unobtainable for limited
budget LPFM stations. MAP also indicates that estimates
have placed the cost of a certified decoder at or near the
cost of a combined encoder/decoder unit.
70. The Commission staff issued a public notice on November
30, 2001 to solicit supplemental comment on the requests of
NCTA/TDI/NAD and MAP.154 Eighteen parties submitted
comments in response to the public notice.155 Four
equipment manufacturers, HollyAnne Corporation
(``HollyAnne''), Sage Alerting Systems, Inc. (``Sage''), TFT
and Vela Research, L.P. (``Vela''), address our request for
specific comment on the future availability of FCC-certified
decoders. These commenters confirm that there are currently
no FCC-certified decoder-only units available. HollyAnne
and Sage both submit that it is unlikely that low-cost, FCC-
certified decoders will become available.156 HollyAnne
states that if it produced and certified an EAS decoder, it
does not anticipate any reduction in cost because of the
technology it uses in the manufacture of its
encoder/decoder.157 Sage indicates that the market
represented by LPFM stations is too small to warrant
significant investment by existing or new EAS vendors of
certified decoders.158 TFT states that it has no current
plans to certify a decoder only unit because only minimal
savings would be realized from removing the encoder from its
certified encoder/decoder unit and still complying with the
certification requirements for decoders.159 However, TFT
notes that it currently manufacturers a low-cost, non-
certified decoder, the TFT Safety 1st, for the commercial
and industrial markets not subject to Part 11 requirements.
The TFT Safety 1st is not compliant with the Part 11
requirements for EAS decoders because it does not have a
digital input and does not have the ability to record and
store the last ten message header codes received.160 TFT
urges the Commission to relax the certification standards
for EAS decoders because that will permit the manufacture of
low-cost decoder-only units.161 Vela, a manufacturing
partner of TFT, acknowledges that the TFT Safety 1st lacks
two of the capabilities to make it fully certifiable under
the Part 11 requirements for EAS decoders.162 However, Vela
states that when the TFT Safety 1st is combined with Vela's
EAS controller components, Vela and TFT are able to provide
a fully compliant decoder-only solution for the cable
market. Vela states that if the Commission authorizes small
cable systems to comply with the EAS rules by installing a
decoder only, it plans to submit this decoder-only system
for certification in the first quarter of 2002. Vela
maintains that the cost savings to small cable systems of
this decoder-only system will be significant. By
eliminating the encoder function, Vela asserts that an EAS
decoder-only system can reduce the cost by 64% over what a
cable operator would spend for an encoder/decoder unit.
71. After reviewing the supplemental comments, we conclude
that the public interest will be served by amending the Part
11 rules to permit cable systems serving fewer than 5,000
subscribers to use an FCC-certified decoder, if such a
device becomes available by October 1, 2002, in lieu of an
encoder/decoder unit. If FCC-certified decoders are not
available by the October 1, 2002 compliance deadline, cable
systems serving fewer than 5,000 subscribers will continue
to be required to comply with the EAS rules by installing an
encoder/decoder unit. We agree with the American Cable
Association (``ACA'') that authorizing the use of decoder-
only units will, to the extent that such decoders may become
available at a lower price than encoder/decoder units,
benefit the public by reducing costs for small cable systems
in meeting the October 1, 2002 compliance deadline.163
Similarly, we agree with the Wireless Communications
Association International, Inc. (``WCA'') that permitting
small wireless cable operators to use decoder-only units, to
the extent that such decoders may become available at a
lower price than encoder/decoder units, will serve the
public interest.164 Accordingly, we will extend this policy
to wireless cable systems serving fewer than 5,000
subscribers as requested by WCA.
72. We agree with SBE that it is important that EAS
decoders have the capability to store and forward EAS
messages or to automatically pass through EAS messages.165
Accordingly, we will not relax the certification
requirements for EAS decoders. In order to receive FCC
certification, EAS decoders will be required to satisfy all
of the existing requirements for decoders set forth in
Section 11.33 of the Rules.166 Small cable systems which
opt to install decoder-only units will not be able to
originate EAS messages or generate RWTs. However, these
small cable systems will still be able to pass through EAS
messages and accomplish Required Weekly Testing by
forwarding a received RWT. Thus, we do not believe that
permitting small cable systems to install decoder-only units
will compromise or diminish the EAS system.
73. Although ACA supports a policy of allowing small cable
systems to install decoder-only units, it asserts that such
a policy should not interfere with the financial hardship
waiver process available to small cable systems.167
According to ACA, even with a decoder-only option, hundreds
of small cable systems will face serious financial hardship
unless case-by-case relief is granted. We clarify that the
Commission will continue to grant waivers of the EAS rules
to small cable systems on a case-by-case basis upon a
showing of financial hardship. The waiver request must
contain at least the following information: (1)
justification for the waiver, with reference to the
particular rule sections for which a waiver is sought; (2)
information about the financial status of the requesting
entity, such as a balance sheet and income statement for the
two previous years (audited, if possible); (3) the number of
other entities that serve the requesting entity's coverage
area and that have or are expected to install EAS equipment;
and (4) the likelihood (such as proximity or frequency) of
hazardous risks to the requesting entity's audience.168 We
emphasize, however, that any financial hardship waivers
granted to small cable systems will not, as a general rule,
be permanent waivers. In this regard, we note that Section
624(g) of the Communications Act of 1934, as amended,
requires that cable systems be capable of providing EAS
alerts to their subscribers.169
74. With respect to LPFM stations, a number of parties that
filed comments in response to the public notice urge us to
temporarily or permanently exempt LPFM stations from the
requirement to install FCC-certified decoders or to
authorize LPFM stations to install uncertified decoders.170
Among other things, these commenters assert that low-cost,
FCC-certified decoders have not become available as
anticipated by the Commission in the LPFM proceeding because
the number of authorized LPFM stations is currently too
small to create sufficient demand for the manufacture of
such devices.171 By contrast, two LPFM applicants assert
that they have allocated funds to purchase a combined
encoder/decoder unit.172
75. In the LPFM proceeding, the Commission concluded that
LPFM stations should be required to participate in EAS by
installing EAS decoders only, rather than combined
encoder/decoder units.173 We reasoned that this modified
EAS requirement would balance the cost of compliance, the
ability of LPFM stations to meet that cost, and the needs of
the listening public to be alerted in emergency situations.
While we anticipated that FCC-certified decoders would
become available for under $1,000 in the near future, we
stated that if certified decoder equipment is not available
when the first LPFM stations go on the air, we can grant a
temporary exemption for LPFM stations until such time as it
is reasonably available.174 As of December 31, 2001, the
Commission staff had granted 174 construction permits for
LPFM stations and a number of LPFM stations have begun
operating. However, certified EAS decoders have not reached
the market as quickly as we expected. Therefore, as stated
in the LPFM proceeding, we will grant a temporary exemption
to LPFM licensees of the requirement to install FCC-
certified decoders. Specifically, we will amend the Part 11
rules to provide that LPFM stations need not install EAS
decoders until one year after the Commission publishes in
the Federal Register a public notice indicating that at
least one EAS decoder has been certified.
K. Other Matters
76. In paragraph 32 of the NPRM, we stated that we did not
propose to adopt various other changes to the EAS rules
suggested by NWS and SBE because they appear to be either
unnecessary or not in the public interest, but we
nevertheless invited interested parties to comment on these
suggestions.175 Although most of these suggested changes
did not generate any comments, a few commenters addressed
SBE's suggestions to replace the Required Monthly Test with
a Required Quarterly Test,176 make the two-tone Attention
Signal optional,177 and add the Evacuation Immediate (EVI)
event code to the list of national event codes for which we
require immediate retransmission.178 Notably, SBE now
recommends that these three suggestions not be adopted.179
After reviewing the comments, we continue to believe that
these and the other suggested changes referenced in
paragraph 32 of the NPRM are unnecessary or not in the
public interest and therefore we will not adopt them. We
note, in this regard, that the frequency of the RMT has not
been shown to be a burden to EAS participants; that the two-
tone Attention Signal continues to serve the important
purpose of alerting the public that an emergency warning
message is about to be issued; and that the transmission of
state and local event codes, such as the EVI code, is
entirely voluntary under the EAS rules.
77. NAB requests that we reexamine our policy on selective
overrides in light of the changes to the EAS rules proposed
in this proceeding.180 In 1994, in response to concerns
that a cable system's EAS message could override more
detailed emergency information provided by a local broadcast
station, we authorized voluntary selective overrides by
modifying the EAS rules to provide that a cable system, upon
written agreement with a broadcast station, may elect not to
override the programming of a broadcast station carrying
news or weather related emergency information with state and
local EAS messages.181 In 1998, we denied NAB's request
that we mandate selective overrides, concluding that in
certain circumstances cable systems may be better suited to
provide necessary emergency information to local
communities.182 NAB asserts that the new event and location
codes adopted in this proceeding, when combined with live
news coverage, will enable local broadcast stations to
provide more useful and in-depth emergency information than
that which might be generated by a cable operator.183 NCTA
disagrees, arguing that the adoption of new event and
location codes provides no basis for reexamination of the
selective override policy.184 We conclude that nothing in
the record of this proceeding alters our previous decision
that local facts and circumstances, not a federal mandate,
should determine whether selective overrides will serve the
public interest.185
78. NAB and several other commenters urge the Commission to
take steps to resolve the Quad Dimension, Inc. (``QDI'') EAS
patent issue by, for example, seeking a blanket patent
license or subsidizing broadcasters for the cost of
individual patent licenses.186 QDI claims to hold a patent
on the technology used in EAS equipment and has asked
broadcasters to sign patent licensing agreements and pay
patent licensing fees to QDI. We note, however, that NWS
disputes QDI's patent claim and that the U.S. Patent and
Trademark Office has not yet issued a final determination on
the claim. Moreover, it is not clear from the record what
steps NAB or other groups of broadcasters have taken
themselves to secure a blanket patent license. In any
event, this issue is beyond the scope of this proceeding.
79. Several commenters request that we redefine four of the
county subdivision codes identified by the ``P'' portion of
the six-digit ``PSSCCC'' location code.187 The ``P''
portion of the location code is optional and allows the
message originator to divide a county into nine sections to
further pinpoint the affected portion of the county.
Currently, the county subdivisions are defined as follows:
0 = all or an unspecified portion of a county; 1 =
Northwest; 2 = North Central; 3 = Northeast; 4 = West
Central; 5 = Central; 6 = East Central; 7 = Southwest; 8 =
South Central; and 9 = Southeast.188 According to the
commenters, this subdivision scheme does not work well
within irregularly shaped counties. The commenters
therefore recommend that we drop the ``central'' from the
North Central, West Central, East Central and South Central
codes so that each of these codes simply states its root
compass direction. We agree that this minor change will
permit a more orderly and logical use of the county
subdivision scheme and we will revise the rules accordingly.
Because we are simply revising the definitions of the codes,
not the actual codes, this revision will not require any
modification to existing equipment.
80. Thunder Eagle complains that, as a matter of policy,
NWS will not encode an alert message for more than six hours
or reissue an alert message after the initial six-hour
period, even though the message may actually have a valid
time period of greater than six hours.189 Thunder Eagle
requests that we amend the Part 11 rules to specifically
require either (a) that the valid time period indicate the
actual duration of the alert, or (b) that the issuing agency
reissue the alert message at the end of every six-hour
period for which a previously issued alert is still in
effect. We will not amend the rules as requested by Thunder
Eagle. We think that this is a matter best left to the
discretion of NWS and other agencies that issue EAS alerts.
81. SBE requests that we specifically apply the EAS
protocol and standards specified in the Part 11 rules to
other radio services, such as amateur radio services (Part
97) and land mobile radio services (Part 90), which have
recently begun to transmit EAS and NWR-SAME messages.190
This proposal is beyond the scope of the instant proceeding
and will not be considered here.
82. Finally, we are revising the Part 11 rules to make a
few non-substantive and editorial amendments.
IV. CONCLUSION
83. In this Report and Order, we revise the technical and
operational requirements for the EAS. In particular, we
adopt new event codes and location codes to be used in
transmitting EAS alerts to the public during state and local
emergencies. Broadcast stations and cable systems will be
permitted to upgrade their existing EAS equipment to include
the new event and location codes on a voluntary basis until
the equipment is replaced. Thus, the rules we are adopting
in this proceeding will promote public safety by enhancing
the performance and capabilities of EAS without imposing
additional costs or burdens on broadcast stations and cable
systems that may discourage their voluntary participation in
state and local EAS activities.
V. PROCEDURAL MATTERS
84. Final Regulatory Flexibility Analysis. As required by
the Regulatory Flexibility Act, see 5 U.S.C. § 604, the
Commission has prepared a Final Regulatory Flexibility
Analysis of the possible impact on small entities of the
rule changes contained in this Report and Order. The Final
Regulatory Flexibility Analysis is set forth in Appendix C.
The Commission's Consumer Information Bureau, Reference
Information Center, will send a copy of this Report and
Order, including the Final Regulatory Flexibility Analysis,
to the Chief Counsel for Advocacy of the Small Business
Administration.
85. Final Paperwork Reduction Act of 1995 Analysis. This
Report and Order does not contain any new or modified
information collection. Therefore, it is not subject to the
requirements for a paperwork reduction analysis, and the
Commission has not performed one.
VI. ORDERING CLAUSES
86. According, IT IS ORDERED that pursuant to the authority
contained in Sections 1, 4(i) and (o), 303(r), 624(g) and
706 of the Communications Act of 1934, as amended, 47 U.S.C.
§§ 151, 154(i) and (o), 303(r), 554(g) and 606, that Part 11
of the Commission's Rules, 47 C.F.R. Part 11, IS AMENDED as
set forth in Appendix B, effective 30 days after publication
of this Report and Order in the Federal Register.
87. IT IS FURTHER ORDERED that the Commission's Consumer
Information Bureau, Reference Information Center, shall send
a copy of this Report and Order, including the Final
Regulatory Flexibility Analysis, to the Chief Counsel for
Advocacy of the Small Business Administration in accordance
with the Regulatory Flexibility Act.
88. IT IS FURTHER ORDERED that this proceeding IS
TERMINATED.
89. For additional information on this proceeding, please
contact the FCC Enforcement Bureau, Technical and Public
Safety Division, at (202) 418-1160.
FEDERAL COMMUNICATIONS COMMISSION
William F. Caton
Acting Secretary
APPENDIX A
List of Commenting Parties
Comments:
1. Susan M. Collins, Member, United States Senate (Collins)
2. Connecticut Broadcasters Association Emergency
Communications Committee (CBA/EAS)
3. Cox Broadcasting, Inc. (Cox)
4. Dallas/Fort Worth Area Radio Managers (ARMS)
5. Central Michigan University, Idaho State Board of Education
(Boise State University), Iowa Public Broadcasting Board, Kent
State University, Maine Public Broadcasting Corporation,
Nebraska Educational Telecommunications Commission, Nevada
Public Radio Corporation, Inc., Rocky Mountain Public
Broadcasting Network, Inc., Sistema Universitario Ana G.
Mendez, Inc., the Board of Supervisors of Louisiana State
University and Agricultural and Mechanical College, University
of Oklahoma, University of Wyoming, Washington State
University, West Central Illinois Educational
Telecommunications Corporation, and WSKG Public
Telecommunications Council (Public Broadcasters)
6. Martin Frost, Member, United States Congress (Frost)
7. Greater Metropolitan Washington Area Amber Plan (DC AMBER
Taskforce)
8. Gene Heskett
9. KPVI-TV
10. Nick Lampson, Billy Tauzin, Bill Pascrell, Jr., Martin
Frost, Dale Kildee, Connie Morella, Ken Bentsen, Michael
Capuano, John Shimkus, Mark Green, Julia Carson, Mike Ross,
Mark Foley, Sheila Jackson-Lee, Bud Cramer, Doug Ose, Ben
Gilman, Sam Farr, Sivestre Reyes, Ellen Tauscher, Melissa
Hart, Bob Schaffer, John Tanner, Steve Largent, Lloyd Doggett,
Patsy Mink, Jim Ryun, Peter Visclosky, Christopher Smith, Fred
Upton, Joe Barton, Ed Whitfield, Jose Serrano, Chip Pickering,
Donald Payne, James Greenwood, Edward Markey, Steve Rothman
and Diana Degette, Members, United States Congress (39 Members
of Congress)
11. Multiplex One, Inc.
12. Named State Broadcasters Associations (Named StBAs)
13. National Association of Broadcasters (NAB)
14. National Cable & Telecommunications Association (NCTA)
15. National Center for Missing and Exploited Children (NCMEC)
16. National Weather Service (NWS)
17. Oklahoma Amber Plan Committee (OAPC)
18. RadioShack Corporation (RadioShack)
19. Salem Communications Corporation (Salem)
20. Van H. Schallenberg (Schallenberg)
21. Seven Ranges Radio Co., Inc. (Seven Ranges)
22. Small Business in Telecommunications (SBT)
23. Society of Broadcast Engineers, Inc. (SBE)
24. James C. Tharp (Tharp)
25. Thunder Eagle, Inc. (Thunder Eagle)
26. Washington State Association of Broadcasters and Washington
State Emergency Communications Committee (WSAB/WA SECC)
Reply comments, late-filed comments and ex parte comments:
1. James Gorman (Gorman)
2. Nick Lampson, Member, United States Congress (Lampson)
3. Arthur J. Martin (Martin)
4. Media Access Project (MAP)
5. NCTA
6. National Cable Television Association, Telecommunications
for the Deaf, Inc. and National Association for the Deaf
(NCTA/TDI/NAD)
7. Named StBAs
8. NWS
9. Ohio Emergency Management Agency (Ohio EMA)
10. Range Telecommunications (Range)
11. RadioShack
12. SBE
13. TFT, Inc. (TFT)
14. Tharp
15. Thunder Eagle
Supplemental comments submitted in response to November 30, 2001
Public Notice:
1. American Cable Association (ACA)
2. Dr. Kenneth W. Bowles (Bowles)
3. Christian Community Broadcasters (CCB)
4. Christian Witness, Inc. (Christian Witness)
5. HollyAnne Corporation (HollyAnne)
6. Brad Johnson (Johnson)
7. KURC-LP (KURC)
8. Lexington Calvary Chapel (Lexington Calvary)
9. Newport Musical Arts Association (Newport)
10. Prometheus Radio Project (Prometheus)
11. SBE
12. Sage Alerting Systems, Inc. (Sage)
13. Paul B. Saunders (Saunders)
14. Joseph Steinberger (Steinberger)
15. TFT
16. Vela Research L.P. (Vela)
17. Reverend Karl R. Viernstein (Viernstein)
18. Wireless Communications Association International, Inc.
(WCA)
APPENDIX B
RULES CHANGES
Part 11 of Chapter I of Title 47 of the Code of Federal
Regulations is amended as follows:
PART 11 - EMERGENCY ALERT SYSTEM (EAS)
90. The authority citation for Part 11 continues to read as
follows:
Authority: 47 U.S.C. 151, 154(i) and (o), 303(r),
544(g) and 606.
91. Section 11.11 is amended by revising the three tables
in paragraph (a) and revising paragraph (b) to read as
follows:
§ 11.11 The Emergency Alert System (EAS)
(a) ***
BROADCAST STATIONS
EAS AM & FM TV FM CLASS LPTV [FN LPFM CLASS A
Require- D 1] [FN4] TV
ment
Two-tone
encoder Y Y N N N Y
[FN2]
[FN3]
EAS Y 1/1/97 Y 1/1/97 Y 1/1/97 Y 1/1/97 Y Y
decoder
EAS Y 1/1/97 Y 1/1/97 N N N Y
encoder
Audio Y 1/1/97 Y 1/1/97 Y 1/1/97 Y 1/1/97 Y Y
message
Video N/A Y 1/1/97 N/A Y 1/1/97 N/A Y
message
[FN1] LPTV stations that operate as television broadcast
translator stations are exempt from the requirement to have EAS
equipment.
[FN2] Effective July 1, 1995, the two-tone signal must be 8-25
seconds.
[FN3] 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.
[FN4] 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.
CABLE SYSTEMS
A. 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 cable systems must
comply with B.
B. EAS Equipment Requirement System
size and
effective
dates
> 10,000 >5,000 but <5,000
subscrib- < 10,000 subscrib-
ers subscrib- ers
ers
Two-tone signal from storage Y 12/31/98 Y 10/1/02 Y 10/1/02
device [FN1]
EAS decoder Y 12/31/98 Y 10/1/02 Y 10/1/02
EAS encoder [FN2] Y 12/31/98 Y 10/1/02 Y 10/1/02
Audio and Video EAS Message on Y 12/31/98 Y 10/1/02 N
all channels
Video interrupt and audio N N Y 10/1/02
alert message on all
channels;[FN3] Audio and Video
EAS message on at least one
channel
[FN1] 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.
[FN2] Cable systems serving <5,000 subscribers are permitted
to operate without an EAS encoder if they install an FCC-
certified decoder.
[FN3] 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.
WIRELESS CABLE
SYSTEMS
(MDS/MMDS/ITFS
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
channels¾includ-
ing the required
testing--by
October 1, 2002,
or comply with
the following
EAS
requirements.
All other
wireless cable
systems must
comply with B.
B. EAS System size and
Equipment effective dates
Requirement
> 5,000 subscribers < 5,000 subscribers
EAS decoder Y 10/1/02 Y 10/1/02
EAS encoder Y 10/1/02 Y 10/1/02
[FN1] [FN2]
Audio and Video Y 10/1/02 N
EAS Message on
all channels
Video interrupt N Y 10/1/02
and audio alert
message on all
channels;[FN3]
Audio and Video
EAS message on
at least one
channel
[FN1] 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.
[FN2] Wireless cable systems serving <5,000 subscribers are
permitted to operate without an EAS encoder if they install an
FCC-certified decoder.
[FN 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 services such as Internet.
(b) Class D non-commercial educational FM stations as
defined in § 73.506, LPFM stations as defined in §§ 73.811 and
73.853, and LPTV stations as defined in § 74.701(f) are not
required to comply with § 11.32. 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 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 broadcast stations as defined in § 73.701 of
this chapter are not required to comply with the requirements of
this part. 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% 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 of this
part.
* * * * *
92. Section 11.14 is amended by revising the heading and
text to read as follows:
§ 11.14 Primary Entry Point (PEP) System.
The PEP system is a nationwide network of broadcast stations
and other entities connected with government activation points.
It is used to distribute the EAN, EAT and EAS national test
messages, and other EAS messages.
93. Section 11.16 is amended by revising the introductory
text to read as follows:
§ 11.16 National Control Point Procedures.
The National Control Point Procedures are written
instructions issued by the FCC to national level EAS control
points. The procedures are divided into sections as follows:
* * * * *
94. Section 11.31 is amended by revising paragraphs (c),
(d), (e) and (f) as follows:
§ 11.31 EAS Protocol
* * * * *
(c) The EAS protocol, including any codes, must not be
amended, extended or abridged without FCC authorization. The EAS
protocol and message format are specified in the following
representation. Examples are provided in FCC Public Notices.
________________________________________________________________-
_______
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTT-JJJHHMM-LLLLLLLL-
(one second pause)
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTT-JJJHHMM-LLLLLLLL-
(one second pause)
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC+TTTT-JJJHHMM-LLLLLLLL-
(at least a one second pause)
(transmission of 8 to 25 seconds of Attention Signal)
(transmission of audio, video or text messages)
(at least a one second pause)
[PREAMBLE]NNNN
(one second pause)
[PREAMBLE]NNNN
(one second pause)
[PREAMBLE]NNNN
(at least one second pause)
________________________________________________________________-
_______
[PREAMBLE] This is a consecutive string of bits (sixteen bytes
of AB hexadecimal [8 bit byte 10101011]) sent to clear the
system, set AGC and set asynchronous decoder clocking cycles.
The preamble must be transmitted before each header and End Of
Message code.
ZCZC- This is the identifier, sent as ASCII characters ZCZC to
indicate the start of ASCII code.
ORG- This is the Originator code and indicates who originally
initiated the activation of the EAS. These codes are specified
in paragraph (d) of this section.
EEE- This is the Event code and indicates the nature of the EAS
activation. The codes are specified in paragraph (e) of this
section. The Event codes must be compatible with the codes used
by the NWS Weather Radio Specific Area Message Encoder (WRSAME).
PSSCCC- This is the Location code and indicates the geographic
area affected by the EAS alert. There may be 31 Location codes
in an EAS alert. The Location code uses the Federal Information
Processing Standard (FIPS) numbers as described by the U.S.
Department of Commerce in National Institute of Standards and
Technology publication FIPS PUB 6-4. Each state is assigned an
SS number as specified in paragraph (f) of this section. Each
county and some cities are assigned a CCC number. A CCC number
of 000 refers to an entire State or Territory. P defines county
subdivisions as follows: 0 = all or an unspecified portion of a
county, 1 = Northwest, 2 = North, 3 = Northeast, 4 = West, 5 =
Central, 6 = East, 7 = Southwest, 8 = South, 9 = Southeast.
Other numbers may be designated later for special applications.
The use of county subdivisions will probably be rare and
generally for oddly shaped or unusually large counties. Any
subdivisions must be defined and agreed to by the local officials
prior to use.
+TTTT- This indicates the valid time period of a message in 15
minute segments up to one hour and then in 30 minute segments
beyond one hour; i.e., +0015, +0030, +0045, +0100, +0430 and
+0600.
JJJHHMM- This is the day in Julian Calendar days (JJJ) of the
year and the time in hours and minutes (HHMM) when the message
was initially released by the originator using 24 hour Universal
Coordinated Time (UTC).
LLLLLLLL- This is the identification of the broadcast station,
cable system, MDS/MMDS/ITFS station, NWS office, etc.,
transmitting or retransmitting the message. These codes will be
automatically affixed to all outgoing messages by the EAS
encoder.
NNNN- This is the End of Message (EOM) code sent as a string of
four ASCII N characters.
(d) The only originator codes are:
Originator ORG Code
Broadcast station or cable system EAS
Civil authorities CIV
National Weather Service WXR
Primary Entry Point System PEP
(e) The following Event (EEE) codes are presently
authorized:
Nature of Activation Event Codes
National Codes (Required):
Emergency Action Notification EAN
(National only)
Emergency Action Termination EAT
(National only)
National Information Center NIC
National Periodic Test NPT
Required Monthly Test RMT
Required Weekly Test RWT
State and Local Codes (Optional):
Administrative Message ADR
Avalanche Warning AVW1
Avalanche Watch AVA1
Blizzard Warning BZW
Child Abduction Emergency CAE1
Civil Danger Warning CDW1
Civil Emergency Message CEM
Coastal Flood Warning CFW1
Coastal Flood Watch CFA1
Dust Storm Warning DSW1
Earthquake Warning EQW1
Evacuation Immediate EVI
Fire Warning FRW1
Flash Flood Warning FFW
Flash Flood Watch FFA
Flash Flood Statement FFS
Flood Warning FLW
Flood Watch FLA
Flood Statement FLS
Hazardous Materials Warning HMW1
High Wind Warning HWW
High Wind Watch HWA
Hurricane Warning HUW
Hurricane Watch HUA
Hurricane Statement HLS
Law Enforcement Warning LEW1
Local Area Emergency LAE1
Network Message Notification NMN1
911 Telephone Outage Emergency TOE1
Nuclear Power Plant Warning NUW1
Practice/Demo Warning DMO
Radiological Hazard Warning RHW1
Severe Thunderstorm Warning SVR
Severe Thunderstorm Watch SVA
Severe Weather Statement SVS
Shelter in Place Warning SPW1
Special Marine Warning SMW1
Special Weather Statement SPS
Tornado Warning TOR
Tornado Watch TOA
Tropical Storm Warning TRW1
Tropical Storm Watch TRA1
Tsunami Warning TSW
Tsunami Watch TSA
Volcano Warning VOW1
Winter Storm Warning WSW
Winter Storm Watch WSA
1Effective [INSERT DATE 30 DAYS AFTER PUBLICATION IN THE FEDERAL
REGISTER], broadcast stations, cable systems and wireless cable
systems may upgrade their existing EAS equipment to add these
event codes on a voluntary basis until the equipment is replaced.
All models of EAS equipment manufactured after August 1, 2003
must be capable of receiving and transmitting these event codes.
Broadcast stations, cable systems and wireless cable systems
which replace their EAS equipment after February 1, 2004 must
install equipment that is capable of receiving and transmitting
these event codes.
(f) The State, Territory and Offshore (Marine Area) FIPS
number codes (SS) are as follows. County FIPS numbers (CCC) are
contained in the State EAS Mapbook.
State FIPS#
AL 01
AK 02
AZ 04
AR 05
CA 06
CO 08
CT 09
DE 10
DC 11
FL 12
GA 13
HI 15
ID 16
IL 17
IN 18
IA 19
KS 20
KY 21
LA 22
ME 23
MD 24
MA 25
MI 26
MN 27
MS 28
MO 29
MT 30
NE 31
NV 32
NH 33
NH 33
NJ 34
NM 35
NY 36
NC 37
ND 38
OH 39
OK 40
OR 41
PA 42
RI 44
SC 45
SD 46
TN 47
TX 48
UT 49
VT 50
VA 51
WA 53
WV 54
WI 55
WY 56
Terr. FIPS#
AS 60
FM 64
GU 66
MH 68
MH 68
PR 72
PW 70
UM 74
VI 78
Offshore (Marine Areas)1 FIPS#
Eastern North Pacific Ocean, and along U.S. West Coast
57
from Canadian border to Mexican border
North Pacific Ocean near Alaska, and along Alaska coastline,
58
including the Bering Sea and the Gulf of Alaska
Central Pacific Ocean, including Hawaiian waters 59
South Central Pacific Ocean, including American Samoa waters
61
Western Pacific Ocean, including Mariana Island waters
65
Western North Atlantic Ocean, and along U.S. East Coast,
73
from Canadian border south to Currituck Beach Light, N.C.
Western North Atlantic Ocean, and along U.S. East Coast,
75
south of Currituck Beach Light, N.C., following the coastline
into
Gulf of Mexico to Bonita Beach, FL., including the Caribbean
Gulf of Mexico, and along the U.S. Gulf Coast from the Mexican
77
border to Bonita Beach, FL.
Lake Superior 91
Lake Michigan 92
Lake Huron 93
Lake St. Clair 94
Lake Erie 96
Lake Ontario 97
St. Lawrence River above St. Regis 98
1Effective [INSERT DATE 30 DAYS AFTER PUBLICATION IN THE FEDERAL
REGISTER], broadcast stations, 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. Broadcast
stations, cable systems and wireless cable systems which replace
their EAS equipment after February 1, 2004 must install equipment
that is capable of receiving and transmitting these location
codes.
95. Section 11.33 is amended by revising paragraphs
(a)(3)(ii) and (a)(4) to read as follows:
§ 11.33 EAS Decoder
(a) * * *
(3) ***
(ii) Store at least ten preselected event and originator
header codes, in addition to the seven mandatory event/originator
codes for tests and national activations, and store any
preselected location codes for comparison with incoming header
codes. A non-preselected header code that is manually
transmitted must be stored for comparison with later incoming
header codes. The header codes of the last ten received valid
messages which still have valid time periods must be stored for
comparison with the incoming valid header codes for later
messages. These last received header codes will be deleted from
storage as their valid time periods expire.
(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 broadcast station
or cable system 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 [INSERT DATE 30
DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER],
broadcast stations, 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. Broadcast stations, cable systems and wireless
cable systems which 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.
* * * * *
96. Section 11.34 is amended by adding new paragraphs (f)
and (g) to read as follows:
§ 11.34 Acceptability of the equipment.
* * * * *
(f) Modifications to existing authorized EAS decoders,
encoders or combined units necessary to implement the new EAS
codes specified in § 11.31 and to implement the selective
displaying and logging feature specified in § 11.33(a)(4) will be
considered Class I permissive changes that do not require a new
application for and grant of equipment certification under Part
2, Subpart J of this chapter.
(g) All existing and new models of EAS encoders, decoders
and combined units manufactured after August 1, 2003 must be
capable of generating and detecting the new EAS codes specified
in § 11.31 in order to be certified under Part 2, Subpart J of
this chapter. All existing and new models of EAS decoders and
combined units manufactured after August 1, 2003 must have the
selective displaying and logging capability specified in §
11.33(a)(4) in order to be certified under Part 2, Subpart J of
this chapter.
97. Section 11.42 is amended by revising the first sentence
of paragraph (c) to read as follows:
§ 11.42 Participation by communications common carriers.
* * * * *
(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 participating radio networks, television
networks and cable networks and program suppliers. * * *
* * * * *
98. Section 11.43 is revised to read as follows:
§ 11.43 National level participation.
Entities that wish to voluntarily participate in the
national level EAS may submit a written request to the Chief,
Technical and Public Safety Division, Enforcement Bureau.
99. Section 11.51 is amended by revising paragraphs (f),
(k)(2) and (l) to read as follows:
§ 11.51 EAS Code and Attention Signal Transmission
requirements.
* * * * *
(f) Broadcast station equipment generating the EAS codes and
the Attention Signal shall modulate a broadcast station
transmitter so that the signal broadcast to other broadcast
stations and cable systems and wireless cable systems 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) of this part, 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.
* * * * *
(k) * * *
(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.
(l) Broadcast stations and cable systems and wireless
cable systems 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.
* * * * *
100. Section 11.52 is amended by revising paragraph
(e)(2) to read as follows:
§ 11.52 EAS Code and Attention Signal Monitoring
requirements.
* * * * *
(e) * * *
(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. 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.
101. Section 11.53 is amended by revising paragraphs
(a) 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:
(1) Radio and television broadcast stations.
(2) Cable systems and wireless cable systems.
(3) Other entities voluntarily participating in EAS.
* * * * *
(c) 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.
102. Section 11.54 is amended by revising paragraph (b)
and adding a new paragraph (e) to read as follows:
§ 11.54 EAS operation during a National Level emergency.
* * * * *
(b) Immediately upon receipt of an EAN message,
broadcast stations and cable systems and wireless cable systems
must:
(1) Monitor the two EAS sources assigned in the State or
Local Area plan or FCC Mapbook for any further instructions.
(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 station.
(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 sign-off announcement, NN sources are
required to remove their carriers from the air and monitor for
the Emergency Action Termination message. NN sources using
automatic interrupt under § 11.51(k)(1) of this part, 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
of this part. 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) TV broadcast stations shall display an appropriate EAS
slide and then transmit all EAS announcements visually and
aurally as specified in § 73.1250(h) of this chapter.
(6) Cable systems and wireless cable systems shall transmit
all EAS announcements visually and aurally as specified in §
11.51(g) and (h) of this part.
(7) Announcements may be made in the same language as the
primary language of the station.
(8) Broadcast stations may transmit their call letters and
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.
(9) All broadcast stations and 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.
(10) 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.
(11) National Primary (NP) sources must operate under the
procedures in the National Control Point Procedures.
(12) The time of receipt of the EAN and Emergency Action
Termination messages shall be entered by broadcast stations in
their logs (as specified in § 73.1820 and § 73.1840 of this
chapter), by cable systems in their records (as specified in §
76.305 of this chapter), and by subject wireless cable systems in
their records (as specified in § 21.304 of this chapter).
* * * * *
(e) During a national level EAS emergency, broadcast
stations 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.
103. Section 11.55 is amended by revising paragraphs
(c)(4) and (c)(7) to read as follows:
§ 11.55 EAS operation during a State or Local Area emergency.
* * * * *
(c) * * *
(4) Broadcast stations, cable systems and wireless cable
systems participating in the State or Local Area EAS must
discontinue normal programming and follow the procedures in the
State and Local Area plans. Television stations must comply with
§ 11.54(b)(5) and cable systems and wireless cable systems must
comply with § 11.54(b)(6). Broadcast stations providing foreign
language programming shall comply with § 11.54(b)(7) of this
part.
* * * * *
(7) The times of the above EAS actions must be entered in
the broadcast station, cable system or wireless cable system
records as specified in § 11.54(b)(12) of this part.
* * * * *
104. Section 11.61 is revised to read as follows:
§ 11.61 Tests of EAS procedures.
(a) Tests shall be made at regular intervals as indicated
below. 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.
(1) Required Monthly Tests of the EAS header codes,
Attention Signal, Test Script and EOM code.
(i) Effective January 1, 1997, AM, FM and TV stations.
(ii) Effective October 1, 2002, cable systems with fewer
than 5,000 subscribers per headend.
(iii) Effective December 31, 1998, cable systems with 10,000
or more subscribers; and effective October 1, 2002, cable systems
serving 5,000 or more, but less than 10,000 subscribers per
headend.
(iv) Effective October 1, 2002, all wireless cable systems.
(v) 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 broadcast stations, cable systems,
wireless cable systems, and other participants. Script content
may be in the primary language of the broadcast station or cable
system. These monthly tests must be transmitted within 60
minutes of receipt by broadcast stations and cable systems and
wireless cable systems in an EAS Local Area or State. Class D
non-commercial educational FM and LPTV stations are required to
transmit only the test script.
(2) Required Weekly Tests:
(i) EAS Header Codes and EOM Codes:
(A) Effective January 1, 1997, AM, FM and TV stations must
conduct tests of the EAS header and EOM codes at least once a
week at random days and times.
(B) Effective December 31, 1998, cable systems with 10,000
or more subscribers per headend 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) Effective October 1, 2002, cable systems serving fewer
than 5,000 subscribers per headend 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) Effective October 1, 2002, the following cable systems
and wireless cable systems must conduct tests of the EAS header
and EOM codes at least once a week at random days and times on
all programmed channels:
(1) Cable systems serving 5,000 or more, but less than
10,000 subscribers per headend; and,
(2) Wireless cable systems with 5,000 or more subscribers.
(E) Effective October 1, 2002, the following cable systems
and wireless cable systems 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:
(1) Cable systems with fewer than 5,000 subscribers per
headend; and,
(2) Wireless cable systems with fewer than 5,000
subscribers.
(ii) Class D non-commercial educational FM and LPTV stations
are not required to transmit this test but must log receipt.
(iii) The EAS weekly test is not required during the week
that a monthly test is conducted.
(iv) TV stations, cable television systems and wireless
cable systems 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 a broadcast station, cable system or wireless cable
system 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 (2)(i) of this
section, activation must include transmission of the EAS header
and EOM codes. Television stations and cable systems and wireless
cable systems shall comply with the aural and visual message
requirements in § 11.51 of this part. 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 broadcast station and cable
system and wireless cable system records as specified in §
11.54(b)(12) of this part.
105. Section 11.62 is removed.
APPENDIX C
FINAL REGULATORY FLEXIBILITY ANALYSIS
As required by the Regulatory Flexibility Act of 1980, as
amended (``RFA''),191 an Initial Regulatory Flexibility Analysis
(``IRFA'') was incorporated into the Notice of Proposed
Rulemaking (``NPRM'') in EB Docket No. 01-66.192 The Commission
sought written public comments on the proposals in the NPRM,
including comments on the IRFA. No comments were filed in direct
response to the IRFA. This Final Regulatory Flexibility Analysis
(``FRFA'') conforms to the RFA.
A. Need for, and Objectives of, the Report and Order
This Report and Order amends the technical and operational
requirements for the Emergency Alert System (``EAS''). Many of
the amendments adopted in this Report and Order are intended to
enhance the capabilities and performance of the EAS during state
and local emergencies, which will promote public safety. In
addition, the Report and Order amends the EAS rules to make
compliance with the EAS requirements less burdensome for
broadcast stations, cable systems and wireless cable systems.
This Report and Order also eliminates rules which are obsolete or
no longer needed.
B. Summary of Significant Issues Raised by Public Comments
in Response to the IRFA
No comments were filed in direct response to the IRFA. The
Commission, however, has considered the potential impact of the
rules proposed in the NPRM on small entities and has reduced the
compliance burden for broadcast stations and cable systems as
discussed in paragraphs 48-53 and 66-75 of this Report and Order.
C. Description and Estimate of the Number of Small Entities
to Which the Rules Will Apply
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.193 The RFA
generally defines the term ``small entity'' as having the same
meaning as the terms ``small business,'' ``small organization,''
and ``small governmental jurisdiction.''194 In addition, the
term ``small business'' has the same meaning as the term ``small
business concern'' under the Small Business Act.195 A small
business concern is one which: (1) is independently owned and
operated; (2) is not dominant in its field of operation; and (3)
satisfies any additional criteria established by the Small
Business Administration (``SBA'').196 A small organization is
generally ``any not-for-profit enterprise which is independently
owned and operated and is not dominant in its field.''197
Nationwide, as of 1992, there were approximately 275,801 small
organizations.198 ``Small governmental jurisdiction''199
generally means ``governments of cities, counties, towns,
townships, villages, school districts, or special districts, with
a population of less than 50,000.''200 As of 1992, there were
approximately 85,006 such jurisdictions in the United States.201
This number includes 38,978 counties, cities, and towns; of
these, 37,566, or 96 percent, have populations of fewer than
50,000.202 The Census Bureau estimates that this ratio is
approximately accurate for all governmental entities. Thus, of
the 85,006 governmental entities, we estimate that 81,600 (91
percent) are small entities.
Television and radio stations. The rules adopted in this
Report and Order will apply to television broadcasting licensees
and radio broadcasting licensees. The SBA defines a television
broadcasting station that has $10.5 million or less in annual
receipts as a small business.203 Television broadcasting
stations consist of establishments primarily engaged in
broadcasting visual programs by television to the public, except
cable and other pay television services.204 Included in this
industry are commercial, religious, educational, and other
television stations.205 Also included are establishments
primarily engaged in television broadcasting and which produce
taped television program materials.206 Separate establishments
primarily engaged in producing taped television program materials
are classified under another NAICS code.207 There were 1,509
television stations operating in the nation in 1992.208 As of
September 30, 2001, Commission records indicate that 1,686
television broadcasting stations were operating, approximately
1,298 of which are considered small businesses.209 For 1992,210
the number of television stations that produced less than $10.0
million in revenue was 1,155 establishments.211
The SBA defines a radio broadcasting station that has $5
million or less in annual receipts as a small business.212 A
radio broadcasting station is an establishment primarily engaged
in broadcasting aural programs by radio to the public.213
Included in this industry are commercial, religious, educational,
and other radio stations.214 Radio broadcasting stations, which
primarily are engaged in radio broadcasting and which produce
radio program materials are similarly included.215 However,
radio stations that are separate establishments and are primarily
engaged in producing radio program material are classified under
another NAICS code.216 The 1992 Census indicates that 96 percent
(5,861 of 6,127) of radio station establishments produced less
than $5 million in revenue in 1992.217 Commission records
indicate that 11,334 individual radio stations were operating in
1992.218 As of September 30, 2001, Commission records indicate
that 13,012 radio stations were operating, approximately 12,550
of which are considered small businesses.219
Thus, the rules may affect approximately 1,686 full power
television stations, approximately 1,298 of which are considered
small businesses.220 Additionally, the proposed rules may affect
some 13,012 full power radio stations, approximately 12,550 of
which are small businesses.221 These estimates may overstate the
number of small entities because the revenue figures on which
they are based do not include or aggregate revenues from non-
television or non-radio affiliated companies. There are also
2,212 low power television (``LPTV'') stations.222 Given the
nature of this service, we will presume that all LPTV licensees
qualify as small entities under the SBA definition.
Cable systems. The rules adopted in this proceeding will
also affect small cable entities. The SBA has developed a
definition of small entities for ``Cable and Other Program
Distribution Services,'' which includes all such companies
generating $11 million or less in revenue annually.223 This
definition includes cable system operators, closed circuit
television services, direct broadcast satellite services,
multipoint distribution systems, satellite master antenna
systems, and subscription television services. According to
Census Bureau data from 1992, there were 1,788 total cable and
other program distribution services and 1,423 had less than $11
million in revenue.224
The Commission has developed its own definition of a ``small
cable system'' for purposes of the EAS rules. Cable systems
serving fewer than 10,000 subscribers per headend are considered
small cable systems and are afforded varying degrees of relief
from the EAS rules.225 Based on our most recent information, we
estimate that there are 8,552 cable systems that serve fewer than
10,000 subscribers per headend.226 Consequently, we estimate
that there are fewer than 8,552 small cable systems that may be
affected by the rules adopted herein.
The Communications Act also contains a definition of a small
cable system operator, which is ``a cable operator that, directly
or through an affiliate, serves in the aggregate fewer than 1
percent of all subscribers in the United States and is not
affiliated with any entity or entities whose gross annual
revenues in the aggregate exceed $250,000,000.''227 The
Commission has determined that there are 67,700,000 subscribers
in the United States.228 Therefore, we found that an operator
serving fewer than 677,000 subscribers shall be deemed a small
operator, if its annual revenues, when combined with the total
annual revenues of all of its affiliates, do not exceed $250
million in the aggregate.229 Based on available data, we find
that the number of cable operators serving 677,000 subscribers or
less totals 1,450.230 We do not request nor do we collect
information concerning whether cable system operators are
affiliated with entities whose gross annual revenues exceed
$250,000,000,231 and thus are unable at this time to estimate
with greater precision the number of cable system operators that
would qualify as small cable operators under the definition in
the Communications Act.
Wireless cable systems. The rules adopted in this Report
and Order will also apply to wireless cable systems, which
include Multipoint Distribution Service and Multichannel
Multipoint Distribution Service stations (collectively, ``MDS'')
and Instructional Television Fixed Service (``ITFS'') stations.
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.232 This
definition of small entity in the context of MDS auctions has
been approved by the SBA.233 The Commission completed its MDS
auction in March 1996 for authorizations in 493 basic trading
areas. Of 67 winning bidders, 61 qualified as small entities.
At this time, we estimate that of the 61 small business MDS
auction winners, 48 remain small business licensees.
MDS also includes licensees of stations authorized prior to
the auction. As noted, the SBA has developed a definition of
small entities for program distribution services, which includes
all such companies generating $11 million or less in annual
receipts.234 This definition includes MDS and thus applies to
MDS licensees that did not participate in the MDS auction.
Information available to us indicates that there are
approximately 392 incumbent MDS licensees that do not generate
revenue in excess of $11 million annually. Therefore, we find
that there are approximately 440 small MDS providers as defined
by the SBA and the Commission's auction rules which may be
affected by the rules adopted in this proceeding.
The SBA definition of small entities for program
distribution services also appears to apply to ITFS.235 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.236 However, we do not collect annual revenue data for
ITFS licensees, and are not able to ascertain how many of the 100
non-educational licensees would be categorized as small under the
SBA definition. Thus, we find that at least 1,932 ITFS are small
businesses and may be affected by the rules adopted herein.
D. Description of Reporting, Recordkeeping, and Other
Compliance Requirements
The rules adopted in this Report and Order impose no new
reporting, recordkeeping or compliance requirements on broadcast
stations and cable systems, including wireless cable systems.
This Report and Order adopts a number of new EAS event codes and
location codes which may be used by broadcast stations and cable
systems that participate voluntarily in state and local EAS
activities. Broadcast stations and cable systems will not be
required to upgrade their existing EAS equipment to add these new
event and location codes. Rather, they may upgrade their
existing EAS equipment to add these new codes on a voluntary
basis until the equipment is replaced. All existing and new
models of EAS equipment manufactured after August 1, 2003 will be
required to be capable of receiving and transmitting these new
codes.
The Report and Order also makes revisions to the EAS rules
which will reduce compliance burdens on broadcast stations and
cable systems. The revised rules permit, but do not require,
broadcast stations and cable systems to modify their existing EAS
equipment to selectively display and log EAS messages that
contain state and local event codes. This selectively displaying
and logging feature will relieve broadcast stations and cable
systems from the burden of logging unwanted EAS messages, e.g.,
messages that do not apply to their service area or messages
concerning events which they have decided not to transmit. In
addition, the revised rules increase the period within which
broadcast stations and cable systems must retransmit the Required
Monthly Test (``RMT'') from 15 minutes to 60 minutes. This
revision will provide broadcast stations and cable systems,
including smaller stations and systems, more flexibility to
insert the RMT message into their program schedules without
disrupting programming. Additionally, the rules are revised to
require that the modulation level of EAS codes be at the maximum
possible level, but in no case less than 50% of full channel
modulation limits. This revision brings the EAS rules into
alignment with the modulation levels currently obtainable by
broadcast stations.
E. Steps Taken to Minimize Significant Economic Impact on
Small Entities, and Significant Alternatives Considered
The RFA requires an agency to describe any significant
alternatives that it has considered in reaching its 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 or reporting
requirements under the rule for small entities; (3) the use of
performance rather than design standards; and (4) an exemption
from coverage of the rule, or any part thereof, for such small
entities.237
The Report and Order reduces compliance requirements for
small entities by exempting satellite/repeater broadcast stations
which rebroadcast 100% of the programming of their hub station
from the requirement to install EAS equipment; authorizing cable
systems and wireless cable systems serving fewer than 5,000
subscribers to meet the October 1, 2002 compliance deadline by
installing certified EAS decoders, if such decoders become
available, rather than both encoders and decoders; and delaying
the requirement that LPFM stations install certified EAS decoders
until one year after the Commission publishes in the Federal
Register a public notice indicating that at least one decoder has
been certified.
In adopting new event codes and location codes in this
Report and Order, we took into account concerns raised by
commenters that a requirement to update existing EAS equipment to
add the new codes could impose a financial burden on some
broadcast stations and cable systems, particularly smaller
entities. We therefore declined to require broadcast stations
and cable systems to upgrade existing EAS equipment to add the
new codes. Instead, we opted to permit them to upgrade their
existing equipment on a voluntary basis until the equipment is
replaced. We believe that this approach promotes public safety
by enhancing state and local EAS without imposing additional
costs or burdens on broadcast stations and cable systems that may
have the undesired effect of reducing voluntary participation in
state and local EAS activities. In addition, we declined to
adopt several other proposals, including a proposal to revise
several existing event codes, due to concerns that they would
impose substantial costs on broadcast stations and cable systems.
Report to Congress: The Commission will send a copy of this
Report and Order, including this FRFA, in a report to Congress
pursuant to the Congressional Review Act, see 5 U.S.C. §
801(a)(1)(A). In addition, the Commission will send a copy of
this Report and Order, including the FRFA, to the Chief Counsel
for Advocacy for the Small Business Administration. A copy of
the Report and Order and FRFA (or summaries thereof) will also be
published in the Federal Register. See 5 U.S.C. § 604(b).
_________________________
1 47 C.F.R. §§ 11.1, et seq.
2 Amendment of Part 73, Subpart G, of the Commission's Rules
Regarding the Emergency Broadcast System, Report and Order and
Further Notice of Proposed Rule Making, FO Docket Nos. 91-171/91-
301, 10 FCC Rcd 1786 (1994) (``First Report and Order''),
reconsideration granted in part, denied in part, 10 FCC Rcd 11494
(1995) (``Memorandum Opinion and Order'').
3 Amendment of Part 73, Subpart G, of the Commission's Rules
Regarding the Emergency Broadcast System, Second Report and
Order, FO Docket Nos. 91-171/91-301, 12 FCC Rcd 15503 (1997)
(``Second Report and Order''). For purposes of the EAS rules, a
``wireless cable system'' is a collection of Multipoint
Distribution Service, Multichannel Multipoint Distribution
Service or Instructional Television Fixed Service channels used
to provide video programming and other one-way and two-way
communications services to subscribers. The channels may be
licensed to or leased by wireless cable system operators. See 47
C.F.R. § 11.11(c)(1).
4 Although all broadcast stations, cable systems and wireless
cable systems are required to install EAS equipment, they have
the option of requesting FCC authorization to be Non-
participating National (``NN'') sources. In the event of a
national EAS alert, NN sources are required to transmit a sign-
off announcement and then go off the air. See 47 C.F.R. §§
11.19, 11.41 and 11.54. In addition, Class D noncommercial FM,
low power FM and low power TV stations are required to install
EAS decoders, but are not required to install or operate EAS
encoders. See 47 C.F.R. § 11.11(b).
5 Hereafter, for convenience, we include wireless cable
systems when we refer to cable systems.
6 Notice of Proposed Rulemaking, Amendment of Part 11 of the
Commission's Rules Regarding the Emergency Alert System, 16 FCC
Rcd 7255 (2001).
7 NWS Petition for Rulemaking, RM-9215 (filed December 30,
1997). The Commission staff issued a public notice announcing
the filing of NWS's Petition on January 14, 1998. Comments on
NWS's petition were filed by the Society of Broadcast Engineers.
8 SBE Petition for Rulemaking, RM-9156 (filed August 14,
1997). The Commission staff issued a public notice announcing
the filing of SBE's petition on August 22, 1997. Comments on
SBE's petition were filed by the National Association of
Broadcasters, Fox Television Stations, Inc., Multi-Technical
Services, Inc., and the West Virginia Broadcasters Association.
Reply comments were filed by SBE.
9 A list of the commenters and reply commenters, and the
abbreviations by which they are referred to in this document, is
set forth in Appendix A.
10 NPRM, 16 FCC Rcd at 7257.
11 Under NWS's naming convention, ``warnings'' include
events that pose a significant threat to public safety and/or
property, have a high probability of occurrence in a particular
location, and have a relatively short onset time; ``watches''
include events that pose a significant threat to public safety
and/or property, but either the onset time or probability of
occurrence or location is uncertain; ``emergencies'' include
events that do not meet the definition of warning or watch but
are of such a nature that the information is important and may
require public response; and ``statements'' are follow-up
messages. NPRM, 16 FCC Rcd at 7257.
12 NWS Comments at 1.
13 NWS states that the naming convention was included in
the NWR-SAME specification prior to the manufacture of the first
NWR-SAME weather receivers and NWS believes that all such
receivers have this capability. NWS Comments at 1. RadioShack,
the leading supplier of consumer NWR-SAME weather radios, also
confirms that its weather radios have this capability.
RadioShack Comments at 1-2.
14 SBE Comments at 7; Thunder Eagle Comments at 5-6; Named
StBAs Reply Comments at 3. In addition, the Connecticut
Broadcaster Association Emergency Communications Committee
(``CBA/EAS'') submitted separate comments indicating that it
fully supports and incorporates by reference the comments filed
by Named StBAs. CBA/EAS Comments at 1. Hereafter, we include
CBA/EAS when we refer to Named StBAs.
15 NWS Comments at 2.
16 NCTA Comments at 4-5; NAB Comments at 3-4; Named StBAs
Comments at 6; WSAB/WA SECC Comments at 4.
17 Gorman Comments at 1; TFT Comments at 3.
18 NCTA Comments at 4.
19 Gorman Comments at 1; TFT Comments at 3. These
estimates include the cost of upgrading EAS equipment to revise
existing codes and to add new codes.
20 NCTA Comments at 5.
21 NCTA Comments at 4; Named StBAs Comments at 6; WSAB/WA
SECC Comments at 4; Seven Ranges Comments at 11.
22 NWS Comments at 2.
23 Named StBAs Comments at 7; WSAB/WA SECC Comments at 4.
24 47 C.F.R. § 11.31(e).
25 NPRM, 16 FCC Rcd at 7257.
26 Id. at 7268-69.
27 Id. at 7261. See 47 C.F.R. § 2.1043.
28 See NWS Comments at 2; SBE Comments at 15; NAB Comments
at 3; NCTA Comments at 4; Named StBAs Comments at 7; WSAB/WA SECC
Comments at 4; RadioShack Comments at 3; Cox Comments at 3; Ohio
EMA Comments at 2; Thunder Eagle Comments at 7; Schallenberg
Comments at 2; OAPC Comments at 2; ARMS Comments at 2; NCMEC
Comments at 9; DC AMBER Taskforce Comments at 1; 39 Members of
Congress Comments at 1; Range Telecommunications Comments at 1.
29 Id.
30 Named StBAs Comments at 13; WSAB/WA SECC Comments at
11-12; Ohio EMA Comments at 3-4; TFT Comments at 7-8; Gorman
Comments at 2; Thunder Eagle Comments at 12; NWS Comments at 7;
RadioShack Comments at 3; SBE Reply Comments at 7.
31 Named StBAs Comments at 13; WSAB/WA SECC Comments at
11-12; TFT Comments at 8.
32 Named StBAs Comments at 13; WSAB/WA SECC Comments at
11-12.
33 However, as discussed below, we will amend the rules to
provide that any modifications to existing authorized EAS
equipment that are necessary to implement revisions in EAS codes
are Class I permissive changes that do not require a new
application for and grant of equipment certification.
34 SBE Comments at 7; Ohio EMA Comments at 2; SBE Reply
Comments at 11.
35 NCTA Comments at 4-5; NAB Comments at 4; Thunder Eagle
Comments at 5.
36 NCTA Comments at 4-5.
37 In 1976, the FCC, NWS, the Defense Civil Preparedness
Agency and the National Industry Advisory Committee (``NIAC'')
approved a plan for the use of the former EBS for state and local
emergencies. See Plan for Nationwide Use of the Emergency
Broadcast System for State and Local Emergencies (June 28, 1976).
This plan was revised in 1982 pursuant to a Memorandum of
Understanding between the FCC, the Federal Emergency Management
Agency, NWS and NIAC. See Memorandum of Understanding on State
and Local Emergency Broadcasting System (April 21, 1982).
38 Gorman Comments at 1; TFT Comments at 3; NCTA Comments
at 4.
39 Gorman Comments at 1; TFT Comments at 3. These
estimates include the cost of upgrading EAS equipment to revise
existing codes and to add new codes.
40 See KPVI Comments at 1; Seven Ranges Comments at 11;
NAB Comments at 4.
41 NCTA Comments at 4.
42 Id.
43 NAB Comments at 8.
44 NCTA Comments at 4; WSAB/WA SECC Comments at 3; Named
StBAs Comments at 5.
45 One manufacturer states that if one of its units
receives a new code before it is upgraded, it will print out that
it has received an ``unknown event'' and will not forward the
message. Gorman Comments at 1. Another manufacturer indicates
that its non-upgraded units will not recognize new codes as valid
EAS messages. TFT Comments at 3.
46 Named StBAs Comments at 7; WSAB/WA SECC Comments at 4.
47 SBE Comments at 15; Named StBAs Comments at 7; WSAB/WA
SECC Comments at 4; Gorman Comments at 1.
48 See e.g., NWS Comments at 3-4; SBE Comments at 16-19;
Named StBAs Comments at 8-9; WSAB/WA SECC Comments at 5-6; Cox
Comments at 3-4; Thunder Eagle Comments at 7-8; OAPC Comments at
2-3; NCMEC Comments at 6-10; ARMS Comments at 4; Frost Comments
at 1; DC AMBER Taskforce Comments at 3-4; SBT Comments at 1-2; 39
Members of Congress Comments at 1-2; Range Comments at 1.
49 NPRM, 16 FCC Rcd at 7268.
50 NCMEC Comments at 6-10; OAPC Comments at 3; ARMS
Comments at 4; DC AMBER Taskforce Comments at 3-4; 39 Members of
Congress Comments at 1-2; Lampson Comments at 1-2; Frost Comments
at 1; Range Comments at 1; NAB Comments at 6-8; WSAB/WA SECC
Comments at 6-8; Named StBAs Comments at 7-9; SBE Comments at 16;
SBT Comments at 1-2; KPVI Comments at 1; Named StBAs Reply
Comments at 3; SBE Reply Comments at 3-4. None of the commenters
oppose addition of a specific event code to activate AMBER Plans.
51 NCMEC explains that the acronym ``AMBER'' stands for
``America's Missing: Broadcast Emergency Response.'' NCMEC
Comments at 2.
52 NCMEC Comments at 2-8.
53 NCMEC Comments at 9; 39 Members of Congress Comments at
1; Lampson Comments at 1; OAPC Comments at 3; ARMS Comments at 4;
WSAB/WA SECC Comments at 7; DC AMBER Taskforce Comments at 3-4;
SBT Comments at 1; Named StBAs Comments at 8-9; NAB Comments at
6-7; Range Comments at 1; SBE Reply Comments at 3-4.
54 WSAB/WA SECC Comments at 8.
55 NPRM, 16 FCC Rcd at 7269.
56 WSAB/WA SECC Comments at 6; SBE Comments at 18.
WSAB/WA SECC notes that while the non-precipitation warning codes
are for NWS internal use only, some systems require a manual
translation of the code received into a different code to be
transmitted, and that an operator error could result in the NWS
sending a nuclear power plant warning inadvertently. WSAB/WA
SECC Comments at 6.
57 NWS Comments at 4.
58 SBE Comments at 18; SBE Reply Comments at 4.
59 NPRM, 16 FCC Rcd at 7269.
60 WSAB/WA SECC Comments at 5; SBE Reply Comments at 5-6.
61 NPRM, 16 FCC Rcd at 7269.
62 NWS Comments at 3.
63 SBE Reply Comments at 5.
64 NPRM, 16 FCC Rcd at 7269.
65 SBE Comments at 12.
66 We acknowledge that EAS equipment at broadcast stations
and cable systems which monitor NWR directly will not recognize
these administrative codes and may log an ``unknown event.''
Broadcast stations and cable systems may avoid this minor
inconvenience by upgrading their equipment to incorporate the
selective displaying and logging feature we are authorizing in
this Report and Order. See paragraph 45 below.
67 Thunder Eagle Comments at 8; Martin Reply Comments at
1.
68 SBE Reply Comments at 11.
69 SBE Comments at 15; WSAB/WA SECC Comments at 4.
70 SBE Comments at 16-19; WSAB/WA SECC Comments at 5-6.
71 One equipment manufacturer notes, without elaboration,
that ``the event code table and location code table can't be
unlimited.'' Gorman Comments at 1.
72 NPRM, 16 FCC Rcd at 7257.
73 Specifically, we are not adding the suggested event
codes for Civil Danger Watch, Dust Storm Watch, Earthquake Watch,
Hazardous Materials Watch, Radiological Hazard Watch and Volcano
Watch.
74 NPRM, 16 FCC Rcd at 7259.
75 NCTA Comments at 6.
76 Ohio EMA Comments at 2.
77 SBE Comments at 14-15.
78 Id.
79 Named StBAs Comments at 9-10; WSAB/WA SECC Comments at
8-9.
80 Thunder Eagle Comments at 9-10.
81 SBE Reply Comments at 11.
82 47 C.F.R. § 11.31(f).
83 NPRM, 16 FCC Rcd at 7259-60.
84 Id. at 7270.
85 NWS Comments at 5; NAB Comments at 4; Collins Comments
at 2; Cox Comments at 2; Ohio EMA Comments at 2; Thunder Eagle
Comments at 10.
86 Id. at 10.
87 NWS Reply Comments at 1.
88 Schallenberg Comments at 2.
89 NCTA Comments at 6.
90 NPRM, 16 FCC Rcd at 7260.
91 NWS Comments at 5; SBE Comments at 11; Thunder Eagle
Comments at 11; Cox Comments at 2; Ohio EMA Comments at 2; TFT
Comments at 5.
92 NAB Comments at 5.
93 Memorandum Opinion and Order, 10 FCC Rcd at 11500.
94 TFT Comments at 5.
95 Gorman Comments at 2. See also Seven Ranges Comments
at 13.
96 NWS Comments at 5; SBE Reply Comments at 7.
97 See 47 C.F.R. § 11.31(c). See also Memorandum Opinion
and Order, 10 FCC Rcd at 11500.
98 NPRM, 16 FCC Rcd at 7260-61.
99 RadioShack Comments at 4; Named StBAs Comments at 11;
WSAB/WA SECC Comments at 9-10; NCTA Comments at 6; Ohio EMA
Comments at 3; Thunder Eagle Comments at 11-12; Gorman Comments
at 2; SBE Reply Comments at 6. Only one commenter states that it
is not opposed to customized location coding. TFT Comments at 6.
100 NPRM, 16 FCC Rcd at 7261.
101 NWS Comments at 7.
102 NAB Comments at 3; Named StBAs Comments at 12; NCTA
Comments at 7-8; WSAB/WA SECC Comments at 10-11; SBE Comments at
14; Thunder Eagle Comments at 12; Gorman Comments at 2;
RadioShack Comments at 4-5; Ohio EMA Comments at 19. Cox was the
only commenter which supported revision of NWS's originator code.
Cox Comments at 2-3.
103 NPRM, 16 FCC Rcd at 7262-63.
104 47 C.F.R. § 11.33(a)(3) and (a)(4).
105 The Part 11 rules do not specify how EAS messages must
be logged by EAS equipment. EAS equipment generally logs an EAS
message by printing a record of the message on an external
printer, by storing the message internally, or by storing the
message in an external computer. In addition, broadcast stations
and cable systems are required to make entries of EAS activations
and tests in their station logs or system records.
106 NWS Comments at 7; SBE Comments at 2; NAB Comments at
5; Ohio EMA Comments at 4; Thunder Eagle Comments at 13; TFT
Comments at 8-9.
107 NWS Comments at 7.
108 SBE Comments at 2; SBE Reply Comments at 7-8.
109 See 47 C.F.R. §§ 11.51(l), 11.52(e)(2) and
11.61(a)(1)(v).
110 NPRM, 16 FCC Rcd at 7262.
111 NAB Comments at 6; NCTA Comments at 8; Named StBAs
Comments at 13-14; WSAB/WA SECC Comments at 12; Cox Comments at
7; Ohio EMA Comments at 4; Salem Comments at 1-2; Gorman Comments
at 2.
112 Tharp Comments at 1-2.
113 Heskett Comments at 1.
114 Seven Ranges Comments at 5.
115 SBE Reply Comments at 8.
116 NPRM, 16 FCC Rcd at 7262.
117 SBE Comments at 1-2.
118 RadioShack Comments at 5.
119 NPRM, 16 FCC Rcd at 7263.
120 NAB Comments at 3-4; Named StBAs Comments at 14;
WSAB/WA SECC Comments at 13; NCTA Comments at 9; Cox Comments at
5; NWS Comments at 8; RadioShack Comments at 6; Thunder Eagle
Comments at 14-15; Named StBAs Reply Comments at 7.
121 SBE Comments at 5; SBE Reply Comments at 7.
122 NCTA Comments at 9.
123 Named StBAs Comments at 14; WSAB/WA SECC Comments at
13; Cox Comments at 5; Thunder Eagle Comments at 15.
124 NPRM, 16 FCC Rcd at 7264.
125 SBE Comments at 6; Named StBAs Comments at 16; Cox
Comments at 6-7; and WSAB/WA SECC Comments at 14.
126 SBE Comments at 6; Cox Comments at 6.
127 47 C.F.R. § 11.51.
128 Ohio EMA Comments at 5.
129 See 47 C.F.R. §§ 11.44(c), 11.51(k)(2) and 11.51(l).
130 See 47 C.F.R. §§ 11.51(j) and 11.52(c).
131 ``Key'' stations and systems are broadcast stations and
cable systems that are designated as state or local primary EAS
sources in their EAS plan and thus are monitored by other
stations and systems in their EAS area.
132 NPRM, 16 FCC Rcd at 7263-64.
133 Named StBAs Comments at 15; WSAB/WA SECC Comments at
13, Ohio EMA Comments at 5.
134 NPRM, 16 FCC Rcd at 7264.
135 Ohio EMA reports that the State of Ohio has not
experienced this problem. Ohio EMA Comments at 5.
136 TFT Comments at 10.
137 NPRM, 16 FCC Rcd at 7264-65.
138 The other network used to distribute national level
messages is the Primary Entry Point (``PEP'') system, which was
originally developed to serve as a backup to the EAN network.
The PEP system consists of a nationwide network of broadcast
stations designated as National Primary sources that are
connected with government activation points. 47 C.F.R. §
11.14(b).
139 Memorandum from President William J. Clinton to James
L. Witt, Director, Federal Emergency Management Agency (September
15, 1995).
140 Named StBAs Comments at 16; Ohio EMA Comments at 5.
141 NPRM, 16 FCC Rcd at 7265.
142 47 C.F.R. § 11.54(b)(9).
143 Letter to Douglas W. Garlinger, Chairman, EAS
Compliance Committee, National Association of Shortwave
Broadcasters, Inc., from Arlan K. van Doorn, Deputy Chief,
Compliance and Information Bureau, Federal Communications
Commission (December 20, 1996).
144 Ohio EMA Comments at 5.
145 Public Broadcasters Comments at 4-8.
146 Public Broadcasters Comments at 3 (citing Louisiana
Association of Broadcasters, 57 FCC 2d 648, 651 (1976)).
147 On February 16, 2001, the Public Broadcasters filed a
joint request for a permanent waiver of the requirement to
install EAS equipment for certain satellite/repeater stations
which rebroadcast 100% of their hub station's programming. By
letter dated April 19, 2001, the Commission staff denied this
request, stating that changes of this magnitude are best
addressed in a rulemaking proceeding so that all interested
parties may have the opportunity to comment. Letter from Joseph
P. Casey, Chief, Technical and Public Safety Division,
Enforcement Bureau, Federal Communications Commission, to
Christine J. Newcomb, Dow, Lohnes & Albertson (April 19, 2001).
148 Commission records indicate that there are
approximately 100 satellite/repeater stations which currently
have temporary waivers of the EAS rules and thus would be
eligible for the exemption.
149 NCTA/TDI/NAD Comments at 2-3.
150 47 C.F.R. § 11.11(a).
151 Media Access Project Comments at 1-2.
152 47 C.F.R. § 11.11(b).
153 Creation of a Low Power Radio Service, 15 FCC Rcd 2205,
2282 (2000).
154 Public Notice, DA 01-2775 (released November 30, 2001).
155 A list of the parties which submitted comments on the
public notice, and the abbreviations by which they are referred
to in this document, is set forth in Appendix A.
156 HollyAnne Supplemental Comments at 1; Sage Supplemental
Comments at 1.
157 HollyAnne Supplemental Comments at 1.
158 Sage Supplemental Comments at 1.
159 TFT Supplemental Comments at 4.
160 Id. at 5.
161 Id. at 6-7.
162 Vela Supplemental Comments at 2.
163 ACA Supplemental Comments at 1.
164 WCA Supplemental Comments at 1.
165 SBE Supplemental Comments at 4.
166 47 C.F.R. § 11.33.
167 ACA Supplemental Comments at 1.
168 Second Report and Order, 12 FCC Rcd at 15513, n. 59.
169 47 U.S.C. § 544(g). Section 624(g) provides that
``each cable operator shall comply with such standards as the
Commission shall prescribe to ensure that viewers of video
programming on cable systems are afforded the same emergency
information as is afforded by the emergency broadcasting system
pursuant to Commission regulations ....''
170 CCB Supplemental Comments at 1; Prometheus Supplemental
Comments at 2; Christian Witness Supplemental Comments at 1; KURC
Supplemental Comments at 1; Saunders Supplemental Comments at 1;
Newport Supplemental Comments at 1; Bowles Supplemental Comments
at 1.
171 CCB Supplemental Comments at 2; Prometheus Supplemental
Comments at 2.
172 Lexington Calvary Supplemental Comments at 1;
Viernstein Supplemental Comments at 1.
173 15 FCC Rcd at 2280.
174 Id. at 2282.
175 NPRM, 16 FCC Rcd at 7266.
176 Two commenters argue that the monthly tests are not a
burden to EAS participants and therefore should remain in place.
Named StBAs Comments at 17; WSAB/WA SECC Comments at 14.
177 Two commenters assert that making the attention signal
optional would decrease the effectiveness of EAS at the risk of
public safety. Named StBAs Comments at 17; WSAB/WA SECC Comments
at 14. Two commenters support making the attention signal
optional. Ohio EMA Comments at 5; Seven Ranges Comments at 15.
178 Two commenters support adding the EVI code to the list
of event codes for which retransmission is required. WSAB/WA
SECC Comments at 15; Ohio EMA Comments at 5.
179 SBE Comments at 3; SBE Reply Comments at 9.
180 NAB Comments at 13-15.
181 Second Report and Order, 12 FCC Rcd at 15521. See 47
C.F.R. § 11.51(g)(4).
182 Amendment of Part 73, Subpart G, of the Commission's
Rules Regarding the Emergency Broadcast System, Third Report and
Order, FO Docket Nos. 91-171/91-301, 14 FCC Rcd 1273, 1282-83
(1998) (``Third Report and Order'').
183 NAB Comments at 14.
184 NCTA Reply Comments at 2-3. NCTA also points out that
according to NAB's own estimate, the cost to cable systems of
implementing mandatory selective override would range from
$10,000 to 15,000 per system. Id. at 3 (citing NAB Comments at
14).
185 Third Report and Order, 14 FCC Rcd at 1282.
186 NAB Comments at 11-13; Seven Ranges Comments at 11-13;
Named StBAs Reply Comments at 8-9; SBE Reply Comments at 9.
187 WSAB/WA SECC Comments at 16-17; SBE Comments at 13-14;
NWS Reply Comments at 2.
188 See 47 C.F.R. § 11.31(c).
189 Thunder Eagle Comments at 2-3. For example, Thunder
Eagle states that although Hurricane Watches and Warnings
regularly last for 24 to 48 hour periods, NWS will not encode a
Hurricane Watch or Warning alert message for more than six hours
or reissue the alert after the initial six-hour period.
190 SBE Reply Comments at 12-13.
191 See 5 U.S.C. § 603. The RFA, see 5 U.S.C. § 601 et
seq., has been amended by the Contract With America Advancement
Act of 1996, Pub. L. No. 104-121, 110 Stat. 847 (1996)
(``CWAAA''). Title II of the CWAAA is the Small Business
Regulatory Fairness Enforcement Act of 1996.
192 Notice of Proposed Rulemaking, Amendment of Part 11 of
the Commission's Rules Regarding the Emergency Alert System, 16
FCC Rcd 7255, 7271-76 (2001).
193 5 U.S.C. § 604(a)(3).
194 5 U.S.C. § 601(6).
195 5 U.S.C. § 601(3) (incorporating by reference the
definition of ``small business concern'' in 15 U.S.C. § 632).
Pursuant to the RFA, the statutory definition of a small business
applies ``unless an agency, after consultation with the Office of
Advocacy of the Small Business Administration and after
opportunity for public comment, establishes one or more
definitions of such term which are appropriate to the activities
of the agency and publishes such definition(s) in the Federal
Register.''
196 Small Business Act, 15 U.S.C. § 632 (1996).
197 5 U.S.C. § 601(4).
198 U.S. Department of Commerce, Bureau of the Census, 1992
Economic Census, Table 6 (special tabulation of data under
contract to Office of Advocacy of the U.S. Small Business
Administration).
199 47 C.F.R. § 1.1162.
200 5 U.S.C. § 601(5).
201 U.S. Dept. of Commerce, Bureau of the Census, ``1992
Census of Governments.''
202 Id.
203 13 C.F.R. § 121.201, NAICS code 513120.
204 U.S. Department of Commerce, Bureau of the Census,
Economics and Statistics Administration, 1992 Census of
Transportation, Communications and Utilities, Establishment and
Firm Size, Series UC92-S-1, Appendix A-9 (1995) (``1992 Census,
Series UC92-S-1'').
205 Id.; see Executive Office of the President, Office of
Management and Budget, Standard Industrial Classification Manual
(1987), at 283, which describes ``Television Broadcasting
Stations'' (SIC code 4833, now NAICS code 513120).
206 1992 Census, Series UC92-S-1, at Appendix A-9.
207 Id.; formerly SIC code 7812 (Motion Picture and Video
Tape Production); formerly SIC code 7922 (Theatrical Producers
and Miscellaneous Theatrical Services) (producers of live radio
and television programs).
208 FCC News Release No. 31327 (January 13, 1993); 1992
Census, Series UC92-S-1, at Appendix A-9.
209 FCC News Release, ``Broadcast Station Totals as of
September 30, 2001.''
210 A census to determine the estimated number of
Communications establishments is performed every five years, in
years ending with a ``2'' or ``7.'' See 1992 Census, Series
UC92-S-1, at III.
211 The amount of $10 million was used to estimate the
number of small business establishments because the relevant
Census categories stopped at $9,999,999 and began at $10,000,000.
No category for $10.5 million existed. Thus, the number is as
accurate as it is possible to calculate with the available
information.
212 13 C.F.R. § 121.201, NAICS codes 51311 and 51312.
213 1992 Census, Series UC92-S-1, at Appendix A-9.
214 Id.
215 Id.
216 Id.
217 The Census Bureau counts radio stations located at the
same facility as one establishment. Therefore, each colocated
AM/FM combination counts as one establishment.
218 FCC News Release, No. 31327 (January 13, 1993).
219 FCC News Release, ``Broadcast Station Totals as of
September 30, 2001.''
220 We use the 77% figure of TV stations operating at less
than $10 million for 1992 and apply it to the 2001 total of 1,686
TV stations to arrive at 1,298 stations categorized as small
businesses.
221 We use the 95.65% figure of radio station
establishments with less than $5 million revenue from data
presented in the year 2001 estimate and apply it to the 13,012
individual station count to arrive at 12,550 individual stations
categorized as small businesses.
222 FCC News Release, ``Broadcast Station Totals as of
September 30, 2001.''
223 13 C.F.R. § 121.201, NAICS codes 513210 and 513220.
224 U.S. Department of Commerce, Bureau of the Census, 1992
Economic Census Industry and Enterprise Receipts Size Report,
Table 2D, NAICS codes 513210 and 513220 (U.S. Bureau of the
Census data under contract to the Office of Advocacy of the U.S.
Small Business Administration).
225 The Commission developed this definition based on its
determination that requiring cable systems serving fewer than
10,000 subscribers to comply with the EAS rules immediately may
have an adverse economic effect on their operations. Second
Report and Order, 12 FCC Rcd at 15516-17. Cable systems serving
between 5,000 and 10,000 subscribers per headend must install EAS
equipment and provide audio and video EAS messages on all
programmed channels by October 1, 2002. Cable systems serving
fewer than 5,000 subscribers per headend must either provide the
national level EAS message on all programmed channels or install
EAS equipment and provide a video interrupt and audio alert on
all programmed channels and EAS audio and video messages on at
least one programmed channel by October 1, 2002. See 47 C.F.R. §
11.11.
226 Television and Cable Factbook, Warren Publishing, Inc.,
at I-98 (2000).
227 47 U.S.C. § 543(m)(2).
228 See FCC Announces New Subscriber Count for the
Definition of Small Cable Operator, Public Notice DA 01-158
(January 24, 2001).
229 47 C.F.R. § 76.901(f).
230 See FCC Announces New Subscriber Count for the
Definition of Small Cable Operator, Public Notice DA 01-158
(January 24, 2001).
231 We do receive such information on a case-by-case basis
only if a cable operator appeals a local franchise authority's
finding that the operator does not qualify as a small cable
operator pursuant to Section 76.901(f) of the Commission's Rules.
See 47 C.F.R. § 76.990(b).
232 47 C.F.R. § 21.961(b)(1).
233 See Amendment of Parts 21 and 74 of the Commission's
Rules With Regard to Filing Procedures in the Multipoint
Distribution Service and in the Instructional Television Fixed
Service and Implementation of Section 309(j) of the
Communications Act - Competitive Bidding, MM Docket No. 94-131
and PP Docket No. 93-253, Report and Order, 10 FCC Rcd 9589
(1995).
234 13 C.F.R. § 121.201, NAICS codes 523210 and 523220.
235 Id.
236 5 U.S.C. § 601(3).
237 5 U.S.C. § 603(c)(1) - (c)(4).