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defined by 5 U.S.C. 804(2). This rule
will be effective April 23, 2012.
List of Subjects in 40 CFR Part 355
Environmental protection, Air
pollution control, Chemicals, Disaster
assistance, Hazardous substances,
Hazardous waste, Intergovernmental
relations, Natural resources, Penalties,
Reporting and recordkeeping
requirements, Superfund, Water
pollution control, Water supply.
Dated: March 15, 2012.
Lisa P. Jackson,
Administrator.

[FR Doc. 2012–6910 Filed 3–21–12; 8:45 am]
BILLING CODE 6560–50–P

For the reasons set out in the
preamble, title 40, chapter I of the Code
of Federal Regulations is amended as
follows:

FEDERAL COMMUNICATIONS
COMMISSION

PART 355—EMERGENCY PLANNING
AND NOTIFICATION

47 CFR Part 11

1. The authority citation for part 355
continues to read as follows:

Review of the Emergency Alert System

■

Authority: Sections 302, 303, 304, 325,
327, 328, and 329 of the Emergency Planning
and Community Right-to-Know Act of 1986
(EPCRA) (42 U.S.C. 11002, 11003, 11004,
11045, 11047, 11048, and 11049).

2. Section 355.16 is amended by
revising paragraphs (b) and (c) to read
as follows:

■

§ 355.16 How do I determine the quantity
of extremely hazardous substances present
for certain forms of solids?

*

*
*
*
*
(b) Solid in solution. Multiply the
weight percent of the non-reactive solid
in solution in a particular container by
the total weight of solution in that
container. Then multiply by 0.2.

Note to paragraph (b): This reduction in
quantity must not be used to determine the
amount present at one-time at a facility for
reporting under 40 CFR 370.10.

(c) Solid in molten form. Multiply the
weight of the non-reactive solid in
molten form by 0.3.
Note to paragraph (c): This reduction in
quantity must not be used to determine the
amount present at one-time at a facility for
reporting under 40 CFR 370.10.

3. Section 355.61 is amended by
adding in alphabetical order the
definitions of ‘‘Non-reactive Solid’’,
‘‘Reactive solid’’ and ‘‘Solution’’ to read
as follows:

■

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quantity values, the higher TPQ being
10,000 pounds.
*
*
*
*
*
Reactive solid means any extremely
hazardous substance denoted with ‘‘a’’
in the ‘‘Notes’’ column in Appendix A
or B of this part.
*
*
*
*
*
Solution means any aqueous or
organic solutions, slurries, viscous
solutions, suspensions, emulsions, or
pastes.
*
*
*
*
*

§ 355.61 How are key words in this part
defined?

*

*
*
*
*
Non-reactive solid means any
substance listed in Appendix A or B of
this part with two threshold planning

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[EB Docket No. 04–296; FCC 12–7]

Federal Communications
Commission.
ACTION: Final rule.
AGENCY:

In this document, the Federal
Communications Commission
(Commission) amends its rules
governing the Emergency Alert System
(EAS) to codify the obligation to process
alert messages formatted in the Common
Alerting Protocol (CAP) and to
streamline and clarify these rules
generally to enhance their effectiveness.
DATES: Effective April 23, 2012, except
for 47 CFR 11.21(a), 11.33(a)(4),
11.41(b), 11.42, 11.54(b)(13), and 11.55,
which contain information collection
requirements that have not been
approved by the Office of Management
and Budget (OMB). The incorporation
by reference of certain publications
listed in this rule is approved by the
Director of the Federal Register as of
April 23, 2012. The Commission will
publish a document in the Federal
Register announcing the effective date
of those paragraphs and rule
amendments.
SUMMARY:

Lisa
Fowlkes, Deputy Bureau Chief, Public
Safety and Homeland Security Bureau,
at (202) 418–7452, or by email at
[email protected]. For additional
information concerning the Paperwork
Reduction Act information collection
requirements contained in this
document, contact Judy Boley Hermann
at (202) 418–0214 or send an email to
[email protected].
SUPPLEMENTARY INFORMATION: This is a
summary of the Commission’s Fifth
Report and Order (Fifth Report and
FOR FURTHER INFORMATION CONTACT:

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Order) in EB Docket No. 04–296, FCC
12–7, adopted on January 9, 2012, and
released on January 10, 2012. The full
text of this document is available for
inspection and copying during normal
business hours in the FCC Reference
Center (Room CY–A257), 445 12th
Street SW., Washington, DC 20554. The
complete text of this document also may
be purchased from the Commission’s
copy contractor, Best Copy and Printing,
Inc., 445 12th Street SW., Room CY–
B402, Washington, DC 20554. The full
text may also be downloaded at:
www.fcc.gov.
Synopsis of the Fifth Report and Order
1. In the Fifth Report and Order, the
Commission adopts several changes to
its Part 11 Emergency Alert System
(EAS) rules to more fully codify the
Common Alerting Protocol (CAP)related obligations initially adopted in
the Second Report and Order (Second
Report and Order) in EB Docket No. 04–
296, 72 FR 62123 (Nov. 2, 2007), and to
eliminate outdated rules to improve Part
11’s overall effectiveness. The rule
amendments and other decisions taken
in this Fifth Report and Order are
predicated upon the Third Further
Notice of Proposed Rulemaking (Third
FNPRM) in EB Docket No. 04–296, 76
FR 35810 (June 20, 2011), adopted by
the Commission on May 25, 2011.
I. Background
2. The present-day EAS is a
hierarchical alert message distribution
system that utilizes radio and television
broadcasters, cable service providers,
and other regulated entities (collectively
known as EAS Participants) to transmit
audio and/or visual emergency alert
messages to the public. To initiate an
EAS message, whether at the national,
state, or local levels, the message
originator must format a message in the
EAS Protocol, which is identical to the
Specific Area Message Encoding
(SAME) digital protocol utilized by
National Weather Service (NWS)
(hereinafter, ‘‘EAS Protocol’’ and
‘‘SAME’’ are used interchangeably), and
send the formatted alert to a designated
entry point within the EAS network for
delivery to specialized equipment
maintained and operated by EAS
Participants that can receive (and
decode) the alert for transmission over
the EAS Participants’ facilities to their
end users.
3. In 2007, the Commission adopted
the Second Report and Order in this
docket, which revised the Commission’s
Part 11 EAS rules to lay the foundation
for a state-of-the-art, next-generation
national EAS (Next Generation EAS).
First, to ensure the efficient, rapid, and

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Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
secure transmission of EAS alerts in a
variety of formats (including text, audio,
and video) and via different means
(broadcast, cable, satellite, and other
networks), the Commission required
that EAS Participants be capable of
receiving CAP-formatted alert messages
no later than 180 days after the Federal
Emergency Management Agency
(FEMA) publicly publishes its adoption
of the CAP standard. Second, the
Commission required EAS Participants
to adopt Next Generation EAS delivery
systems no later than 180 days after
FEMA publicly releases standards for
those systems. Third, the Commission
required EAS Participants to transmit
state and local EAS alerts that are
originated by governors or their
designees no later than 180 days after
FEMA publishes its adoption of the CAP
standard, provided that the state has a
Commission-approved State Area EAS
Plan that provides for delivery of such
alerts.
4. CAP is an open, interoperable
XML-based standard, developed within
the Organization for the Advancement
of Structured Information Standards
(OASIS) standards process, which
permits links to voice, audio or data
files, images, multilingual translations
of alerts, and links providing further
information. Although CAP and SAME
both convey data, the two protocols
function in entirely different ways. CAP
essentially represents an envelope into
which data is packaged according to
predetermined fields and packetized for
transmission over various IP-based
mediums, such as the Internet. The
SAME protocol is designed to combine
specific codes that identify alert data
(e.g., type, origin, and area affected)
with an audio message, which are
modulated onto an RF signal using the
audio frequency-shift keying (AFSK)
modulation scheme (this process is
referred to as ‘‘encoding’’).
5. On March 25, 2010, in anticipation
of FEMA’s adoption of CAP, the
Commission’s Public Safety and
Homeland Security Bureau (Bureau)
released a Public Notice (Part 11 Public
Notice) in EB Docket No. 04–296, DA
10–500, released on March 25, 2010,
that sought informal comment regarding
what, if any, Part 11 changes might be
necessitated by the introduction of CAP.
On October 7, 2010, the
Communications Security, Reliability,
and Interoperability Council (CSRIC),
which had been established by the
Commission to, among other things,
recommend revisions to the Part 11
rules in light of FEMA’s then-pending
adoption of CAP, adopted a Final
Report, which included a number of
recommendations for revisions to the

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Part 11 rules related to the obligation to
accept CAP-formatted messages.
6. On September 30, 2010, FEMA
announced its adoption of technical
standards and requirements for CAPformatted EAS alerts. Specifically,
FEMA identified three documents as
defining the FEMA Integrated Public
Alert and Warning System (IPAWS)
technical standards and requirements
for CAP and its implementation: (1) The
OASIS CAP Standard v1.2; (2) an
IPAWS Specification to the CAP
Standard (CAP v1.2 IPAWS USA Profile
v1.0); and (3) the EAS–CAP Industry
Group’s (ECIG) Recommendations for a
CAP–EAS Implementation Guide,
Version 1.0 (May 17, 2010) (ECIG
Implementation Guide). FEMA’s
announced adoption of CAP v1.2
triggered an initial deadline for EAS
Participants to be able to receive CAP
alerts by March 29, 2011.
7. On November 18, 2010, in response
to the recommendations in CSRIC’s
Final Report, as well as to comments
submitted in response to the Part 11
Public Notice, the Commission adopted
an order in EB Docket No. 04–296, FCC
01–191, that extended the 180-day
deadline for meeting the CAP-related
obligations until September 30, 2011
(the Waiver Order). On May 25, 2011,
the Commission adopted the Third
FNPRM, which sought comment on
several proposed changes to the EAS
rules to more fully codify the CAPrelated obligations adopted in the
Second Report and Order, and to
eliminate outdated rules to improve Part
11’s overall effectiveness, and is the
basis for the decisions taken in the Fifth
Report and Order. On September 15,
2011, the Commission adopted the
Fourth Report and Order (Fourth Report
and Order) in EB Docket No. 04–296, 76
FR 80780 (Dec. 27, 2011), which
amended section 11.56 of the EAS rules
to require EAS Participants to be able to
receive CAP-formatted EAS alerts no
later than June 30, 2012.
II. Discussion
8. The Fifth Report and Order adopts
changes to the Part 11 rules to fully
effectuate the CAP-related obligations
adopted in the Second Report and
Order, as well as other rule changes and
clarifications intended to streamline
Part 11 and generally enhance the
overall effectiveness of the EAS, based
upon the rule changes and clarifications
proposed in the Third FNPRM. The
specific rule changes adopted in the
Fifth Report and Order are included in
the rules section.
9. The rule changes and other
decisions taken in the Fifth Report and
Order in response to the Third FNPRM

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are summarized below. Because the
Fifth Report and Order does not impose
new obligations but primarily details
the manner in which EAS Participants
must implement the CAP requirement,
the rules and other decisions adopted in
the Fifth Report and Order impose
minimal new costs, particularly as many
EAS Participants have already
purchased and installed CAPcompatible EAS equipment. In many
cases, these rule changes will result in
decreased costs.
A. Scope of CAP-Related Part 11
Revisions
10. The Commission adopts the
transitional approach for implementing
CAP within the EAS set forth in the
Third FNPRM. Specifically, the
Commission explains that the CAPrelated changes to Part 11 it adopts in
the Fifth Report and Order are limited
to ensuring that EAS Participants’ EAS
equipment will be capable of receiving
and converting CAP-formatted messages
into a SAME-compliant message. The
Commission clarifies that EAS
Participant stations that are generally
charged with encoding (or regenerating)
the EAS Protocol codes (as AFSK tones)
for the benefit of downstream stations
monitoring their transmissions will
continue that function with respect to
alert messages they receive in the CAP
format—just as they would for alert
messages they receive in the SAME
format. However, the Commission
explains, they will be generating the
AFSK tones based upon the relevant
EAS Protocol codes contained within
the CAP message, in conformance with
the ECIG Implementation Guide,
including the audio message contained
in the CAP message, to the extent
required under the Part 11 rules. As part
of this transitional approach, the
Commission also requires EAS
Participants to create video crawls based
upon the enhanced text contained
within the CAP message to the extent
that such text files are provided by the
alert initiator, in conformance with the
relevant procedures set forth in the
ECIG Implementation Guide.
11. The Commission concludes that
this transitional approach is warranted,
primarily because switching over to a
fully CAP-centric EAS system—where
EAS messages are inputted and
outputted in CAP format rather than
SAME format—at this time is
technically infeasible and premature,
because no such CAP-centric system has
been developed. The Commission
further concludes that this transitional
approach makes sense because the many
benefits of maintaining the legacy EAS
previously outlined by the Commission

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in the Second Report and Order
continue to be relevant today. In
addition, the Commission observes that
FEMA has indicated that the legacy EAS
will continue to provide a nationwide
alerting mechanism as part of its IPAWS
system, and FEMA’s adoption of the
standards necessary for formatting alert
messages into CAP and translating such
CAP-formatted messages into SAMEcompliant messages establishes the
groundwork for implementing CAPformatted alert initiation within the
existing EAS system. The Commission
further observes that the record
indicates that EAS equipment
manufacturers have designed and have
been marketing CAP-enabled equipment
that conforms to these FEMA-adopted
standards, and a significant percentage
of EAS Participants already have
procured or contracted for such
equipment, making this transitional
approach both practical and costefficient.
B. Obligation To Accept CAP Messages
12. CAP-Formatted Message
Conversion to SAME. The Commission
adopts its tentative conclusion in the
Third FNPRM to amend § 11.56 to
require EAS Participants to convert
CAP-formatted EAS messages into
SAME-compliant EAS messages in
accordance with the ECIG
Implementation Guide, except for its
provisions on text-to-speech and
gubernatorial CAP messages. The
Commission observes that adopting the
ECIG Implementation Guide as the
standard for translating CAP-formatted
messages into SAME-compliant
messages will harmonize CAP elements
with the Part 11 rules, thus ensuring
that CAP-formatted EAS messages are
converted into SAME-compliant
messages in a consistent, cost-efficient
manner across devices and delivery
platforms. The Commission also
observes that adoption of this
requirement has broad support in the
record.
13. The Commission notes that FEMA
has adopted the ECIG Implementation
Guide as its benchmark for processing
IPAWS-distributed CAP-formatted
messages to the EAS, and many
manufacturers have already designed
EAS equipment that conforms to the
ECIG Implementation Guide, as
demonstrated by their having
completing requirements of FEMA’s
IPAWS Conformity Assessment
Program. The Commission also observes
that successful completion of FEMA’s
IPAWS Conformity Assessment Program
can be used to demonstrate ECIG
Implementation Guide compliance for
purposes of obtaining FCC certification.

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Accordingly, the Commission finds that
the costs of complying with the ECIG
Implementation Guide are minimal.
14. The Commission clarifies that it
will not permit EAS Participants to
adhere to the ECIG Implementation
Guide’s provisions on text-to-speech.
The Commission finds that, although
use of text-to-speech technology has
some support in the record, there are
also concerns in the record about
whether text-to-speech software is
sufficiently accurate and reliable to
deliver consistently accurate and timely
alerts to the public. The Commission
also observes that allowing the text-tospeech conversion to be resolved by
EAS equipment software, as opposed to
text-to-speech software that the alert
message originator might employ, could
result in differing audio messages being
broadcast for the same EAS message,
depending upon which software brand
and version a given equipment
manufacturer elected to incorporate into
its EAS equipment. The Commission
concludes that discussion of text-tospeech and speech-to-text software is
best reserved for a separate proceeding,
and therefore defers these issues at this
time. Finally, the Commission notes that
because it is eliminating the mandate to
process CAP-formatted messages
initiated by state governors, the issue of
conformance with the provisions in the
ECIG Implementation Guide to effect
that mandate are moot.
15. CAP-Related Monitoring
Requirements. The Commission amends
§ 11.52 of its rules to include a
requirement that EAS Participants’ EAS
equipment must interface with and
monitor (whether through ‘‘pull’’
interface technologies, such as Really
Simple Syndication (RSS) and Atom
Syndication Format (ATOM), or ‘‘push’’
interface technologies, such as instant
messaging and email) the IPAWS system
to enable distribution of Federal CAPformatted alert messages from IPAWS to
the EAS Participants’ EAS equipment.
Whereas the Commission had initially
proposed in the Third FNPRM to require
that EAS Participants monitor FEMA’s
IPAWS RSS feed(s) for Federal CAPformatted messages, it concludes that it
is unrealistic to require that EAS
Participants adhere to a specific
technical standard for CAP monitoring.
The Commission also observes that the
technical parameters of the IPAWS
system are still evolving—and the
digital world in which that system
operates is evolving faster still. The
Commission finds that trying to keep up
with these changes while specifying the
technical requirements for Federal CAP
monitoring in the Part 11 rules is
neither practical nor administratively

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efficient. In this regard, the Commission
observes that FEMA changed the
methodology for distributing CAP
messages from its IPAWS system to the
EAS from RSS to ATOM shortly after
the Third FNPRM’s adoption. The
Commission also finds that the flexible
approach to monitoring adopted in the
Fifth Report and Order will benefit
equipment manufacturers by allowing
them to update their equipment designs
as Federal CAP message delivery
mechanisms and technology evolve.
16. Because the Commission in the
Fifth Report and Order eliminates the
obligation to receive and process
gubernatorial CAP-formatted messages,
it does not establish a generally
applicable requirement for state CAP
message monitoring. The Commission
clarifies that the monitoring
requirements associated with CAP
messages initiated via state (and local)
EAS systems will be determined just as
the monitoring requirements for SAMEbased EAS message transmissions
always have been. Specifically, the
Commission indicates that state (and
local) alerting authorities, working with
EAS Participants, will develop state
(and local) CAP alert monitoring
requirements and set these forth in their
State EAS Plans, to be submitted to and
approved by the Commission.
17. Next Generation Distribution
Systems. In the Second Report and
Order, the Commission stated that
‘‘should FEMA announce technical
standards for any Next Generation EAS
alert delivery system, EAS Participants
must configure their networks to receive
CAP-formatted alerts delivered pursuant
to such delivery system, whether
wireline, Internet, satellite or other,
within 180 days after the date that
FEMA announces the technical
standards for such Next Generation EAS
alert delivery.’’ In the Third FNPRM, the
Commission interpreted this language as
being intended to put EAS Participants
on notice that, should FEMA adopt
technical standards covering delivery of
CAP-formatted messages to EAS
Participants over specific platforms,
such as satellite systems, EAS
Participants would ultimately need to
configure their systems to be able to
interface with such systems to meet
their existing obligation to process CAPformatted messages.
18. In the Fifth Report and Order, the
Commission adopts the interpretation of
the language from the Second Report
and Order regarding receipt of CAPformatted messages from Next
Generation EAS delivery systems that it
stated in the Third FNPRM.
Accordingly, the Commission concludes
that if FEMA were to announce

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technical standards for any Next
Generation EAS alert delivery system
for delivering CAP-formatted alerts, the
Commission would seek to amend Part
11 to require that EAS Participants be
capable of receiving such alerts. The
Commission observes that it has no
expectations as to how or whether
FEMA may adopt standards and
requirements for new message and
delivery mechanisms that would modify
existing requirements. The Commission
instead merely clarifies that: (i) Any
such standards or requirements cannot
be enforced with respect to EAS
Participants until the requirements are
formally integrated into the Part 11 rules
via the rulemaking process, and (ii) it
would seek to initiate such a rulemaking
process in a timely manner, with the
goal of making compliance with such
standards or requirements effective
within 180 days of their formal
adoption.
19. Equipment Requirements. The
Fifth Report and Order contains several
CAP-related decisions related to EAS
equipment, as summarized below.
20. Intermediary Devices. The
Commission explains that intermediary
devices are stand-alone devices that
carry out the functions of monitoring
for, receiving, and decoding CAPformatted messages and converting such
messages into a format that can be
inputted into a separate, stand-alone
legacy EAS device to produce an output
that complies with the Part 11 rules.
The Commission observes that the
record indicates that there are two types
of intermediary devices, which may
generally be described as ‘‘universal’’
intermediary devices and ‘‘component’’
intermediary devices. The Commission
explains that universal intermediary
devices monitor, acquire, and decode
CAP messages, using the relevant CAP
data to generate (i.e., encode) the EAS
codes (FSK audio tones) and, if present,
an audio message, which can be
inputted into legacy EAS devices. The
Commission further explains that
because the SAME-formatted message
output of the universal intermediary
device is functionally equivalent to a
SAME-formatted message delivered over
the air, it theoretically should be
interoperable with all or most legacy
EAS decoders. The Commission adds,
however, that because the output of the
universal intermediary device is limited
to the EAS Protocol—which is all that
the legacy EAS device can process—the
configuration of a universal
intermediary device and legacy EAS
device can only generate a SAMEcompliant message; it cannot, for
example, use the enhanced CAP text for
generating a visual display.

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21. The Commission explains that
component intermediary devices, by
contrast, are designed to interoperate
with specific legacy EAS device models.
The Commission observes that
component intermediary devices also
monitor for, acquire, and decode CAP
messages, but are designed to enhance
the function of specific legacy EAS
devices. As a result, the Commission
explains, the output of the combined
system configuration of these devices is
capable of more than simply generating
a SAME-compliant message. The
Commission observes that the record
indicates that such configurations may
permit the use of the enhanced CAP text
to meet the visual display requirements
in §§ 11.51(d), (g)(3), (h)(3), and (j)(2).
22. The Commission observes that,
according to the record, ‘‘integrated
CAP-capable EAS devices’’—i.e., selfcontained, stand-alone devices that
combine the CAP-related functions of
decoding CAP-formatted messages and
converting such messages into a SAMEcompliant output and processing
SAME-formatted messages as encoders
and decoders in accordance with the
Part 11 rules—can be updated via
software or firmware to comply with
any future changes that might be
incorporated into the Part 11 rules, the
CAP standard, or the ECIG
Implementation Guide. The
Commission also observes, however,
that it is unclear whether or to what
extent a combined system configuration
of a component intermediary device and
its companion legacy EAS device model
could be similarly updated.
23. Based on the record and the
transitional approach it adopts for this
proceeding, the Commission concludes
that it will allow EAS Participants to
meet the CAP-related obligations
adopted in the Fifth Report and Order
by using intermediary devices in
tandem with their existing legacy EAS
equipment, provided that such
configuration can comply with the
revised certification requirements
adopted in the Fifth Report and Order
as well as with any applicable Part 11
requirements we may adopt in the
future. The Commission further
concludes, however, that because it is
requiring that EAS Participants utilize
the enhanced text in a CAP message to
provide a visual display, as set forth in
§ 3.6 of the ECIG Implementation Guide,
it will require that any intermediary
devices provide such functionality by
June 30, 2015, which is three years from
the June 30, 2012, deadline for overall
CAP compliance.
24. The Commission finds that this
approach for intermediary devices is
consistent with its baseline goal of

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ensuring that alert messages formatted
pursuant to the CAP-related standards
adopted by FEMA will be converted
into and outputted as SAME-compliant
messages. The Commission observes
that the record indicates that
intermediary devices offer a less costly
way to meet the requirements adopted
in the Fifth Report and Order, and that
some percentage of EAS Participants
already have purchased and deployed
intermediary devices. The Commission
observes that not authorizing the use of
intermediary devices would result in
significant equipment replacement,
installation, and training costs for these
EAS Participants. The Commission
finds that, assuming these intermediary
devices can meet the certification and
other requirements adopted in the Fifth
Report and Order, imposition of the
costs associated with the purchase of
replacement EAS equipment is
unnecessary and unjustified. The
Commission also observes that
intermediary devices will be required to
meet the same requirements and
provide the same capabilities as
integrated CAP-capable EAS devices,
thus putting them on an equal footing.
25. With respect to its decision to
require intermediary devices to be
capable of utilizing the enhanced text in
a CAP message to provide a visual
display, as set forth in § 3.6 of the ECIG
Implementation Guide, by June 30,
2012, the Commission recognizes that it
will likely be technically unfeasible for
universal intermediary devices (and
possibly some component intermediary
devices), as well as the legacy EAS
devices with which they are configured,
to meet this requirement. The
Commission acknowledges that, as a
result, non-conforming equipment
would have to be replaced, but
concludes that any costs associated with
such replacement are consistent with
those that EAS Participants may expect
in the normal course of business,
particularly as much of the underlying
legacy equipment upon which
intermediate devices depend is old and
will soon need to be replaced. The
Commission finds that the
approximately three and one half-year
window it is providing for intermediary
device users is sufficient to allow EAS
Participants to finish depreciating and
then replace this aging legacy EAS
equipment and to allow equipment
manufacturers time to develop possible
workarounds to allow intermediate
devices to become compliant with the
revised rules. The Commission also
observes that among the benefits that
CAP-compliant equipment will bring is
an EAS that is more accessible to all

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Americans, including Americans with
disabilities, who will directly benefit
from this new requirement.
26. Section 11.32(a). The Commission
concludes that it is unnecessary to make
any changes to the minimum encoder
requirements set forth in § 11.32(a)
regarding CAP-to-SAME conversion.
The Commission observes that the
conversion of CAP-to-SAME is
primarily a decoding function that CAPcompliant EAS equipment is designed
to perform. The Commission further
observes that it is not requiring encoders
to encode anything other than the
relevant EAS Protocol elements
described in § .31 that they have always
been required to encode, and that this
is the case regardless of whether the
relevant EAS Protocol elements are
derived from a CAP-formatted message
or a SAME-formatted message.
27. Section 11.32(a)(2) and (a)(3). The
Commission revises the encoder input
port configuration requirements in
§ 11.32(a)(2) to require that encoders be
configured with at least one audio input
port and at least one data input port.
The Commission also deletes as
unnecessary references to RS232–C and
1200 baud rate, which manufacturers
may continue to make available, if they
so desire. The Commission concludes
that decisions concerning the total
number and types of data input ports
configured into encoders are best left to
equipment manufacturers, so that they
can respond to the monitoring
requirements of the CAP systems with
which EAS equipment may interface
(such as IPAWS and state CAP systems),
changes in technology, and costs of
compliance. The Commission also finds
that, for the sake of consistency with its
transitional approach, the input
configuration requirements should
continue to require audio and data
connectivity. Finally, the Commission
applies the minimal requirement of at
least one audio port and at least one
data port to the encoder output port
configuration requirements in
§ 11.32(a)(3), because it finds that the
rationale above applies equally to the
output ports and the record strongly
supports such application.
28. Section 11.33(a). The Commission
revises the minimum requirements for
decoders in § 11.33(a) of the
Commission’s rules to include the
capability to decode CAP-formatted
messages and convert them into SAME
protocol-compliant messages, as set
forth in § 11.56 and clarify that this
requirement can be met through the
deployment of an intermediary device.
The Commission observes that the
fundamental purpose of decoders is to
ingest and process EAS messages,

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whether formatted in the SAME or CAP
protocols, and adding CAP reception to
§ 11.33(a) will put CAP on the same
footing as SAME. The Commission also
finds it appropriate to clarify in
§ 11.33(a) that intermediary devices may
be used to meet the fundamental
decoder requirement of converting CAP
messages into SAME-compliant
messages.
29. Section 11.33(a)(1) and (a)(7). For
the same reasons described above with
respect to encoder input configuration
requirements, the Commission revises
the decoder input configuration
requirements in § 11.33(a)(1) to require
at least one data input port (this section
already requires the capability to receive
‘‘at least two audio inputs’’). The
Commission also deletes as unnecessary
any references to RS232–C and 1200
baud. The Commission revises the
decoder output configuration
requirements in § 11.33(a)(7) to reflect
these changes.
30. Section 11.33(a)(4). The
Commission amends § 11.33(a)(4) to
include selective display and logging of
the text that was compiled from CAPformatted messages. The Commission
finds that this revision is necessary to
harmonize CAP-formatted message
processing with SAME-formatted
message processing. The Commission
observes that its decision is supported
by EAS equipment manufacturers, the
industry affected by the rule revision,
and that the revision imposes no
additional technical obligations or costs
either to these manufacturers or to EAS
Participants.
31. Section 11.33(a)(10). The
Commission adopts its tentative
conclusion set forth in the Third
FNPRM to decline CSRIC’s
recommendation to revise § 11.33(a)(10)
to require use of the CAP-formatted
message where a duplicate SAMEformatted message was also received.
The Commission observes that the ECIG
Implementation Guide includes a
process for handling CAP messages
where a duplicate SAME-formatted
message also has been received, which
prefers (but does not require) use of the
CAP version. The Commission also
observes that it is requiring CAP-toSAME conversion in conformance with
the ECIG Implementation Guide, which
should satisfy the underlying thrust of
CSRIC’s recommendation.
32. Section 11.33(a)(11). The
Commission revises § 11.33(a)(11) to
ensure that EAN messages receive
priority over all other EAS messages,
regardless of whether the EAN message
was received via the audio port or data
port, or was formatted in SAME or CAP.
The Commission finds that this action is

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necessary because as currently written,
§ 11.33(a)(11) could be interpreted to
require a preference for SAMEformatted EAN messages received via
over-the-air broadcast monitoring over
duplicate CAP versions of the same
message received via the data input
port. The Commission also finds that
such action is necessary to ensure that
EAS equipment consistently gives EANs
priority, regardless of how it receives
them.
33. Miscellaneous Rule Changes
Related to Fully Implementing CAP. The
Fifth Report and Order contains several
CAP-related decisions related to more
fully implementing CAP within Part 11,
as summarized below.
34. Section 11.1. The Commission
concludes that the existing language
defining the purpose of the EAS in
§ 11.1, which covers Federal, state, and
local government users, and their
designees, is broad enough to capture all
authorized users of the EAS, whether
they initiate SAME-formatted messages
or CAP-formatted messages.
Accordingly, the Commission declines
CSRIC’s recommendation to revise
§ 11.1 to include new CAP-related alert
originators.
35. Section 11.11. The Commission
amends § 11(a) to delete the reference
therein to ‘‘analog television broadcast
stations’’ and to include as a minimum
requirement compliance with the CAPrelated requirements in § 11.56. The
Commission observes that the reference
to ‘‘analog television broadcast stations’’
is obsolete in light of the fact that since
June 13, 2009, all full-power U.S.
television stations have broadcast overthe-air signals in digital only. The
Commission also finds that
incorporating the CAP-related
obligations in § 11.56 by reference into
section 11.11(a) is necessary to put CAP
and SAME on an equal footing in Part
11.
36. Section 11.11 equipment
deployment tables. The Commission
adopts the revisions to the equipment
deployment tables in § 11.11 proposed
in the Third FNPRM. Specifically, the
Commission amends the equipment
deployment tables in § 11.11 by adding
a footnote to the ‘‘EAS decoder’’ entries
in the tables to clarify that the obligation
to receive and translate CAP-formatted
messages may be met by deploying an
intermediary device. The Commission
finds that because the tables in § 11.11
already require deployment of EAS
decoders, a reference to intermediary
devices (which are stand-alone
equipment in their own right) is
required for consistency in light of its
decision to permit EAS Participants to
deploy intermediary devices to meet

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their CAP-related obligations. The
Commission also deletes the date
references in the equipment deployment
tables in § 11.11 (as well as crossreferences to these dates in other
sections of Part 11, such as § 11.51(c)
and (d)), along with the entry for twotone encoders. The Commission finds
that this action is required for
consistency and has support in the
record.
37. The Commission also concludes
that incorporating monitoring
requirements or references thereto into
§ 11.11 is unnecessary. The Commission
observes that no party filed comments
on this issue directly. The Commission
further observes that decoders already
are required to meet the monitoring
requirements in § 11.52, which it is
amending to include CAP monitoring.
Accordingly, the Commission concludes
that the basic requirement to deploy a
decoder (or intermediary device)
necessarily triggers CAP monitoring
obligations.
38. Section 11.20. The Commission
concludes that § 11.20 of the
Commission’s rules need not be revised
to accommodate the distribution of CAP
messages, as recommended by CSRIC, or
to incorporate CAP monitoring, as
recommended by parties responding to
the Part 11 Public Notice. Specifically,
the Commission concludes that the
language in § 11.20 is broad enough to
encompass EAS messages originated in
CAP format, to the extent that a given
state relay network is involved in the
distribution of that state’s CAPformatted alert messages. The
Commission also observes that it does
not know what role the state relay
network will or will not play in the
distribution of CAP messages in each
state (or locality), or whether these will
be consistent for all states (and
localities). The Commission defers
specifying how state and local SAMEformatted and CAP-formatted EAS
messages are distributed to state and
Local Area EAS Plans.
39. Section 11.21. The Commission
amends the State Area EAS Plan
requirements in section 11.21(a) to make
clear that the State EAS Plans specify
the monitoring assignments and the
specific primary and backup path for
SAME-formatted EANs and that the
monitoring requirements for CAPformatted EANs are set forth in § 11.52.
The Commission observes that it does
not know what role, if any, state alerting
systems may play in disseminating
CAP-formatted EANs in the future.
Accordingly, the Commission also
includes language that to the extent a
state may distribute CAP-formatted
EANs to EAS Participants via its state

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alerting system, its State EAS Plan must
include specific and detailed
information describing how such
messages will be aggregated and
delivered, just as it must for state CAPformatted non-EAN messages.
40. The Commission observes that its
proposal in the Third FNPRM to clarify
§ 11.21(a) (and 11.55(a)) that the
mandate to process gubernatorial alerts
applies to CAP alerts has become moot
in light of its decision to eliminate the
obligation that EAS Participants receive
and process CAP-formatted
gubernatorial alerts. The Commission
also observes, however, that detailed
information describing how stateoriginated CAP-formatted messages will
be aggregated and distributed to EAS
Participants, including applicable
monitoring requirements, must be
detailed in the State EAS Plans, just as
the equivalent information for SAMEformatted alerts always has been, and
amends § 11.21(a) to make this clear.
41. Section 11.21(c). The Commission
defers taking any action regarding the
FCC Mapbook, requirements in
§ 11.21(c) of the Commission’s rules,
until, at a minimum, it has completed
its review of the test data it will be
receiving from EAS Participants as a
result of the November 9, 2011,
Nationwide EAS Test.
42. Section 11.31(a)(3). In light of its
decisions to require conversion of CAPformatted messages into the existing
EAS Protocol for transmission over the
current EAS architecture, the
Commission finds that the language in
§ 11.31(a)(3) limiting the EAS Protocol
message to audio, video, or text remains
valid and thus declines to revise the
language in § 11.31(a) to better reflect
CAP’s capabilities.
43. Section 11.35(a). The Commission
amends sections 11.35(a) and (b) to
clarify that these sections apply to all
equipment used as part of the EAS,
including all equipment that performs
the functions of decoding and encoding
messages formatted in the EAS Protocol
and the Common Alerting Protocol. The
Commission observes that §§ 11.35(a)
and (b) apply to EAS Encoders and
Decoders and have terms that are broad
enough to capture both integrated CAPcapable EAS devices as well as
intermediary devices, but nonetheless
clarifies the language in these sections
to remove any ambiguity on this issue.
44. Section 11.45. The Commission
declines to adopt CSRIC’s
recommendation to revise § 11.45 to
prohibit CAP messages lacking ‘‘Actual’’
status indicators. The Commission
observes that the language in § 11.45
already broadly prohibits the
transmission of the EAS codes or

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16693

attention signal ‘‘in any circumstances
other than in an actual National, State
or Local area emergency.’’ The
Commission finds that this language is
sufficiently broad to encompass EAS
codes and attention signals generated
from the receipt of a SAME-formatted or
CAP-formatted message. The
Commission also observes that the ECIG
Implementation Guide, which the
Commission adopts as the standard for
CAP-to-SAME conversion, already
requires that CAP messages have an
‘‘ACTUAL’’ status indicator for EAS
activation.
45. Section 11.51. The Commission
adopts the tentative conclusion in the
Third FNPRM that there is no basis for
adopting CSRIC’s recommendation to
revise the language in section 11.51 of
the Commission’s rules to state that
equipment must be capable of
transmitting (or ‘‘rendering’’) a CAPcompliant message to EAS. The
Commission observes that to the extent
CSRIC meant to revise § 11.51 to ensure
conversion of CAP messages into
SAME-compliant messages, that
requirement has been incorporated into
section 11.56. The Commission also
observes that this is a fundamental
requirement that will be crossreferenced in other sections of Part 11.
46. Section 11.51(d), (g)(3), (h)(3), and
(j)(2). The Commission amends
§ 11.51(d), (g)(3), (h)(3), and (j)(2) of the
Commission’s rules to require EAS
Participants to derive the visual display
elements, including the originator,
event, location and the valid time
period of the EAS message, from the
CAP text data as described in section 3.6
of the ECIG Implementation Guide. The
Commission observes that every
commenter addressing this issue
favored allowing EAS Participants to
construct the video crawl from the
enhanced text in CAP per the ECIG
Implementation Guide. The
Commission further observes that the
ECIG Implementation Guide provides
procedures for deriving the video crawl
translation of a CAP-formatted message
to include not only the EAS codes
required under the Part 11 rules, but
also additional text relating to the event,
which it believes would provide more
visual information to alert message
viewers. The Commission observes that
the utility of such additional text has
never been in question. The
Commission explains, for example, that
the ability to provide additional
descriptive information will make alerts
more focused, which could be vitally
important for Amber alerts and other
alerts that require more specific
information than the basic who, what,
when and where that EAS codes

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provide. The Commission also observes
that CAP alert originators will also be
able to include in alerts suggested
actions to avoid or prepare for the
emergency condition; identify URLs and
other sources of additional information;
or provide a textual translation of the
audio portion of a message, which
would be particularly beneficial to the
deaf and hard of hearing community.
47. The Commission concludes that
its concerns expressed in the Third
FNPRM regarding the potential for
confusion that might arise if stations
serving the same geographic area
displayed differing video crawls (one
based on the SAME elements only and
the other based on the enhanced CAP
text) are outweighed by the benefit that
the enhanced text provides. The
Commission observes that such
scenarios would arise only when one (or
more) of the stations in the geographic
area affected by the emergency loses its
ability to receive CAP messages but
continues to receive over-the-air SAME
messages. The Commission also
observes that the ECIG Implementation
Guide procedure for displaying
enhanced CAP text has already been
adopted by the industry and FEMA. The
Commission also finds that requiring
display of enhanced CAP text will
provide an incentive for state and local
alert message originators to deploy and
use CAP-based alert systems and
integrate such CAP systems with the
EAS and FEMA’s IPAWS system.
48. The Commission clarifies that it
will continue to use the EAS header
codes as the baseline requirement for
the visual display. The Commission
acknowledges that these codes take up
some portion of the 1800 characters
available for scrolling and that the EAS
header codes may not always
sufficiently describe the alert. However,
the Commission nonetheless finds that
some measure of uniformity and
consistency in how alert messages are
processed over the EAS is necessary. In
this regard, the Commission observes
that the ECIG Implementation Guide
does not specify minimum descriptive
information, and thus if the baseline
requirement to include the EAS header
codes were eliminated, there is no
guarantee that such basic information
would be included by the CAP message
originator, and descriptive information
could vary greatly from state to state and
locality to locality. The Commission
also finds that ensuring that the EAS
header codes are included in CAP
messages is critical because stations
responsible for regenerating (via the
AFSK encoding process) a CAP alert
message that has been converted into a
SAME-compliant message for the

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benefit of downstream monitoring
stations can only encode the EAS
header codes.
49. Section 11.54. The Commission
declines to adopt CSRIC’s
recommendations to mandate that CAPformatted messages be broadcast only if
the scope of the alert is ‘‘Public,’’ and
to revise § 11.54(b)(1) to include IPAWS
monitoring. The Commission observes
that it is only requiring EAS equipment
to produce a SAME-compliant output,
and there is no requirement in the EAS
Protocol, or more broadly, in the Part 11
rules, to broadcast only ‘‘Public’’ EAS
messages. The Commission also
observes that the ECIG Implementation
Guide, with which the Commission is
requiring conformance, already specifies
that EAS Participants must ignore CAPformatted messages with a value in the
‘‘scope’’ field other than ‘‘Public.’’ With
respect to CSRIC’s proposal to revise
§ 11.54(b)(1) to include IPAWS
monitoring, the Commission observes
that it is deleting § 11.54(b)(1), and
therefore this issue is moot.
50. Waivers. The Commission
concludes that it would not be
appropriate to adopt any form of blanket
exemption from the basic obligations of
monitoring for, receiving, and
processing CAP-formatted messages.
The Commission finds that waivers or
exemptions from these requirements are
best addressed on a case-by-case basis
under the waiver standard, where the
facts and circumstances of each
individual case can be determined on its
own merits. The Commission observes,
however, that the primary method of
distributing CAP messages will be via a
broadband Internet connection and
concludes that the physical
unavailability of broadband Internet
service offers a presumption in favor of
a waiver. The Commission clarifies that
any waiver based on the physical
unavailability of broadband Internet
access likely would not exceed six
months, with the option of renewal if
circumstances have not changed. The
Commission also clarifies that questions
concerning whether the cost of
broadband Internet access in a given
geographic area (or other potential
substitute CAP alert distribution
mechanisms) would constitute grounds
for a waiver of the basic CAP-related
obligations would be relative to the facts
and circumstances of an individual
case. The Commission observes that to
the extent a waiver applies, the affected
party would be required to continue to
operate its legacy EAS equipment.
51. The Commission rejects the
request of the American Cable
Association to exempt cable systems of
500 subscribers or less from the Part 11

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rules, concluding that there is no
evidence that the costs of meeting the
CAP-related obligations would
jeopardize any class of entities subject
to the Part 11 rules or are otherwise
unreasonable. The Commission clarifies
that noncommercial educational
broadcast satellite stations operating
pursuant to a ‘‘main studio waiver’’
need not deploy CAP-capable EAS
equipment, provided that the EAS
equipment deployed at the parent (hub)
station site meets all applicable CAPrelated and other requirements set forth
in the Fifth Report and Order.
C. EAS Equipment Certification
52. The Commission incorporates
conformance with the ECIG
Implementation Guide into its existing
equipment certification process. The
Commission concludes that EAS
equipment must be certified as CAP
compliant because it is amending Part
11 to require CAP-to-SAME conversion
in conformance with the ECIG
Implementation Guide, and thus, as part
of the required Part 11 functions, it
necessarily falls under Part 11’s
certification requirements.
53. In terms of implementation, the
Commission finds that the test
procedures developed and utilized in
FEMA’s IPAWS CA program constitute
the most logical basis for demonstrating
compliance with the CAP compliance
requirements. The Commission further
finds that integrated CAP-capable EAS
devices that have passed the
conformance testing performed under
FEMA’s IPAWS CA program may use
the Supplier’s Declaration of Conformity
(SDoC) issued under that program to
demonstrate CAP-to-SAME conversion
in conformance with the ECIG
Implementation Guide. The
Commission also finds that integrated
CAP-capable EAS devices that have not
already passed the conformance testing
performed under FEMA’s IPAWS CA
program must independently show
conformance with the ECIG
Implementation Guide through device
testing pursuant to the test procedures
developed and utilized in FEMA’s
IPAWS CA program. The Commission
indicates that such testing can be
performed by (i) the National Incident
Management System (NIMS) Support
Center—Supporting Technology
Evaluation Project (STEP), which has
assumed the role of testing for CAP and
IPAWS profile compliance for EAS
devices from the IPAWS CA program, or
(ii) any other entity. The procedures and
time periods for all cases described
above are summarized as follows:
Æ For integrated CAP-capable EAS
devices that already have FCC

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Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
certification, the grantee must submit a
Class II Permissive Change filing that
includes: (i) A cover letter explaining
that the purpose of the filing is to
apprise the Commission that the device
has been tested for compliance with the
ECIG Implementation Guide pursuant to
the procedures adopted in this order
and that the filing is being made to
update the device’s existing certification
file; (ii) a statement signed by the
grantee of the device’s underlying FCC
equipment authorization confirming
compliance with section 11.56 of the
Commission’s rules; and (iii) a copy of
either (a) the IPAWS CA program SDoC,
if tested under FEMA’s program; (b) the
NIMS SDoC, if tested under the NIMS
CAP testing program; or (c) for devices
tested outside these programs, a copy of
the test report showing that the device
passed the test elements. If the
integrated CAP-capable EAS device has
already been marketed, the Class II
Permissive Change filing must be
submitted by June 30, 2012, the effective
deadline for overall CAP compliance.
Æ For integrated CAP-capable EAS
devices that do not already have FCC
certification, the grantee must include
with the FCC certification application
materials: (i) A cover letter explaining
that the device has been tested for
compliance with the ECIG
Implementation Guide pursuant to the
procedures adopted in this order; (ii) a
statement signed by the grantee
confirming compliance with section
11.56 of the Commission’s rules; and
(iii) a copy of either (a) the IPAWS CA
program SDoC, if tested under FEMA’s
IPAWS CA program, (b) the NIMS
SDoC, if tested under the NIMS CAP
testing program, or (c) for devices tested
outside these programs, a copy of the
test report showing that the device
passed the test elements.
54. Intermediary Devices. As a
preliminary matter, the Commission
finds that universal intermediary
devices and component intermediary
devices perform encoder or decoder
functions and as such are subject to
certification under § 11.34 of the
Commission’s rules. Specifically, the
Commission observes that universal
intermediary devices monitor, acquire,
and decode CAP messages, using the
relevant CAP data to generate (i.e.,
encode) the EAS codes (FSK audio
tones) and if present, an audio message,
which can be received by the audio
input of a legacy EAS device just as it
would receive any other over-the-air
SAME-formatted message. Accordingly,
the Commission finds that universal
intermediary devices are subject to
certification both as decoders and

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encoders under § 11.34(a) and (b) of our
rules, respectively.
55. The Commission observes that
component intermediary devices also
monitor for, acquire, and decode CAP
messages, but because they are
configured to interface with a specific
legacy EAS device model, they may be
capable of communicating the extracted
data to the companion legacy EAS
device model in a non-AFSK format and
thus may not themselves be encoding
the SAME data. The Commission
concludes that under these
circumstances, a component
intermediary device would not be
subject to certification as an encoder
under § 11.34(a) in its capacity as a
stand-alone device. The Commission
also observes, however, that component
intermediary devices are designed for
and intended to be operated with
specific legacy EAS device models.
Accordingly, the Commission finds that
the output of the combined system
configuration of these devices performs
encoding functions which subjects such
configuration to certification under
§ 11.34(a). In addition, the Commission
observes that component intermediary
devices perform decoding functions in
their capacity as stand-alone devices
that subject them to certification under
§ 11.34(b).
56. With respect to incorporating
conformance with the ECIG
Implementation Guide for intermediary
devices into the existing certification
process, the Commission observes that
FEMA’s IPAWS CA program tested
intermediary devices for conformance
with the ECIG Implementation Guide.
Given the nature of the two types of
intermediary devices, the Commission
concludes that the test procedures
developed and utilized in FEMA’s
IPAWS CA program for testing
intermediary devices constitute a
sufficient basis for demonstrating
compliance with the ECIG
Implementation Guide in a way that
would impose minimal costs on the
affected parties. Accordingly, the
Commission concludes that the
streamlined certification processes
outlined above for integrated CAPcapable EAS devices are equally
suitable for intermediary devices.
However, with respect to certification
testing for ECIG Implementation Guide
compliance and Part 11 compliance, the
Commission concludes that, because
component intermediary devices are
designed and intended to be operated
with specific legacy EAS device models,
certification testing for ECIG
Implementation Guide compliance and
Part 11 compliance of these devices
must be performed on the combined

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system—i.e., the component
intermediary device as configured with
the specific legacy EAS device model(s)
with which it is marketed and intended
to be used. The Commission also
clarifies that universal type
intermediary devices can be tested as
stand-alone devices. The procedures
and time periods for all cases described
above are summarized as follows:
Æ For intermediary devices that
already have FCC certification, the
grantee must submit a Class II
Permissive Change filing that includes:
(i) A cover letter explaining that the
purpose of the filing is to apprise the
Commission that the device has been
tested for compliance with the ECIG
Implementation Guide pursuant to the
procedures adopted in this order and
that the filing is being made to update
the device’s existing certification file;
and (ii) a copy of either (a) the IPAWS
CA program SDoC, if tested under
FEMA’s IPAWS CA program; (b) the
MINS SDoC, if tested under the NIMS
CAP testing program; or (c) for devices
tested outside these programs, a copy of
the test report showing that the device
passed the test elements. If the
intermediary device has already been
marketed, the Class II Permissive
Change filing must be submitted by June
30, 2012, the effective deadline for
overall CAP compliance.
Æ For intermediary devices that do
not already have FCC certification, the
grantee must include with the FCC
certification application materials: (i) A
cover letter explaining that the device
has been tested for compliance with the
ECIG Implementation Guide pursuant to
the procedures adopted in this order;
and (ii) a copy of either (a) the IPAWS
CA program SDoC, if tested under
FEMA’s IPAWS CA program; (b) the
NIMS SDoC, if tested under the NIMS
CAP testing program; or (c) for devices
tested outside these programs, a copy of
the test report showing that the device
passed the test elements.
57. Modified Equipment. The
Commission concludes that the existing
requirements governing modifications to
certified equipment in section 2.1043 of
the Commission’s rules are sufficient to
cover CAP-enabled equipment. The
Commission clarifies that modifications
to authorized EAS equipment that are
necessary to implement revisions to the
EAS event codes, originator codes, or
location codes set forth in section 11.31
may be implemented as Class I
permissive changes. The Commission
also observes that any future revisions
to the CAP-related standards adopted by
FEMA could not become effective in the
Part 11 rules absent a rulemaking
proceeding.

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E. CAP Messages Originated by State
Governors
58. The Commission concludes that
the mandate to receive and transmit
CAP-formatted messages initiated by
state governors is not necessary at this
time and is potentially detrimental to
effective deployment of CAP-based
alerts. Accordingly, the Commission
eliminates the mandate from Part 11. In
arriving at this determination, the
Commission observes that there are a
number of practical problems associated
with implementing the mandate within
the existing EAS system architecture,
and overcoming these problems would
likely impose significant costs on and
disruption to its transitional approach
for accommodating CAP within the
EAS. The Commission points out as
particularly problematic the issue of
whether and how the gubernatorial
CAP-formatted message could be
converted into an EAS Protocolformatted message for the benefit of
downstream monitoring stations. The
Commission observes, for example, that
the ECIG Implementation Guide
procedures for identifying a CAP
message as being from a governor only
works for an EAS Participant that
receives the CAP message, as the CAPformatted gubernatorial alert cannot be
converted and encoded as an existing
EAS Protocol-formatted message.
59. The Commission also observes
that adding a new originator code to
make the gubernatorial CAP mandate
operational within the legacy EAS
domain presents a range of problems.
The Commission points out, for
example, that such a revision to the EAS
Protocol would require updates to every
integrated CAP-capable EAS device,
intermediary device, and legacy EAS
device, the latter of which may not be
capable of being updated and would
have to be replaced (along with any
intermediary device with which they
might be configured). The Commission
also points out that implementing the
mandatory gubernatorial alert within
the revised EAS rules would present
other equally troubling issues for which
there are no ready or obvious technical
solutions. The Commission observes
that these problems include
implementing priority status within
CAP for a gubernatorial alert and
mandating broadcast of a category of
messages that do not specify an actual
emergency. The Commission further
observes that such an open ended
mandate might, in some cases, allow the
issuance of a mandatory message that
may be inappropriate for an alert.
60. The Commission also questions
whether the mandatory gubernatorial

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alert requirement would provide any
tangible benefit. The Commission
observes that while the mandate was
adopted in 2007 as an incentive to
encourage and facilitate state use of the
EAS network, it does not appear that
this rationale applies today. In this
regard, the Commission observes that
approximately twenty-four states
(including one territory) have either
deployed CAP systems or are in the
planning stages of deploying CAP
systems, and given the current
economic climate, it seems unlikely that
states that have not already deployed or
begun plans to deploy CAP systems will
do so simply because of an enforceable
mandate to carry CAP-formatted
gubernatorial messages. The
Commission further observes that there
is near universal voluntary participation
by EAS Participants in carrying state
and local EAS messages. Accordingly,
the Commission concludes that having
an enforceable means to guarantee
carriage of gubernatorial CAP alert
messages seems unnecessary. Finally,
the Commission observes that FEMA’s
IPAWS will provide a means for a State
governor, or the governor’s authorized
representative, to issue targeted CAPbased alerts, not only over the EAS, but
over mobile devices.
F. Revising the Procedures for
Processing EANs
61. The Commission amends the Part
11 EAS rules so that EANs will be
processed on a message-by-message
basis, like any other EAS message, only
on a mandatory and priority basis. As
part of this rule simplification, the
Commission eliminates the Emergency
Action Termination (EAT) event code.
Under the Commission’s revised
approach, receipt of an EAN will
effectively open an audio channel
between the originating source and the
EAS Participant’s facilities until the
EAS Participant receives an End of
Message (EOM) code. After the EAS
Participant receives the EOM, the EAS
equipment will return to regular
programming until receipt of the next
EAS message. If that message is another
EAN, then the process would repeat; if
that message is a state or local EAS
message, then that message would be
aired in accordance with the
specifications in the State or Local Area
EAS Plan. The Commission concludes
that revising the rules governing EAN
processing is necessary because they
were designed to accommodate the EAN
Network, which was phased out in
1995, and purely manual operation. The
Commission also observes that the
current EAN processing rules do not
translate well for automated operation,

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are confusing, and in some cases,
inconsistent with other Part 11 rules.
62. With respect to the question raised
in the Third FNPRM regarding whether
to eliminate the option for EAS
Participants to manually process EANs
(but not state or local EAS messages),
the Commission finds that it would be
premature to take any action on such
matter until after it has reviewed the test
data from the November 9, 2011,
Nationwide EAS Test. Accordingly, the
Commission defers taking any action on
this matter at this time.
63. Revising Section 11.54. The
Commission deletes §§ 11.54(b)(1), (3),
(4), (10), and 11.54(c) from the Part 11
rules. The Commission finds that these
provisions are superfluous in the
context of the message-by-message
processing it is adopting for EANs.
64. Deleting Section 11.42. The
Commission deletes § 11.42 from the
Part 11 rules because it no longer serves
any purpose.
65. Eliminating the EAS Operating
Handbook. With respect to the question
raised in the Third FNPRM regarding
whether to eliminate the EAS Operating
Handbook, the Commission finds that it
would be premature to take any actions
on such matter until after it has
reviewed the test data from the
November 9, 2011, Nationwide EAS
Test. Accordingly, the Commission
defers taking any action on this issue at
this time.
66. However, the Commission is
deleting §§ 11.54(a), (b)(2), and (5)–(8)
because they serve no purpose under
the message-by-message processing
approach it adopts for handling EANs.
The Commission observes that these
provisions all refer to procedures set
forth in the EAS Operating Handbook
designed to implement the National
Emergency Condition, which the
Commission is eliminating. The
Commission observes that if it elects to
retain the EAS Operating Handbook, it
will at most serve as an informational
document to aid EAS Participant
personnel in handling EAS messages
manually and will not itself establish
any procedures (such as on-air
announcements) that must be followed.
67. Non-Participating National (NN)
Sources. The Commission eliminates
NN status on the grounds that it is not
necessary. Accordingly, the Commission
deletes references to NN status from
§§ 11.18, 11.41, 11.54, and 11.55 of the
Commission’s rules, and deletes § 11.19
altogether. The Commission clarifies
that any existing stations operating
under NN status must meet the full
message-by-message EAN processing
requirements, and CAP-related
requirements, by the June 30, 2012,

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general deadline for processing CAPformatted messages. The Commission
finds that elimination of NN status is
warranted because it does not appear to
serve any purpose today, as NN entities
already are required to deploy a decoder
that complies with all EAS message
processing requirements and follow all
of the EAN processing requirements,
except broadcasting the audio message.
The Commission also observes that
there are relatively few NN stations, and
that no entity with or without NN status
filed comments objecting to the
proposal to eliminate NN status raised
in the Third FNPRM.
68. Deleting Section 11.44. The
Commission deletes § 11.44 from the
Part 11 rules on grounds that this
section is superfluous under the
message-by-message approach adopted
by the Commission for processing
EANs. Although priority for EANs
already is provided for in the other
sections of Part 11, the Commission also
incorporates language on EAN
preemption and priority into the
definition of the EAN in section 11.2.
69. Revising Section 11.53. The
Commission deletes § 11.53 from the
Part 11 rules as superfluous in light of
its decisions to delete almost all of
§ 11.54 and implement message-bymessage processing for EANs. For
informational purposes, however, the
Commission incorporates the relevant
language in § 11.53(a) and (b),
describing Federal, State, and local
origination of the EAN, into the
definition of EAN in § 11.2 and clarifies
that such origination applies only to
EANs formatted and transmitted in
accordance with the EAS Protocol
requirements in § 11.31.
70. Revising Section 11.11(a). The
Commission revises section 11.11(a) to
remove the references therein to
‘‘participating broadcast networks, cable
networks and program suppliers; and
other entities and industries operating
on an organized basis during
emergencies at the National, State and
local levels’’ on grounds that these
references are a holdover from the
Emergency Broadcasting System (EBS)
rules and serve no purpose under the
message-by-message approach adopted
by the Commission for processing
EANs.
71. Deleting Section 11.16. With
respect to the question raised in the
Third FNPRM regarding whether to
delete § 11.16, the Commission observes
that the test data from the November 9,
2011, Nationwide EAS Test, which is
under review, may provide insight on
this matter. Accordingly, the
Commission defers taking any action on
this issue at this time.

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72. However, the Commission is
deleting § 11.54(b)(12) and
incorporating that section’s requirement
for Primary Entry Point (PEP) stations to
follow the National Control Point
Procedures into § 11.16.
G. Miscellaneous Part 11 Revisions Not
Related to CAP
73. LP–1 Definition. The
Commission’s assessment of State EAS
Plans confirms that there are both radio
and TV stations serving as LP–1 stations
and it therefore revises the definition for
LP–1 stations in section 11.2(b) to
reflect that these stations can be a radio
or a TV station.
74. PEP Definition. The Commission
deletes section 11.14, which describes
PEP stations, from the Part 11 rules
because it mirrors the definition of PEP
stations in section 11.2(a) and is
therefore superfluous. The Commission
also revises section 11.2(a) to delete the
numerical reference to the actual
number of PEP stations in existence,
and clarify that the PEP stations
distribute EAS messages in accordance
with the EAS Protocol requirements in
section 11.31.
75. EAN and EAT Definitions. The
Commission deletes section 11.13 from
the Part 11 rules and folds the definition
for the EAN currently in section 11.13
into section 11.2. The Commission
observes that the proper location in Part
11 for the EAN definition, currently at
section 11.13(a), is the definitions
section in section 11.2. Because the
Commission also is deleting the EAT,
the remaining subsection in section
11.13, section 11.13(b), which describes
the EAT, is superfluous, leaving no
purpose for retaining section 11.13 in
Part 11.
76. Geographic Codes. The
Commission changes the references to
the Federal Information Processing
Standard (FIPS) numbers (as described
by the U.S. Department of Commerce in
National Institute of Standards and
Technology publication FIPS PUB 6–
4.FIPS number codes) in sections 11.31
and 11.34(d) of the Commission’s rules
to reflect the American National
Standards Institute (ANSI) Codes
INCITS 31.200x (Formerly FIPS 6–4),
Codes for the Identification of Counties
and Equivalent Entities of the United
States, its Possessions, and Insular
Areas standard that superseded it. The
Commission observes that the FIPS
standard is outdated and requires
revision to keep the Part 11 rules
current.
77. LPTV and LPFM. The Commission
revises the analog and digital broadcast
station equipment deployment table in
section 11.11(a) of the Commission’s

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16697

rules to correctly identify ‘‘LPFM’’ (Low
Power FM) and ‘‘LPTV’’ (Low Power
TV) in their respective columns. The
Commission also revises sections
11.61(a)(1)(i) and 11.61(a)(2)(ii) to
include LPFM stations. The
Commission observes that these
corrections are necessary to ensure that
the rules reflect prior decisions.
78. Attention Signal. The Commission
concludes that the Attention Signal
continues to serve a useful purpose in
the EAS framework as an audio
notification to the general public that an
alert is about to be aired, and therefore
will retain the Attention Signal in the
Part 11 rules. However, the Commission
revises section 11.32(a)(9)(iv) to require
that the Attention Signal be set to eight
seconds in duration, which reflects
what has become common practice and
ensures that when the signal is aired, it
is done in a consistent manner. In
addition, the Commission deletes
section 11.33(b), which establishes
Attention Signal requirements for
decoders, because these requirements
were used for demuting and activation
functions that do not apply to the EAS.
The Commission also deletes section
11.12, which specifies that EBS
Attention Signal encoders and decoders
can remain in operation until January 1,
1998, because this section is obsolete.
79. Section 11.33(a)(9). With respect
to the decoder reset requirements
specified in section 11.39(a)(9) of the
Commission’s rules, the Commission
finds that EAS Participants should be
allowed to relay, for the benefit of
downstream monitoring stations,
messages they received that did not
include an EOM within the reset time
limit set on their decoder (presumably,
two minutes). More specifically, the
Commission finds that when a non-EAN
alert exceeds that two minute mark, the
EAS Participant’s EAS device should be
allowed to generate an EOM to make up
for the EOM that was not received with
the original message. The Commission
observes that the record indicates that
current EAS equipment already
functions in this manner, and that there
are many reasons why an EOM might
not arrive before the reset value triggers
that have nothing to do with the
reliability of the message. The
Commission further observes that the
only way to ensure that an EOM did
arrive for a given EAS message prior to
the reset value would be to delay relay
of that message until the entire message
and its EOM has been received, which
could take up to two minutes (or more),
which it concludes is not in the public
interest.
80. Section 11.33(a)(3)(ii). The
Commission declines to eliminate the

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requirement in section 11.33(a)(3)(ii) to
delete messages upon expiration of their
time periods, as proposed in the Third
FNPRM. The Commission concludes
that the valid time period should
continue to be set by the message
originator, which is the party most
responsible for the public’s safety. The
Commission also observes that EAS
Participants have repeatedly stressed
that they do not want the responsibility
of alert origination, and allowing them
to air expired alerts would effectively
put them in that role.
81. Training. The Commission
reiterates that it lacks the authority to
raise or distribute funds for EAS-related
purposes and therefore cannot provide
training for state and local emergency
managers. The Commission observes,
however, that it can hold workshops
and summits as part of its outreach
mission. The Commission also observes
that it intends to examine the relative
merits of making the FCC Mapbook and
EAS Operator Handbook more
informative and useful for EAS
Participants and their personnel.
82. Persons with Disabilities. The
Commission observes that its decision
to require EAS Participants to meet the
video display requirements in sections
11.51(d), (g)(3), (h)(3), and (j)(2) by using
the enhanced text in the CAP message
will enable CAP alert message
originators to provide a transcript of the
audio message, which helps harmonize
the EAS rules with the requirements of
section 79.2 of the Commission’s rules.
The Commission also observes that
requiring display of enhanced CAP text
will provide an incentive for state and
local alert message originators to deploy
and use CAP-based alert systems. The
Commission believes that providing
state and local alert message originators
with a conduit for the transmission of
transcripts of the audio portions of their
messages should encourage alert
originators to craft messages that will
provide accessible alerting for persons
with hearing and vision disabilities.
83. Proposals Beyond the Scope of the
Fifth Report and Order. The
Commission identifies several issues
raised by comments responding to the
Third FNPRM that were not raised in
the Third FNPRM. Because these issues
were not raised in the Third FNPRM, the
Commission does not resolve them in
the Fifth Report and Order.
III. Procedural Matters
A. Regulatory Flexibility Analysis
84. As required by the Regulatory
Flexibility Act of 1980, see 5 U.S.C. 603,
the Commission has prepared a Final
Regulatory Flexibility Analysis (FRFA)

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of possible significant economic impact
on small entities of the policies and
rules addressed in this document. The
FRFA is set forth in Appendix A.
B. Paperwork Reduction Act Analysis
85. This Fifth Report and Order
adopts modified information collection
requirements subject to the Paperwork
Reduction Act of 1995 (PRA), Public
Law 104–13. These modified
requirements will be submitted to the
Office of Management and Budget
(OMB) under an emergency request for
review under Section 3507(d) of the
PRA. OMB, the general public, and
other Federal agencies are invited to
comment on the new or modified
information collection requirements
contained in this proceeding. In
addition, the Commission notes that
pursuant to the Small Business
Paperwork Relief Act of 2002, Public
Law 107–198, see 44 U.S.C. 3506(c)(4),
it previously sought specific comment
on how the Commission might further
reduce the information collection
burden for small business concerns with
fewer than 25 employees.
86. In this present document, the
Commission has assessed the effects of
revisions to current Part 11 reporting,
recordkeeping, or compliance
requirements as set forth in this Fifth
Report and Order, and does not expect
these revisions to alter the
recordkeeping burden of any EAS
Participants to any appreciable degree.
There are no results specific to
businesses with fewer than 25
employees.
C. Congressional Review Act
87. The Commission will send a copy
of this Fifth Report and Order to
Congress and the Government
Accountability Office pursuant to the
Congressional Review Act (‘‘CRA’’), see
5 U.S.C. 801(a)(1)(A).
IV. Ordering Clauses
88. Accordingly, it is ordered that
pursuant to sections 1, 2, 4(i), 4(o), 301,
303(r), 303(v), 307, 309, 335, 403,
624(g), 706, and 715 of the
Communications Act of 1934, as
amended, 47 U.S.C. 151, 152, 154(i),
154(o), 301, 303(r), 303(v), 307, 309,
335, 403, 544(g), 606, and 615, this Fifth
Report and Order is adopted.
89. It is further ordered that the rules
adopted herein will become effective
thirty (30) days after the date of their
publication in the Federal Register,
except for any reporting, recordkeeping
or third-party collection requirements
that contain new or modified
information collections. Those rules
will become effective on the date

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specified in a Commission notice
published in the Federal Register
announcing their approval under the
Paperwork Reduction Act by the Office
of Management and Budget.
90. It is further ordered that the
Commission’s Consumer and
Governmental Affairs Bureau, Reference
Information Center, shall send a copy of
this Fifth Report and Order, including
the Regulatory Flexibility Analysis, to
the Chief Counsel for Advocacy of the
Small Business Administration.
List of Subjects in 47 CFR Part 11
Incorporation by reference, Radio,
Television.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.

For the reasons discussed in the
preamble, the Federal Communications
Commission amends 47 CFR Part 11 as
follows:
PART 11—EMERGENCY ALERT
SYSTEM (EAS)
1. The authority citation for part 11
continues to read as follows:

■

Authority: 47 U.S.C. 151, 154(i) and (o),
303(r), 544(g) and 606.
■

2. Revise § 11.2 to read as follows:

§ 11.2

Definitions.

The definitions of terms used in part
11 are:
(a) Emergency Action Notification
(EAN). The Emergency Action
Notification is the notice to all EAS
Participants and to the general public
that the EAS has been activated for a
national emergency. EAN messages that
are formatted in the EAS Protocol
(specified in § 11.31) are sent from a
government origination point to
broadcast stations and other entities
participating in the PEP system, and are
subsequently disseminated via EAS
Participants. Dissemination
arrangements for EAN messages that are
formatted in the EAS Protocol (specified
in § 11.31) at the State and local levels
are specified in the State and Local Area
plans (defined at § 11.21). A national
activation of the EAS for a Presidential
message with the Event code EAN as
specified in § 11.31 must take priority
over any other message and preempt it
if it is in progress.
(b) Primary Entry Point (PEP) System.
The PEP system is a nationwide
network of broadcast stations and other
entities connected with government
activation points. It is used to distribute
EAS messages that are formatted in the
EAS Protocol (specified in § 11.31),
including the EAN and EAS national

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test messages. FEMA has designated
some of the nation’s largest radio
broadcast stations as PEPs. The PEPs are
designated to receive the Presidential
alert from FEMA and distribute it to
local stations.
(c) Local Primary One (LP–1). The LP–
1 is a radio or TV station that acts as a
key EAS monitoring source. Each LP–1
station must monitor its regional PEP
station and a back-up source for
Presidential messages.
(d) EAS Participants. Entities required
under the Commission’s rules to comply
with EAS rules, e.g., analog radio and
television stations, and wired and
wireless cable television systems, DBS,
DTV, SDARS, digital cable and DAB,
and wireline video systems.
(e) Wireline Video System. The system
of a wireline common carrier used to
provide video programming service.
(f) Participating National (PN). PN
stations are broadcast stations that
transmit EAS National, state, or local
EAS messages to the public.
(g) National Primary (NP). Stations
that are the primary entry point for
Presidential messages delivered by
FEMA. These stations are responsible
for broadcasting a Presidential alert to
the public and to State Primary stations
within their broadcast range.

(h) State Primary (SP). Stations that
are the entry point for State messages,
which can originate from the Governor
or a designated representative.
(i) Intermediary Device. An
intermediary device is a stand-alone
device that carries out the functions of
monitoring for, receiving and/or
acquiring, and decoding EAS messages
formatted in the Common Alerting
Protocol (CAP) in accordance with
§ 11.56, and converting such messages
into a format that can be inputted into
a separate EAS decoder, EAS encoder,
or unit combining such decoder and
encoder functions, so that the EAS
message outputted by such separate
EAS decoder, EAS encoder, or unit
combining such decoder and encoder
functions, and all other functions
attendant to processing such EAS
message, comply with the requirements
in this part.
■ 3. Amend § 11.11 by revising
paragraphs (a) and (d) to read as follows:
§ 11.11
(EAS).

The Emergency Alert System

(a) The EAS is composed of analog
radio broadcast stations including AM,
FM, and Low-power FM (LPFM)
stations; digital audio broadcasting

(DAB) stations, including digital AM,
FM, and Low-power FM stations; Class
A television (CA) and Low-power TV
(LPTV) stations; digital television (DTV)
broadcast stations, including digital CA
and digital LPTV stations; analog cable
systems; digital cable systems which are
defined for purposes of this part only as
the portion of a cable system that
delivers channels in digital format to
subscribers at the input of a
Unidirectional Digital Cable Product or
other navigation device; wireline video
systems; wireless cable systems which
may consist of Broadband Radio Service
(BRS), or Educational Broadband
Service (EBS) stations; DBS services, as
defined in § 25.701(a) of this chapter
(including certain Ku-band FixedSatellite Service Direct to Home
providers); and SDARS, as defined in
§ 25.201 of this chapter. These entities
are referred to collectively as EAS
Participants in this part, and are subject
to this part, except as otherwise
provided herein. At a minimum EAS
Participants must use a common EAS
protocol, as defined in § 11.31, to send
and receive emergency alerts, and
comply with the requirements set forth
in § 11.56, in accordance with the
following tables:

TABLE 1—ANALOG AND DIGITAL BROADCAST STATION EQUIPMENT DEPLOYMENT REQUIREMENTS
EAS equipment requirement

AM & FM

Digital AM &
FM

Analog & digital FM class
D

Analog &
digital LPFM

DTV

Analog &
digital class
A TV

Analog &
digital LPTV

EAS decoder 1 ............................
EAS encoder ..............................
Audio message ..........................
Video message ..........................

Y
Y
Y
N/A

Y
Y
Y
N/A

Y
N
Y
N/A

Y
N
Y
N/A

Y
Y
Y
Y

Y
Y
Y
Y

Y
N
Y
Y

1 EAS Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocolcompliant messages by deploying an Intermediary Device, as specified in § 11.56(b).

Analog Cable Systems
Analog cable systems are subject to
the requirements in Table 2 below.

Analog cable systems serving fewer than
5,000 subscribers from a headend may
either provide the National level EAS
message on all programmed channels

including the required testing, or
comply with the requirements in
Table 2.

TABLE 2—ANALOG CABLE SYSTEM EQUIPMENT DEPLOYMENT REQUIREMENTS
EAS equipment requirement

≥5,000
subscribers

<5,000
subscribers

Y
Y
Y

Y
Y2
N

N

Y

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EAS decoder 1 .............................................................................................................................................
EAS encoder ................................................................................................................................................
Audio and Video EAS Message on all channels ........................................................................................
Video interrupt and audio alert message on all channels;3 Audio and Video EAS message on at least
one channel ..............................................................................................................................................

1 EAS Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocolcompliant messages by deploying an Intermediary Device, as specified in § 11.56(b).
2 Analog cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. [Note: Programmed channels do not include channels used for the transmission of data such as interactive games.]

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Wireless Cable Systems (BRS/EBS
Stations)
Wireless cable systems are subject to
the requirements in Table 3 below.

Wireless cable systems serving fewer
than 5,000 subscribers from a single
transmission site must either provide
the National level EAS message on all

programmed channels including the
required testing, or comply with the
requirements in Table 3.

TABLE 3—WIRELESS CABLE SYSTEM EQUIPMENT DEPLOYMENT REQUIREMENTS
EAS equipment requirement

≥5,000
subscribers

<5,000
subscribers

Y
Y
Y

Y
Y2
N

N

Y

EAS decoder 1 .............................................................................................................................................
EAS encoder ................................................................................................................................................
Audio and Video EAS Message on all channels 3 ......................................................................................
Video interrupt and audio alert message on all channels; 4 Audio and Video EAS message on at least
one channel ..............................................................................................................................................
1 EAS

Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocolcompliant messages by deploying an Intermediary Device, as specified in § 11.56(b).
2 Wireless cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 All wireless cable systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated
channel that carries the required audio and video EAS messages.
4 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. [Note: Programmed channels do not include channels used for the transmission of data services such as Internet.]

Digital Cable Systems and Wireline
Video Systems
Digital cable systems and Wireline
Video Systems must comply with the

requirements in Table 4 below. Digital
cable systems and Wireline Video
Systems serving fewer than 5,000
subscribers from a headend must either

provide the National level EAS message
on all programmed channels including
the required testing, or comply with the
requirements in Table 4.

TABLE 4—DIGITAL CABLE SYSTEM AND WIRELINE VIDEO SYSTEM EQUIPMENT DEPLOYMENT REQUIREMENTS
EAS equipment requirement

≥5,000
subscribers

<5,000
subscribers

Y
Y
Y

Y
Y2
N

N

Y

EAS decoder 1 .............................................................................................................................................
EAS encoder ................................................................................................................................................
Audio and Video EAS Message on all channels 3 ......................................................................................
Video interrupt and audio alert message on all channels; 4 Audio and Video EAS message on at least
one channel ..............................................................................................................................................
1 EAS

Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocolcompliant messages by deploying an Intermediary Device, as specified in § 11.56(b).
2 Digital cable systems and wireline video systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install
an FCC-certified decoder.
3 All digital cable systems and wireline video systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages.
4 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert
must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. [Note: Programmed channels do not include channels used for the transmission of data services such as Internet access.]

SDARS AND DBS
EAS equipment requirement

SDARS

DBS

EAS decoder 1 .............................................................................................................................................
EAS encoder ................................................................................................................................................
Audio message on all channels 2 ................................................................................................................
Video message on all channels 2 ................................................................................................................

Y
Y
Y
N/A

Y
Y
Y
Y

mstockstill on DSK4VPTVN1PROD with RULES

1 EAS Participants may comply with the obligations set forth in § 11.56 to decode and convert CAP-formatted messages into EAS Protocolcompliant messages by deploying an Intermediary Device, as specified in § 11.56(b).
2 All SDARS and DBS providers may comply with this requirement by providing a means to switch all programmed channels to a
predesignated channel that carries the required audio and video EAS messages or by any other method that ensures that viewers of all channels
receive the EAS message.

*

*
*
*
*
(d) Local franchise authorities may
use any EAS codes authorized by the
FCC in any agreements.
*
*
*
*
*
§ 11.12
■

§ 11.13
■

5. Remove and reserve § 11.13.

§ 11.14
■

[Removed and Reserved]

[Removed and Reserved]

6. Remove and reserve § 11.14.

[Removed and Reserved]

4. Remove and reserve § 11.12.

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§ 11.18

[Amended]

7. Amend § 11.18 by removing
paragraph (f).

■

§ 11.19

[Removed]

8. Remove § 11.19.
■ 9. Amend § 11.21 by revising
paragraph (a) to read as follows:
■

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Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
§ 11.21 State and Local Area plans and
FCC Mapbook.

*

*
*
*
*
(a) The State EAS Plan contains
procedures for State emergency
management and other State officials,
the NWS, and EAS Participants’
personnel to transmit emergency
information to the public during a State
emergency using the EAS. State EAS
Plans should include a data table, in
computer readable form, clearly
showing monitoring assignments and
the specific primary and backup path
for emergency action notification (EAN)
messages that are formatted in the EAS
Protocol (specified in § 11.31), from the
PEP to each station in the plan. If a
state’s emergency alert system is capable
of initiating EAS messages formatted in
the Common Alerting Protocol (CAP),
its State EAS Plan must include specific
and detailed information describing
how such messages will be aggregated
and distributed to EAS Participants
within the state, including the
monitoring requirements associated
with distributing such messages.
*
*
*
*
*
■ 10. Amend § 11.31 by revising
paragraphs (c), (e) and (f) to read as
follows:
§ 11.31

EAS protocol.

mstockstill on DSK4VPTVN1PROD with RULES

*

*
*
*
*
(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-EEEPSSCCC+TTTT-JJJHHMM-LLLLLLLL(one second pause)
[PREAMBLE]ZCZC-ORG-EEEPSSCCC+TTTTpJJJHHMMLLLLLLLL-(one second pause)
[PREAMBLE]ZCZC-ORG-EEEPSSCCC+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.

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ZCZC—This is the identifier, sent as
ASCII characters ZCZC to indicate the
start of ASCII code.
ORG—This is the Originator code and
indicates who originally initiated the
activation of the EAS. These codes are
specified in paragraph (d) of this
section.
EEE—This is the Event code and
indicates the nature of the EAS
activation. The codes are specified in
paragraph (e) of this section. The
Event codes must be compatible with
the codes used by the NWS Weather
Radio Specific Area Message Encoder
(WRSAME).
PSSCCC—This is the Location code and
indicates the geographic area affected
by the EAS alert. There may be 31
Location codes in an EAS alert. The
Location code uses the codes
described in the American National
Standards Institute (ANSI) standard,
ANSI INCITS 31–2009 (‘‘Information
technology—Codes for the
Identification of Counties and
Equivalent Areas of the United States,
Puerto Rico, and the Insular Areas’’).
Each state is assigned an SS number
as specified in paragraph (f) of this
section. Each county and some cities
are assigned a CCC number. A CCC
number of 000 refers to an entire State
or Territory. P defines county
subdivisions as follows: 0 = all or an
unspecified portion of a county, 1 =
Northwest, 2 = North, 3 = Northeast,
4 = West, 5 = Central, 6 = East, 7 =
Southwest, 8 = South, 9 = Southeast.
Other numbers may be designated
later for special applications. The use
of county subdivisions will probably
be rare and generally for oddly shaped
or unusually large counties. Any
subdivisions must be defined and
agreed to by the local officials prior to
use.
+TTTT—This indicates the valid time
period of a message in 15 minute
segments up to one hour and then in
30 minute segments beyond one hour;
i.e., +0015, +0030, +0045, +0100,
+0430 and +0600.
JJJHHMM—This is the day in Julian
Calendar days (JJJ) of the year and the
time in hours and minutes (HHMM)
when the message was initially
released by the originator using 24
hour Universal Coordinated Time
(UTC).
LLLLLLLL—This is the identification of
the EAS Participant, NWS office, etc.,
transmitting or retransmitting the
message. These codes will be
automatically affixed to all outgoing
messages by the EAS encoder.

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16701

NNNN—This is the End of Message
(EOM) code sent as a string of four
ASCII N characters.
*
*
*
*
*
(e) The following Event (EEE) codes
are presently authorized:
Nature of activation
National Codes (Required):
Emergency Action Notification
(National only).
National Information Center ....
National Periodic Test .............
Required Monthly Test ............
Required Weekly Test ............
State and Local Codes (Optional):
Administrative Message ..........
Avalanche Warning .................
Avalanche Watch ....................
Blizzard Warning .....................
Child Abduction Emergency ...
Civil Danger Warning ..............
Civil Emergency Message ......
Coastal Flood Warning ...........
Coastal Flood Watch ..............
Dust Storm Warning ...............
Earthquake Warning ...............
Evacuation Immediate ............
Fire Warning ...........................
Flash Flood Warning ...............
Flash Flood Watch ..................
Flash Flood Statement ............
Flood Warning .........................
Flood Watch ............................
Flood Statement ......................
Hazardous Materials Warning
High Wind Warning .................
High Wind Watch ....................
Hurricane Warning ..................
Hurricane Watch .....................
Hurricane Statement ...............
Law Enforcement Warning .....
Local Area Emergency ...........
Network Message Notification
911 Telephone Outage Emergency.
Nuclear Power Plant Warning
Practice/Demo Warning ..........
Radiological Hazard Warning
Severe Thunderstorm Warning
Severe Thunderstorm Watch ..
Severe Weather Statement ....
Shelter in Place Warning ........
Special Marine Warning ..........
Special Weather Statement ....
Tornado Warning ....................
Tornado Watch .......................
Tropical Storm Warning ..........
Tropical Storm Watch .............
Tsunami Warning ....................
Tsunami Watch .......................
Volcano Warning .....................
Winter Storm Warning ............

E:\FR\FM\22MRR1.SGM

22MRR1

Event codes

EAN.
NIC
NPT.
RMT.
RWT.

ADR.
AVW 1.
AVA 1.
BZW.
CAE 1.
CDW 1.
CEM.
CFW 1.
CFA 1.
DSW 1.
EQW 1.
EVI.
FRW 1.
FFW.
FFA.
FFS.
FLW.
FLA.
FLS.
HMW 1.
HWW.
HWA.
HUW.
HUA.
HLS.
LEW 1.
LAE 1.
NMN 1.
TOE 1.
NUW 1.
DMO.
RHW 1.
SVR.
SVA.
SVS.
SPW 1.
SMW 1.
SPS.
TOR.
TOA.
TRW 1.
TRA 1.
TSW.
TSA.
VOW 1.
WSW.

16702

Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations

Nature of activation
Winter Storm Watch ................

Event codes
WSA.

1 Effective

May 16, 2002, analog radio and
television broadcast stations, analog cable
systems and wireless cable systems may upgrade their existing EAS equipment to add
these event codes on a voluntary basis until
the equipment is replaced. All models of EAS
equipment manufactured after August 1, 2003
must be capable of receiving and transmitting
these event codes. EAS Participants that install or replace their EAS equipment after February 1, 2004 must install equipment that is
capable of receiving and transmitting these
event codes.

(f) The State, Territory and Offshore
(Marine Area) ANSI number codes (SS)
are as follows. County ANSI numbers
(CCC) are contained in the State EAS
Mapbook.

mstockstill on DSK4VPTVN1PROD with RULES

ANSI No.
State:
AL .................................................................................................................................................................................................
AK .................................................................................................................................................................................................
AZ .................................................................................................................................................................................................
AR .................................................................................................................................................................................................
CA .................................................................................................................................................................................................
CO ................................................................................................................................................................................................
CT .................................................................................................................................................................................................
DE .................................................................................................................................................................................................
DC .................................................................................................................................................................................................
FL ..................................................................................................................................................................................................
GA .................................................................................................................................................................................................
HI ..................................................................................................................................................................................................
ID ..................................................................................................................................................................................................
IL ...................................................................................................................................................................................................
IN ..................................................................................................................................................................................................
IA ..................................................................................................................................................................................................
KS .................................................................................................................................................................................................
KY .................................................................................................................................................................................................
LA .................................................................................................................................................................................................
ME ................................................................................................................................................................................................
MD ................................................................................................................................................................................................
MA ................................................................................................................................................................................................
MI ..................................................................................................................................................................................................
MN ................................................................................................................................................................................................
MS ................................................................................................................................................................................................
MO ................................................................................................................................................................................................
MT .................................................................................................................................................................................................
NE .................................................................................................................................................................................................
NV .................................................................................................................................................................................................
NH .................................................................................................................................................................................................
NJ .................................................................................................................................................................................................
NM ................................................................................................................................................................................................
NY .................................................................................................................................................................................................
NC .................................................................................................................................................................................................
ND .................................................................................................................................................................................................
OH ................................................................................................................................................................................................
OK .................................................................................................................................................................................................
OR ................................................................................................................................................................................................
PA .................................................................................................................................................................................................
RI ..................................................................................................................................................................................................
SC .................................................................................................................................................................................................
SD .................................................................................................................................................................................................
TN .................................................................................................................................................................................................
TX .................................................................................................................................................................................................
UT .................................................................................................................................................................................................
VT .................................................................................................................................................................................................
VA .................................................................................................................................................................................................
WA ................................................................................................................................................................................................
WV ................................................................................................................................................................................................
WI .................................................................................................................................................................................................
WY ................................................................................................................................................................................................
Terr.:
AS .................................................................................................................................................................................................
FM .................................................................................................................................................................................................
GU ................................................................................................................................................................................................
MH ................................................................................................................................................................................................
MH ................................................................................................................................................................................................

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01
02
04
05
06
08
09
10
11
12
13
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
44
45
46
47
48
49
50
51
53
54
55
56
60
64
66
68
68

16703

Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations

ANSI No.
PR .................................................................................................................................................................................................
PW ................................................................................................................................................................................................
UM ................................................................................................................................................................................................
VI ..................................................................................................................................................................................................
Offshore (Marine Areas)1:
Eastern North Pacific Ocean, and along U.S. West Coast from Canadian border to Mexican border ......................................
North Pacific Ocean near Alaska, and along Alaska coastline, including the Bering Sea and the Gulf of Alaska ....................
Central Pacific Ocean, including Hawaiian waters ......................................................................................................................
South Central Pacific Ocean, including American Samoa waters ...............................................................................................
Western Pacific Ocean, including Mariana Island waters ............................................................................................................
Western North Atlantic Ocean, and along U.S. East Coast, from Canadian border south to Currituck Beach Light, N.C ........
Western North Atlantic Ocean, and along U.S. East Coast, south of Currituck Beach Light, N.C., following the coastline into
Gulf of Mexico to Bonita Beach, FL., including the Caribbean ................................................................................................
Gulf of Mexico, and along the U.S. Gulf Coast from the Mexican border to Bonita Beach, FL .................................................
Lake Superior ...............................................................................................................................................................................
Lake Michigan ..............................................................................................................................................................................
Lake Huron ...................................................................................................................................................................................
Lake St. Clair ................................................................................................................................................................................
Lake Erie ......................................................................................................................................................................................
Lake Ontario .................................................................................................................................................................................
St. Lawrence River above St. Regis ............................................................................................................................................

72
70
74
78
57
58
59
61
65
73
75
77
91
92
93
94
96
97
98

1 Effective May 16, 2002, analog radio and television broadcast stations, analog cable systems and wireless cable systems may upgrade their
existing EAS equipment to add these marine area location codes on a voluntary basis until the equipment is replaced. All models of EAS equipment manufactured after August 1, 2003, must be capable of receiving and transmitting these marine area location codes. EAS Participants that
install or replace their EAS equipment after February 1, 2004, must install equipment that is capable of receiving and transmitting these location
codes.

11. Amend § 11.32 by revising
paragraphs (a)(2), (a)(3) and (a)(9)(iv) to
read as follows:

■

§ 11.32

EAS Encoder.

(a) * * *
(2) Inputs. The encoder shall have at
least one input port used for audio
messages and at least one input port
used for data messages. (3) Outputs. The
encoder shall have at least one audio
output port and at least one data output
port.
*
*
*
*
*
(9) * * *
(iv) Time Period for Transmission of
Tones. The encoder shall have timing
circuitry that automatically generates
the two tones simultaneously for a time
period of 8 seconds.
*
*
*
*
*
■ 12. Amend § 11.33 by:
■ a. Revising paragraphs (a)
introductory text, (a)(1), (a)(4), (a)(7),
and (a)(11); and
■ b. Removing paragraph (b) and redesignating paragraph (c) as paragraph
(b).
The revisions read as follows:

mstockstill on DSK4VPTVN1PROD with RULES

§ 11.33

EAS Decoder.

(a) An EAS Decoder must at a
minimum be capable of providing the
EAS monitoring functions described in
§ 11.52, decoding EAS messages
formatted in accordance with the EAS
Protocol described in § 11.31, and
converting Common Alerting Protocol
(CAP)-formatted EAS messages into EAS
alert messages that comply with the
EAS Protocol, in accordance with

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§ 11.56(a)(2), with the exception that the
CAP-related monitoring and conversion
requirements set forth in §§ 11.52(d)(2)
and 11.56(a)(2) can be satisfied via an
Intermediary Device, as specified in
§ 11.56(b), provided that all other
requirements set forth in this part are
met. An EAS Decoder also must be
capable of the following minimum
specifications:
(1) Inputs. Decoders must have the
capability to receive at least two audio
inputs from EAS monitoring
assignments, and at least one data input.
The data input(s) may be used to
monitor other communications modes
such as Radio Broadcast Data System
(RBDS), NWR, satellite, public switched
telephone network, or any other source
that uses the EAS protocol.
*
*
*
*
*
(4) Display and logging. For received
alert messages formatted in both the
EAS Protocol and Common Alerting
Protocol, a visual message shall be
developed from any valid header codes
for tests and national activations and
any preselected header codes received.
The message shall at a minimum
include the Originator, Event, Location,
the valid time period of the message and
the local time the message was
transmitted. The message shall be in the
primary language of the EAS Participant
and be fully displayed on the decoder
and readable in normal light and
darkness. The visual message developed
from received alert messages formatted
in the Common Alerting Protocol must
conform to the requirements in
§§ 11.51(d), (g)(3), (h)(3), and (j)(2) of

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this part. All existing and new models
of EAS decoders manufactured after
August 1, 2003 must provide a means to
permit the selective display and logging
of EAS messages containing header
codes for state and local EAS events.
Effective May 16, 2002, analog radio and
television broadcast stations, analog
cable systems and wireless cable
systems may upgrade their decoders on
an optional basis to include a selective
display and logging capability for EAS
messages containing header codes for
state and local events. EAS Participants
that install or replace their decoders
after February 1, 2004 must install
decoders that provide a means to permit
the selective display and logging of EAS
messages containing header codes for
state and local EAS events.
*
*
*
*
*
(7) Outputs. Decoders shall have at
least one data port where received valid
EAS header codes and received
preselected header codes are available,
at least one audio port that is capable of
monitoring each decoder audio input,
and an internal speaker to enable
personnel to hear audio from each
input.
*
*
*
*
*
(11) A header code with the EAN
Event code specified in § 11.31(c) that is
received through any of the audio or
data inputs must override all other
messages.
*
*
*
*
*
13. Amend § 11.34 by revising
paragraph (d) to read as follows:

■

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16704
§ 11.34

Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
Acceptability of the equipment.

§ 11.41

*

*
*
*
*
(d) Manufacturers must include
instructions and information on how to
install, operate and program an EAS
Encoder, EAS Decoder, or combined
unit and a list of all State and county
ANSI numbers with each unit sold or
marketed in the U.S.
*
*
*
*
*
■ 14. Amend § 11.35 by revising
paragraphs (a) and (b) to read as follows:

Participation in EAS.

All EAS Participants specified in
§ 11.11 are categorized as Participating
National (PN) sources, and must have
immediate access to an EAS Operating
Handbook.
§ 11.42
■

[Removed and Reserved]

16. Remove and reserve § 11.42.

§ 11.44

[Removed and Reserved]

17. Remove and reserve § 11.44.
18. Amend § 11.51 by revising
paragraphs (a), (c), (d), (g)(3), (h)(3), (i)
introductory text, (j) introductory text,
(j)(2), paragraph (m) introductory text,
and adding paragraph (p) to read as
follows:

■
■

mstockstill on DSK4VPTVN1PROD with RULES

§ 11.35

Participation in EAS.

(a) EAS Participants are responsible
for ensuring that EAS Encoders, EAS
Decoders, Attention Signal generating
and receiving equipment, and
Intermediate Devices used as part of the
EAS to decode and/or encode messages
formatted in the EAS Protocol and/or
the Common Alerting Protocol are
installed so that the monitoring and
transmitting functions are available
during the times the stations and
systems are in operation. Additionally,
EAS Participants must determine the
cause of any failure to receive the
required tests or activations specified in
§ 11.61(a)(1) and (2). Appropriate entries
indicating reasons why any tests were
not received must be made in the
broadcast station log as specified in
§§ 73.1820 and 73.1840 of this chapter
for all broadcast streams and cable
system records as specified in
§§ 76.1700, 76.1708, and 76.1711 of this
chapter. All other EAS Participants
must also keep records indicating
reasons why any tests were not received
and these records must be retained for
two years, maintained at the EAS
Participant’s headquarters, and made
available for public inspection upon
reasonable request.
(b) If an EAS Encoder, EAS Decoder
or Intermediary Device used as part of
the EAS to decode and/or encode
messages formatted in the EAS Protocol
and/or the Common Alerting Protocol
becomes defective, the EAS Participant
may operate without the defective
equipment pending its repair or
replacement for 60 days without further
FCC authority. Entries shall be made in
the broadcast station log, cable system
records, and records of other EAS
Participants, as specified in paragraph
(a) of this section, showing the date and
time the equipment was removed and
restored to service. For personnel
training purposes, the required monthly
test script must still be transmitted even
though the equipment for generating the
EAS message codes, Attention Signal
and EOM code is not functioning.
*
*
*
*
*
■ 15. Revise § 11.41 to read as follows:

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§ 11.51 EAS code and Attention Signal
Transmission requirements.

(a) Analog and digital broadcast
stations must transmit, either
automatically or manually, national
level EAS messages and required tests
by sending the EAS header codes,
Attention Signal, emergency message
and End of Message (EOM) codes using
the EAS Protocol. The Attention Signal
must precede any emergency audio
message.
*
*
*
*
*
(c) All analog and digital radio and
television stations shall transmit EAS
messages in the main audio channel. All
DAB stations shall also transmit EAS
messages on all audio streams. All DTV
broadcast stations shall also transmit
EAS messages on all program streams.
(d) Analog and digital television
broadcast stations shall transmit a visual
message containing the Originator,
Event, Location and the valid time
period of an EAS message. Effective
June 30, 2012, visual messages derived
from CAP-formatted EAS messages shall
contain the Originator, Event, Location
and the valid time period of the message
and shall be constructed in accordance
with § 3.6 of the ‘‘ECIG
Recommendations for a CAP EAS
Implementation Guide, Version 1.0’’
(May 17, 2010), except that if the EAS
Participant has deployed an
Intermediary Device to meet its CAPrelated obligations, this requirement
shall be effective June 30, 2015, and
until such date shall be subject to the
general requirement to transmit a visual
message containing the Originator,
Event, Location and the valid time
period of the EAS message. If the
message is a video crawl, it shall be
displayed at the top of the television
screen or where it will not interfere with
other visual messages.
*
*
*
*
*
(g) * * *

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(3) Shall transmit a visual EAS
message on at least one channel. The
visual message shall contain the
Originator, Event, Location, and the
valid time period of the EAS message.
Effective June 30, 2012, visual messages
derived from CAP-formatted EAS
messages shall contain the Originator,
Event, Location and the valid time
period of the message and shall be
constructed in accordance with § 3.6 of
the ‘‘ECIG Recommendations for a CAP
EAS Implementation Guide, Version
1.0’’ (May 17, 2010), except that if the
EAS Participant has deployed an
Intermediary Device to meet its CAPrelated obligations, this requirement
shall be effective June 30, 2015, and
until such date shall be subject to the
general requirement to transmit a visual
message containing the Originator,
Event, Location and the valid time
period of the EAS message. If the visual
message is a video crawl, it shall be
displayed at the top of the subscriber’s
television screen or where it will not
interfere with other visual messages.
*
*
*
*
*
(h) * * *
(3) Shall transmit the EAS visual
message on all downstream channels.
The visual message shall contain the
Originator, Event, Location, and the
valid time period of the EAS message.
Effective June 30, 2012, visual messages
derived from CAP-formatted EAS
messages shall contain the Originator,
Event, Location and the valid time
period of the message and shall be
constructed in accordance with § 3.6 of
the ‘‘ECIG Recommendations for a CAP
EAS Implementation Guide, Version
1.0’’ (May 17, 2010), except that if the
EAS Participant has deployed an
Intermediary Device to meet its CAPrelated obligations, this requirement
shall be effective June 30, 2015, and
until such date shall be subject to the
general requirement to transmit a visual
message containing the Originator,
Event, Location and the valid time
period of the EAS message. If the visual
message is a video crawl, it shall be
displayed at the top of the subscriber’s
television screen or where it will not
interfere with other visual messages.
*
*
*
*
*
(i) SDARS licensees shall transmit
national audio EAS messages on all
channels in the same order specified in
paragraph (a) of this section.
*
*
*
*
*
(j) DBS providers shall transmit
national audio and visual EAS messages
on all channels in the same order
specified in paragraph (a) of this
section.
*
*
*
*
*

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Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
(2) The visual message shall contain
the Originator, Event, Location, and the
valid time period of the EAS message.
Effective June 30, 2012, visual messages
derived from CAP-formatted EAS
messages shall contain the Originator,
Event, Location and the valid time
period of the message and shall be
constructed in accordance with § 3.6 of
the ‘‘ECIG Recommendations for a CAP
EAS Implementation Guide, Version
1.0’’ (May 17, 2010), except that if the
EAS Participant has deployed an
Intermediary Device to meet its CAPrelated obligations, this requirement
shall be effective June 30, 2015, and
until such date shall be subject to the
general requirement to transmit a visual
message containing the Originator,
Event, Location and the valid time
period of the EAS message. If the visual
message is a video crawl, it shall be
displayed at the top of the subscriber’s
television screen or where it will not
interfere with other visual messages.
*
*
*
*
*
(m) EAS Participants are required to
transmit all received EAS messages in
which the header code contains the
Event codes for Emergency Action
Notification (EAN) and Required
Monthly Test (RMT), and when the
accompanying location codes include
their State or State/county. These EAS
messages shall be retransmitted
unchanged except for the LLLLLLLLcode which identifies the EAS
Participant retransmitting the message.
See § 11.31(c). If an EAS source
originates an EAS message with the
Event codes in this paragraph, it must
include the location codes for the State
and counties in its service area. When
transmitting the required weekly test,
EAS Participants shall use the event
code RWT. The location codes are the
state and county for the broadcast
station city of license or system
community or city. Other location codes
may be included upon approval of
station or system management. EAS
messages may be transmitted
automatically or manually.
*
*
*
*
*
(p) The standard required in this
section is incorporated by reference into
this section with the approval of the
Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To
enforce any edition other than that
specified in this section, the Federal
Communications Commission must
publish notice of change in the Federal
Register and the material must be
available to the public. All approved
material is available for inspection at
the Federal Communications
Commission, 445 12th Street, SW.,

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Washington, DC (Reference Information
Center) and is available from the source
indicated below. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030 or
go to http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.
(1) The following standard is available
from the EAS–CAP Industry Group
(ECIG), 21010 Southbank Street, #365,
Sterling, VA, 20165, go to http://
www.eas-cap.org.
(i) ‘‘ECIG Recommendations for a CAP
EAS Implementation Guide, Version
1.0’’ (May 17, 2010).
(ii) [Reserved].
■ 19. Amend § 11.52 by revising
paragraphs (a) introductory text, (d), (e)
introductory text and (e)(2) to read as
follows:
§ 11.52 EAS code and Attention Signal
Monitoring requirements.

(a) EAS Participants must be capable
of receiving the Attention Signal
required by § 11.31(a)(2) and emergency
messages of other broadcast stations
during their hours of operation. EAS
Participants must install and operate
during their hours of operation,
equipment that is capable of receiving
and decoding, either automatically or
manually, the EAS header codes,
emergency messages and EOM code,
and which complies with the
requirements in § 11.56.
*
*
*
*
*
(d) EAS Participants must comply
with the following monitoring
requirements:
(1) With respect to monitoring for
EAS messages that are formatted in
accordance with the EAS Protocol, EAS
Participants must monitor two EAS
sources. The monitoring assignments of
each broadcast station and cable system
and wireless cable system are specified
in the State EAS Plan and FCC
Mapbook. They are developed in
accordance with FCC monitoring
priorities.
(2) With respect to monitoring EAS
messages formatted in accordance with
the specifications set forth in
§ 11.56(a)(2), EAS Participants’ EAS
equipment must interface with the
Federal Emergency Management
Agency’s Integrated Public Alert and
Warning System (IPAWS) to enable
(whether through ‘‘pull’’ interface
technologies, such as Really Simple
Syndication (RSS) and Atom
Syndication Format (ATOM), or ‘‘push’’
interface technologies, such as instant
messaging and email) the distribution of

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Common Alert Protocol (CAP)-formatted
alert messages from the IPAWS system
to EAS Participants’ EAS equipment.
(3) Monitoring specifications
associated with the distribution of CAPformatted alert messages by state alert
message systems are described in the
State EAS Plan, as set forth in § 11.21(a).
(4) If the required EAS message
sources cannot be received, alternate
arrangements or a waiver may be
obtained by written request to the Chief,
Public Safety and Homeland Security
Bureau. In an emergency, a waiver may
be issued over the telephone with a
follow up letter to confirm temporary or
permanent reassignment.
(5) The management of EAS
Participants shall determine which
header codes will automatically
interrupt their programming for State
and Local Area emergency situations
affecting their audiences.
(e) EAS Participants are required to
interrupt normal programming either
automatically or manually when they
receive an EAS message in which the
header code contains the Event codes
for Emergency Action Notification
(EAN) or the Required Monthly Test
(RMT) for their State or State/county
location.
*
*
*
*
*
(2) Manual interrupt of programming
and transmission of EAS messages may
be used. EAS messages with the EAN
Event code must be transmitted
immediately and Monthly EAS test
messages within 60 minutes. All actions
must be logged and recorded as
specified in §§ 11.35(a) and 11.54(a)(3).
Decoders must be programmed for the
EAN Event header code and the RMT
and RWT Event header codes (for
required monthly and weekly tests),
with the appropriate accompanying
State and State/county location codes.
§ 11.53
■
■

[Removed and Reserved]

20. Remove and reserve § 11.53.
21. Revise § 11.54 to read as follows:

§ 11.54 EAS operation during a National
Level emergency.

(a) Immediately upon receipt of an
EAN message, EAS Participants must
comply with the following
requirements, as applicable:
(1) Analog and digital broadcast
stations may transmit their call letters
and analog cable systems, digital cable
systems and wireless cable systems may
transmit the names of the communities
they serve during an EAS activation.
State and Local Area identifications
must be given as provided in State and
Local Area EAS Plans.
(2) Analog and digital broadcast
stations are exempt from complying

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with §§ 73.62 and 73.1560 of this
chapter (operating power maintenance)
while operating under this part.
(3) The time of receipt of the EAN
shall be entered by analog and digital
broadcast stations in their logs (as
specified in §§ 73.1820 and 73.1840 of
this chapter), by analog and digital cable
systems in their records (as specified in
§ 76.1711 of this chapter), by subject
wireless cable systems in their records
(as specified in § 21.304 of this chapter),
and by all other EAS Participants in
their records as specified in § 11.35(a).
(b) EAS Participants originating
emergency communications under this
section shall be considered to have
conferred rebroadcast authority, as
required by section 325(a) of the
Communications Act of 1934, 47 U.S.C.
325(a), to other EAS Participants.
(c) During a national level EAS
emergency, EAS Participants may
transmit in lieu of the EAS audio feed
an audio feed of the President’s voice
message from an alternative source,
such as a broadcast network audio feed.
■ 22. Amend § 11.55 by revising
paragraph (a) introductory text,
paragraph (c) introductory text, and
paragraphs (c)(3), (4), (7), and (8) and
add paragraph (d) to read as follows:

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§ 11.55 EAS operation during a State or
Local Area emergency.

(a) The EAS may be activated at the
State and Local Area levels by EAS
Participants at their discretion for dayto-day emergency situations posing a
threat to life and property. Examples of
natural emergencies which may warrant
state EAS activation are: Tornadoes,
floods, hurricanes, earthquakes, heavy
snows, icing conditions, widespread
fires, etc. Man-made emergencies
warranting state EAS activation may
include: Toxic gas leaks or liquid spills,
widespread power failures, industrial
explosions, and civil disorders.
*
*
*
*
*
(c) Immediately upon receipt of a
State or Local Area EAS message that
has been formatted in the EAS Protocol,
EAS Participants participating in the
State or Local Area EAS must do the
following:
*
*
*
*
*
(3) Participating National (PN) sources
monitor the Local Area LP sources for
instructions.
(4) EAS Participants participating in
the State or Local Area EAS must
discontinue normal programming and
follow the procedures in the State and
Local Area Plans. Analog and digital
television broadcast stations must
transmit all EAS announcements
visually and aurally as specified in

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§ 11.51(a) through (e) and 73.1250(h) of
this chapter, as applicable; analog cable
systems, digital cable systems, and
wireless cable systems must transmit all
EAS announcements visually and
aurally as specified in § 11.51(g) and (h);
and DBS providers must transmit all
EAS announcements visually and
aurally as specified in § 11.51(j). EAS
Participants providing foreign language
programming should transmit all EAS
announcements in the same language as
the primary language of the EAS
Participant.
*
*
*
*
*
(7) The times of the above EAS
actions must be entered in the EAS
Participants’ records as specified in
§§ 11.35(a) and 11.54(a)(3).
(8) Use of the EAS codes or Attention
Signal automatically grants rebroadcast
authority as specified in § 11.54(b).
(d) Immediately upon receipt of a
State or Local Area EAS message that
has been formatted in the Common
Alerting Protocol, EAS Participants
must do the following:
(1) EAS Participants participating in
the State or Local Area EAS must follow
the procedures for processing such
messages in the State and Local Area
Plans.
(2) Analog and digital television
broadcast stations must transmit all EAS
announcements visually and aurally as
specified in § 11.51(a) through (e) and
73.1250(h) of this chapter, as applicable;
analog cable systems, digital cable
systems, and wireless cable systems
must transmit all EAS announcements
visually and aurally as specified in
§ 11.51(g) and (h); and DBS providers
must transmit all EAS announcements
visually and aurally as specified in
§ 11.51(j). EAS Participants providing
foreign language programming should
transmit all EAS announcements in the
same language as the primary language
of the EAS Participant.
(3) Resume normal operations upon
conclusion of the message.
(4) The times of the above EAS
actions must be entered in the EAS
Participants’ records as specified in
§§ 11.35(a) and 11.54(a)(3).
■ 23. Revise § 11.56 to read as follows:
§ 11.56 Obligation to Process CAPFormatted EAS Messages.

(a) On or by June 30, 2012, EAS
Participants must have deployed
operational equipment that is capable of
the following:
(1) Acquiring EAS alert messages in
accordance with the monitoring
requirements in § 11.52(d)(2);
(2) Converting EAS alert messages
that have been formatted pursuant to the
(i) ‘‘Common Alerting Protocol Version

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1.2’’ (July 1, 2010), and (ii) ‘‘Common
Alerting Protocol, v. 1.2 USA Integrated
Public Alert and Warning System
Profile Version 1.0’’ (Oct. 13, 2009), into
EAS alert messages that comply with
the EAS Protocol, such that the
Preamble and EAS Header Codes, audio
Attention Signal, audio message, and
Preamble and EAS End of Message
(EOM) Codes of such messages are
rendered equivalent to the EAS Protocol
(set forth in § 11.31), in accordance with
the technical specifications governing
such conversion process set forth in the
‘‘ECIG Recommendations for a CAP EAS
Implementation Guide, Version 1.0’’
(May 17, 2010) (except that any and all
specifications set forth therein related to
using text-to-speech technology and
gubernatorial ‘‘must carry’’ shall not be
followed); and
(3) Processing such converted
messages in accordance with the other
sections of this part.
(b) EAS Participants may comply with
the requirements of this section by
deploying an Intermediary Device. If an
EAS Participant elects to meet the
requirements of this section by
deploying an Intermediary Device, it
shall be required to construct visual
messages from CAP-formatted EAS
messages in accordance with § 3.6 of the
‘‘ECIG Recommendations for a CAP EAS
Implementation Guide, Version 1.0’’
(May 17, 2010), as set forth in
§§ 11.51(d), (g)(3), (h)(3), and (j)(2) of
this part, on or by June 30, 2015.
(c) The standards required in this
section are incorporated by reference
into this section with the approval of
the Director of the Federal Register
under 5 U.S.C. 552(a) and 1 CFR part 51.
To enforce any edition other than that
specified in this section, the Federal
Communications Commission must
publish notice of change in the Federal
Register and the material must be
available to the public. All approved
material is available for inspection at
the Federal Communications
Commission, 445 12th Street SW.,
Washington, DC (Reference Information
Center) and is available from the sources
indicated below. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030 or
go to http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.
(1) The following standard is available
from the EAS–CAP Industry Group
(ECIG), 21010 Southbank Street, #365,
Sterling, VA 20165, or go to http://
www.eas-cap.org.

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(i) ‘‘ECIG Recommendations for a CAP
EAS Implementation Guide, Version
1.0’’ (May 17, 2010).
(ii) [Reserved].
(2) The following standards are
available from Organization for the
Advancement of Structured Information
Standards (OASIS), 25 Corporate Drive,
Suite 103, Burlington, MA 01803–4238,
call 781–425–5073, or go to http://
www.oasis-open.org.
(i) ‘‘Common Alerting Protocol
Version 1.2’’ (July 1, 2010).
(ii) ‘‘Common Alerting Protocol, v. 1.2
USA Integrated Public Alert and
Warning System Profile Version 1.0’’
(Oct. 13, 2009).
■ 24. Amend § 11.61 by revising
paragraphs (a) introductory text,
(a)(1)(i), (a)(2)(ii) and (b) to read as
follows:

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§ 11.61

Tests of EAS procedures.

(a) EAS Participants shall conduct
tests at regular intervals, as specified in
paragraphs (a)(1) and (a)(2) of this
section. Additional tests may be
performed anytime. EAS activations and
special tests may be performed in lieu
of required tests as specified in
paragraph (a)(4) of this section.
(1) * * *
(i) Tests in odd numbered months
shall occur between 8:30 a.m. and local
sunset. Tests in even numbered months
shall occur between local sunset and
8:30 a.m. They will originate from Local
or State Primary sources. The time and
script content will be developed by
State Emergency Communications
Committees in cooperation with affected
EAS Participants. Script content may be
in the primary language of the EAS
Participant. These monthly tests must
be transmitted within 60 minutes of
receipt by EAS Participants in an EAS
Local Area or State. Analog and digital
class D non-commercial educational
FM, analog and digital LPFM stations,
and analog and digital LPTV stations are
required to transmit only the test script.
*
*
*
*
*
(2) * * *
(ii) DBS providers, analog and digital
class D non-commercial educational FM
stations, analog and digital LPFM
stations, and analog and digital LPTV
stations are not required to transmit this
test but must log receipt, as specified in
§ 11.35(a) and 11.54(a)(3).
*
*
*
*
*
(b) Entries shall be made in EAS
Participant records, as specified in
§ 11.35(a) and 11.54(a)(3).
The following appendix will not be
published in the Code of Federal
Regulations.

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Appendix A
Final Regulatory Flexibility Analysis
1. As required by the Regulatory Flexibility
Act of 1980, as amended (RFA), an Initial
Regulatory Flexibility Analysis (IRFA) was
incorporated into the Third Further Notice of
Proposed Rulemaking (Third FNPRM) in this
proceeding. The Commission sought written
comment on the proposals in the Third
FNPRM, including comment on the IRFA.
This Final Regulatory Flexibility Analysis
(FRFA) conforms to the RFA.
A. Need for, and Objectives of, the Fifth
Report and Order
2. This Fifth Report and Order adopts
changes to the Commission’s Part 11 rules
governing the Emergency Alert System (EAS)
to codify the obligation to process alert
messages formatted in the Common Alerting
Protocol (CAP) and to streamline and clarify
these rules generally to enhance their
effectiveness.
3. Specifically, the Fifth Report and Order:
• Clarifies that the scope of the CAPrelated obligations addressed in this order are
limited to those necessary to ensure that
CAP-formatted alert messages distributed to
EAS Participants will be converted into and
processed in the same way as messages
formatted in the current EAS Protocol.
• Amends § 11.56 of the Commission’s
rules to require EAS Participants to convert
CAP-formatted EAS messages into messages
that comply with the EAS Protocol
requirements, following the procedures for
such conversion set forth in the EAS–CAP
Industry Group’s (ECIG) ECIG
Implementation Guide.
• Amends § 11.52 of the Commission’s
rules to require that EAS Participants
monitor FEMA’s Integrated Public Alert and
Warning System (IPAWS) for Federal CAPformatted alert messages using whatever
interface technology is appropriate.
• Clarifies that the language from the
Second Report and Order (Second Report
and Order) in this docket regarding receipt of
CAP-formatted messages from Next
Generation EAS delivery systems was
intended to put EAS Participants on notice
that, should FEMA adopt technical standards
covering delivery of CAP-formatted messages
to EAS Participants over specific platforms,
such as satellite systems, EAS Participants
would ultimately need to configure their
systems to be able to interface with such
systems to meet their existing obligation to
process CAP-formatted messages.
• Permits EAS Participants to use
intermediary devices to meet their CAPrelated obligations, provided that all
intermediary devices must provide that
capability of utilizing the enhanced text in a
CAP message to meet the visual display
requirements in section 11.51(d), (g)(3),
(h)(3), and (j)(2) of the Commission’s rules, as
set forth in section 3.6 of the ECIG
Implementation Guide, by June 30, 2015.
• Declines to make any changes to the
minimum encoder requirements set forth in
section 11.32(a) regarding CAP-to-EAS
Protocol conversion.
• Revises the input and output
configuration requirements in §§ 11.32(a)(2)

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16707

and (a)(3) of the Commission’s rules to
require at least one audio port and at least
one data port, and to delete references to
RS232–C and 1200 baud rate.
• Revises the minimum requirements for
decoders in section 11.33(a) to include the
capability to decode CAP-formatted messages
and convert them into EAS Protocolcompliant messages, as set forth in section
11.56 and clarifies that this requirement can
be met through the deployment of an
intermediary device.
• Revises the input and output
configuration requirements in §§ 11.33(a)(1)
and (a)(7) of the Commission’s rules to
require at least one audio port and at least
one data port, and to delete references to
RS232–C and 1200 baud rate.
• Amends section 11.33(a)(4) of the
Commission’s rules to include selective
display and logging of text that was compiled
from CAP-formatted messages be added to
the EAS device log.
• Declines to revise § 11.33(a)(10) of the
Commission’s rules to require processing of
CAP-formatted message by default when
duplicate messages are received in both the
EAS Protocol and CAP formats, as
recommended in the Communications
Security, Reliability, and Interoperability
Council (CSRIC) Final Report (CSRIC Final
Report).
• Revises section 11.33(a)(11) of the
Commission’s rules to ensure that Emergency
Action Notification (EAN) messages receive
priority over all other EAS messages,
regardless of whether the EAN message was
received via the audio port or data port, or
was formatted in EAS Protocol or CAP.
• Declines to revise section 11.1 of the
Commission’s rules to include new CAPrelated alert originators, as recommended in
the CSRIC Final Report.
• Revises the text of § 11.11(a) of the
Commission’s rules to include as a minimum
requirement compliance with the CAPrelated requirements in § 11.56 of the
Commission’s rules, and to delete the
reference to ‘‘analog television broadcast
stations.’’
• Revises the equipment deployment
tables in § 11.11 of the Commission’s rules by
adding a footnote to the ‘‘EAS decoder’’
entries in the tables to clarify that the
obligation to receive and translate CAPformatted messages may be met by deploying
an intermediary device, and by deleting the
date references in the equipment deployment
tables in section 11.11 (as well as crossreferences to these dates in other sections of
Part 11, such as section 11.51(c) and (d)),
along with the entry for two-tone encoders.
Declines to incorporate references to the
monitoring requirements in section 11.52 in
section 11.11.
• Declines to revise the language of § 11.20
of the Commission’s rules to require a
specific reference to CAP alerts, CAP relay
networks, or CAP monitoring requirements.
• Revises § 11.21(a) of the Commission’s
rules to make clear that the State EAS Plans
specify the monitoring assignments and the
specific primary and backup path for EAS
Protocol-formatted EANs and that the
monitoring requirements for CAP-formatted
EANs are set forth in section 11.52, and to

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make clear that to the extent a state may
distribute CAP-formatted EANs to EAS
Participants via its state alerting system, its
State EAS Plan must include specific and
detailed information describing how such
messages will be aggregated and delivered,
just as it must for state CAP-formatted nonEAN messages.
• Defers taking any action with respect to
revising § 11.21(c) of the Commission’s rules
until, at a minimum, review of the test data
received from EAS Participants as a result of
the November 9, 2011, nationwide EAS test
has been completed.
• Declines to revise the language in
§ 11.31(a) of the Commission’s rules to better
reflect CAP’s capabilities.
• Amends sections 11.35(a) and (b) of the
Commission’s rules to clarify that these
subsections apply to all equipment used as
part of the EAS, including all equipment that
performs the functions of decoding and
encoding messages formatted in the EAS
Protocol and the Common Alerting Protocol.
• Declines to revise § 11.45 of the
Commission’s rules to prohibit CAP messages
lacking ‘‘Actual’’ status indicators, as
recommended in the CSRIC Final Report.
• Declines to revise § 11.51 of the
Commission’s rules to require EAS
Participants to transmit (or ‘‘render’’) a CAPcompliant message, as recommended in the
CSRIC Final Report.
• Amends sections 11.51(d), (g)(3), (h)(3),
and (j)(2) of the Commission’s rules to
require EAS Participants to derive the visual
display elements, including the originator,
event, location and the valid time period of
the EAS message, from the CAP text data as
described in section 3.6 of the ECIG
Implementation Guide (intermediary devices
must provide for such functionality by June
30, 2015).
• Declines to revise section 11.54(b) of the
Commission’s rules to mandate that CAPformatted messages be broadcast only if the
scope of the alert is ‘‘Public,’’ and to include
IPAWS monitoring, as recommended in the
CSRIC Final Report.
• Clarifies that it would be inappropriate
to adopt any form of blanket exemption from
the basic obligations of monitoring for,
receiving, and processing CAP-formatted
messages, but concludes that the physical
unavailability of broadband Internet service
offers a presumption in favor of a waiver.
• Incorporates conformance with the ECIG
Implementation Guide into the Commission’s
existing certification scheme.
• Amends section 11.55 of the
Commission’s rules to eliminate the
requirement that EAS Participants receive
and transmit CAP-formatted messages
initiated by state governors.
• Amends the procedures for processing
EANs set forth in § 11.54 of the Commission’s
rules and related Part 11 rule sections so that
EAS Participants process EANs like any other
EAS message, only on a mandatory and
priority basis. To effect these changes, deletes
§§ 11.16, 11.42, 11.44, 11.53, 11.54(a), (b)(1)–
(8), (b)(10), (b)(12) and (c) of the
Commission’s rules, as well as the
Emergency Action Termination (EAT) event
code.
• Eliminates Non-Participating National
(NN) deleting references to status, and in this

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regard, revise sections 11.18, 11.41, 11.54,
and 11.55 of the Commission’s rules to
remove references to NN status, and deletes
section 11.19 altogether.
• Seeks comment on whether the option
for EAS Participants to manually process
EANs (but not state or local EAS messages)
should be eliminated.
• Defers taking any action with respect to
the EAS Operating Handbook until, at a
minimum, review of the test data received
from EAS Participants as a result of the
November 9, 2011, nationwide EAS test has
been completed.
• Revises section 11.11(a) of the
Commission’s rules to remove the references
therein to ‘‘participating broadcast networks,
cable networks and program suppliers; and
other entities and industries operating on an
organized basis during emergencies at the
National, State and local levels.’’
• Revises the definition for LP–1 station in
§ 11.2(b) of the Commission’s rules to reflect
that these stations can be a radio or TV
station.
• Deletes § 11.14 of the Commission’s
rules.
• Revises section 11.2(a) to delete the
numerical reference to the actual number of
Primary Entry Point (PEP) stations in
existence, and to clarify that PEP stations
distribute EAS messages in accordance with
the EAS Protocol requirements in section
11.31.
• Deletes section 11.13 of the
Commission’s rules and folds the definition
for the EAN currently in section 11.13 into
section 11.2.
• Revises §§ 11.31 and 11.34(d) of the
Commission’s rules to replace the references
to the Federal Information Processing
Standard (FIPS) numbers with references to
the American National Standards Institute
(ANSI) Codes INCITS 31.200x (Formerly
FIPS 6–4), Codes for the Identification of
Counties and Equivalent Entities of the
United States, its Possessions, and Insular
Areas standard.
• Revises the analog and digital broadcast
station equipment deployment table in
§ 11.11(a) of the Commission’s rules so that
‘‘LPFM’’ and ‘‘LPTV’’ are identified with the
columns listing the requirements for those
categories, and revises §§ 11.61(a)(1)(i) and
11.61(a)(2)(ii) of the Commission’s rules to
include ‘‘LPFM’’ stations.
• Revises section 11.32(a)(9)(iv) of the
Commission’s rules to limit the duration of
the Attention Signal to no more than eight
seconds, and deletes as obsolete sections
11.33(b) and 11.12.
• Clarifies that EAS Participants may relay,
for the benefit of downstream monitoring
stations, messages they received that did not
include an End of Message (EOM) code
within the reset time limit set on their
decoder.
• Declines to revise § 11.33(a)(3)(ii) of the
Commission’s rules to eliminate the
requirement to delete messages upon
expiration of their time periods, thus
allowing EAS Participants to air alert
messages after expiration of the effective time
period set by the alert message originator.
• Reiterates that the Commission lacks the
authority to raise or distribute funds for EAS-

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related purposes and therefore cannot
provide training for state and local
emergency managers.
• Observes that the decision to require
EAS Participants to meet the video display
requirements in section 11.51(d), (g)(3),
(h)(3), and (j)(2) by using the enhanced text
in the CAP message, as outlined in the ECIG
Implementation Guide, will help harmonize
the EAS rules with the requirements of
section 79.2.
• Identifies several proposals raised in the
comments submitted in response to the Third
FNPRM as being outside the scope of the
Third FNPRM and thus not taken up by the
Fifth Report and Order.
B. Summary of Significant Issues Raised by
Public Comments in Response to the IRFA
4. SBA filed no comments in this
proceeding, and there were no other
comments specifically addressed to the IRFA.
C. Description and Estimate of the Number
of Small Entities to Which Rules Will Apply
5. The RFA directs agencies to provide a
description of and, where feasible, an
estimate of, the number of small entities that
may be affected by the rules adopted herein.
The RFA generally defines the term ‘‘small
entity’’ as having the same meaning as the
terms ‘‘small business,’’ ‘‘small
organization,’’ and ‘‘small governmental
jurisdiction.’’ In addition, the term ‘‘small
business’’ has the same meaning as the term
‘‘small business concern’’ under the Small
Business Act. A ‘‘small business concern’’ is
one which: (1) Is independently owned and
operated; (2) is not dominant in its field of
operation; and (3) satisfies any additional
criteria established by the Small Business
Administration (SBA).
6. Small Businesses, Small Organizations,
and Small Governmental Jurisdictions. The
Commission’s action may, over time, affect
small entities that are not easily categorized
at present. The Commission therefore
describe here, at the outset, three
comprehensive, statutory small entity size
standards. First, nationwide, there are a total
of approximately 27.5 million small
businesses, according to the SBA. In
addition, a ‘‘small organization’’ is generally
‘‘any not-for-profit enterprise which is
independently owned and operated and is
not dominant in its field.’’ Nationwide, as of
2007, there were approximately 1,621,315
small organizations. Finally, the term ‘‘small
governmental jurisdiction’’ is defined
generally as ‘‘governments of cities, towns,
townships, villages, school districts, or
special districts, with a population of less
than fifty thousand.’’ Census Bureau data for
2011 indicate that there were 89,476 local
governmental jurisdictions in the United
States. The Commission estimates that, of
this total, as many as 88, 506 entities may
qualify as ‘‘small governmental
jurisdictions.’’ Thus, the Commission
estimates that most governmental
jurisdictions are small.
7. Television Broadcasting. The SBA
defines a television broadcasting station as a
small business if such station has no more
than $14.0 million in annual receipts.
Business concerns included in this industry

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Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations
are those ‘‘primarily engaged in broadcasting
images together with sound.’’ The
Commission has estimated the number of
licensed commercial television stations to be
1,390. According to Commission staff review
of the BIA Kelsey Inc. Media Access Pro
Television Database (BIA) as of January 31,
2011, 1,006 (or about 78 percent) of an
estimated 1,298 commercial television
stations in the United States have revenues
of $14 million or less and, thus, qualify as
small entities under the SBA definition. The
Commission has estimated the number of
licensed noncommercial educational (NCE)
television stations to be 391. The
Commission notes, however, that, in
assessing whether a business concern
qualifies as small under the above definition,
business (control) affiliations must be
included. The Commission’s estimate,
therefore, likely overstates the number of
small entities that might be affected by its
action, because the revenue figure on which
it is based does not include or aggregate
revenues from affiliated companies. The
Commission does not compile and otherwise
does not have access to information on the
revenue of NCE stations that would permit it
to determine how many such stations would
qualify as small entities.
8. In addition, an element of the definition
of ‘‘small business’’ is that the entity not be
dominant in its field of operation. The
Commission is unable at this time to define
or quantify the criteria that would establish
whether a specific television station is
dominant in its field of operation.
Accordingly, the estimate of small businesses
to which rules may apply do not exclude any
television station from the definition of a
small business on this basis and are therefore
over-inclusive to that extent. Also, as noted,
an additional element of the definition of
‘‘small business’’ is that the entity must be
independently owned and operated. The
Commission notes that it is difficult at times
to assess these criteria in the context of
media entities and its estimates of small
businesses to which they apply may be overinclusive to this extent.
9. Radio Stations. The rules and policies
adopted in the Fifth Report and Order
potentially will apply to all AM and FM
radio broadcasting applicants, and
proponents for new FM allotments, who
qualify for the Tribal Priority adopted in the
First Report and Order in this proceeding.
The ‘‘Radio Stations’’ Economic Census
category ‘‘comprises establishments
primarily engaged in broadcasting aural
programs by radio to the public.
Programming may originate in their own
studio, from an affiliated network, or from
external sources.’’ The SBA has established
a small business size standard for this
category, which is: Such firms having
$7 million or less in annual receipts.
According to BIA/Kelsey, MEDIA Access Pro
Database on January 13, 2011, 10,820 (97%)
of 11,127 commercial radio stations have
revenue of $7 million or less. Therefore, the
majority of such entities are small entities.
The Commission notes, however, that in
assessing whether a business concern
qualifies as small under the above size
standard, business affiliations must be

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included. In addition, to be determined to be
a ‘‘small business,’’ the entity may not be
dominant in its field of operation. The
Commission notes that it is difficult at times
to assess these criteria in the context of
media entities, and its estimate of small
businesses may therefore be over-inclusive.
10. Cable and Other Program Distribution.
Since 2007, these services have been defined
within the broad economic census category
of Wired Telecommunications Carriers; that
category is defined as follows: ‘‘This industry
comprises establishments primarily engaged
in operating and/or providing access to
transmission facilities and infrastructure that
they own and/or lease for the transmission of
voice, data, text, sound, and video using
wired telecommunications networks.
Transmission facilities may be based on a
single technology or a combination of
technologies.’’ The SBA has developed a
small business size standard for this category,
which is: All such firms having 1,500 or
fewer employees. According to Census
Bureau data for 2007, there were a total of
955 firms in this previous category that
operated for the entire year. Of this total, 939
firms had employment of 999 or fewer
employees, and 16 firms had employment of
1000 employees or more. Thus, under this
size standard, the majority of firms can be
considered small entities.
11. Cable System Operators (Rate
Regulation Standard). The Commission has
developed its own small business size
standards, for the purpose of cable rate
regulation. Under the Commission’s rules, a
‘‘small cable company’’ is one serving
400,000 or fewer subscribers, nationwide.
Industry data indicate that, of 1,076 cable
operators nationwide, all but eleven are small
under this size standard. In addition, under
the Commission’s rules, a ‘‘small system’’ is
a cable system serving 15,000 or fewer
subscribers. Industry data indicate that, of
7,208 systems nationwide, 6,139 systems
have under 10,000 subscribers, and an
additional 379 systems have 10,000–19,999
subscribers. Thus, under this second size
standard, most cable systems are small and
may be affected by the rules adopted in the
Fifth Report and Order.
12. Cable System Operators (Telecom Act
Standard). The Act also contains a size
standard for small cable system operators,
which is ‘‘a cable operator that, directly or
through an affiliate, serves in the aggregate
fewer than 1 percent of all subscribers in the
United States and is not affiliated with any
entity or entities whose gross annual
revenues in the aggregate exceed
$250,000,000.’’ The Commission has
determined that an operator serving fewer
than 677,000 subscribers shall be deemed a
small operator, if its annual revenues, when
combined with the total annual revenues of
all its affiliates, do not exceed $250 million
in the aggregate. Industry data indicate that,
of 1,076 cable operators nationwide, all but
ten are small under this size standard. The
Commission notes that it neither requests nor
collects information on whether cable system
operators are affiliated with entities whose
gross annual revenues exceed $250 million,
and therefore it is unable to estimate more
accurately the number of cable system

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operators that would qualify as small under
this size standard.
13. Open Video Services. The open video
system (‘‘OVS’’) framework was established
in 1996, and is one of four statutorily
recognized options for the provision of video
programming services by local exchange
carriers. The OVS framework provides
opportunities for the distribution of video
programming other than through cable
systems. Because OVS operators provide
subscription services, OVS falls within the
SBA small business size standard covering
cable services, which is ‘‘Wired
Telecommunications Carriers.’’ The SBA has
developed a small business size standard for
this category, which is: All such firms having
1,500 or fewer employees. According to
Census Bureau data for 2007, there were a
total of 3,188 firms in this previous category
that operated for the entire year. Of this total,
3,144 firms had employment of 999 or fewer
employees, and 44 firms had employment of
1000 employees or more. Thus, under this
size standard, most cable systems are small
and may be affected by the rules adopted in
the Fifth Report and Order. In addition, we
note that the Commission has certified some
OVS operators, with some now providing
service. Broadband service providers
(‘‘BSPs’’) are currently the only significant
holders of OVS certifications or local OVS
franchises. The Commission does not have
financial or employment information
regarding the entities authorized to provide
OVS, some of which may not yet be
operational. Thus, again, at least some of the
OVS operators may qualify as small entities.
14. Wired Telecommunications Carriers.
The 2007 North American Industry
Classification System (‘‘NAICS’’) defines
‘‘Wired Telecommunications Carriers’’ as
follows: ‘‘This industry comprises
establishments primarily engaged in
operating and/or providing access to
transmission facilities and infrastructure that
they own and/or lease for the transmission of
voice, data, text, sound, and video using
wired telecommunications networks.
Transmission facilities may be based on a
single technology or a combination of
technologies. Establishments in this industry
use the wired telecommunications network
facilities that they operate to provide a
variety of services, such as wired telephony
services, including VoIP services; wired
(cable) audio and video programming
distribution; and wired broadband Internet
services. By exception, establishments
providing satellite television distribution
services using facilities and infrastructure
that they operate are included in this
industry.’’ The SBA has developed a small
business size standard for wireline firms
within the broad economic census category,
‘‘Wired Telecommunications Carriers.’’
Under this category, the SBA deems a
wireline business to be small if it has 1,500
or fewer employees. Census data for 2007,
which supersede data from the 2002 Census,
show that 3,188 firms operated n 2007 as
Wired Telecommunications Carriers. 3,144
had 1,000 or fewer employees, while 44
operated with more than 1,000 employees.
15. Broadband Radio Service and
Educational Broadband Service (FCC

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Auction Standard). The established rules
apply to Broadband Radio Service (‘‘BRS,’’
formerly known as Multipoint Distribution
Systems, or ‘‘MDS’’) operated as part of a
wireless cable system. The Commission has
defined ‘‘small entity’’ for purposes of the
auction of BRS frequencies as an entity that,
together with its affiliates, has average gross
annual revenues that are not more than $40
million for the preceding three calendar
years. The SBA has approved this definition
of small entity in the context of MDS
auctions. The Commission completed its
MDS auction in March 1996 for
authorizations in 493 basic trading areas. Of
67 winning bidders, 61 qualified as small
entities. At this time, the Commission
estimates that of the 61 small business MDS
auction winners, 48 remain small business
licensees. In addition to the 48 small
businesses that hold BTA authorizations,
there are approximately 392 incumbent BRS
licensees that are considered small entities.
After adding the number of small business
auction licensees to the number of incumbent
licensees not already counted, the
Commission finds that there are currently
approximately 440 BRS licensees that are
defined as small businesses under either the
SBA or the Commission’s rules. In 2009, the
Commission conducted Auction 86, which
offered 78 BRS licenses. Auction 86
concluded with ten bidders winning 61
licenses. Of the ten, two bidders claimed
small business status and won 4 licenses; one
bidder claimed very small business status
and won three licenses; and two bidders
claimed entrepreneur status and won six
licenses.
16. The rules and policies adopted in the
Fifth Report and Order would also apply to
Educational Broadband Service (‘‘EBS,’’
formerly known as Instructional Television
Fixed Service, or ‘‘ITFS’’) facilities operated
as part of a wireless cable system. The SBA
definition of small entities for pay television
services, Cable and Other Subscription
Programming, also appears to apply to EBS.
There are presently 2,032 EBS licensees. All
but 100 of these licenses are held by
educational institutions. Educational
institutions are included in the definition of
a small business. However, the Commission
does not collect annual revenue data for EBS
licensees and is not able to ascertain how
many of the 100 non-educational licensees
would be categorized as small under the SBA
definition. Thus, the Commission tentatively
concludes that at least 1,932 are small
businesses and may be affected by the rules
and policies adopted in the Fifth Report and
Order.
17. Wireless Telecommunications Carriers
(except Satellite). Since 2007, the Census
Bureau has placed wireless firms within this
new, broad, economic census category. Prior
to that time, such firms were within the nowsuperseded categories of ‘‘Paging’’ and
‘‘Cellular and Other Wireless
Telecommunications.’’ Under the present
and prior categories, the SBA has deemed a
wireless business to be small if it has 1,500
or fewer employees. For the category of
Wireless Telecommunications Carriers
(except Satellite), Census data for 2007,
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Census, show that there were 1,383 firms that
operated that year. Of those 1,383, 1,368 had
fewer than 100 employees, and 15 firms had
more than 100 employees. Thus under this
category and the associated small business
size standard, the majority of firms can be
considered small. Similarly, according to
Commission data, 413 carriers reported that
they were engaged in the provision of
wireless telephony, including cellular
service, Personal Communications Service
(PCS), and Specialized Mobile Radio (SMR)
Telephony services. Of these, an estimated
261 have 1,500 or fewer employees and 152
have more than 1,500 employees.
Consequently, the Commission estimates that
approximately half or more of these firms can
be considered small. Thus, using available
data, the Commission estimates that the
majority of wireless firms can be considered
small.
18. Incumbent Local Exchange Carriers
(LECs). The Commission has included small
incumbent LECs in this IRFA analysis. As
noted above, a ‘‘small business’’ under the
RFA is one that, inter alia, meets the
pertinent small business size standard (e.g.,
a telephone communications business having
1,500 or fewer employees) and ‘‘is not
dominant in its field of operation.’’ The
SBA’s Office of Advocacy contends that, for
RFA purposes, small incumbent LECs are not
dominant in their field of operation because
any such dominance is not ‘‘national’’ in
scope. The Commission has therefore
included small incumbent local exchange
carriers in this RFA analysis, although the
Commission emphasizes that this RFA action
has no effect on its analyses and
determinations in other, non-RFA contexts.
Neither the Commission nor the SBA has
developed a small business size standard
specifically for incumbent local exchange
services. The appropriate size standard under
SBA rules is for the category Wired
Telecommunications Carriers. Under that
size standard, such a business is small if it
has 1,500 or fewer employees. According to
Commission data, 1,303 carriers have
reported that they are engaged in the
provision of incumbent local exchange
services. Of these 1,303 carriers, an estimated
1,020 have 1,500 or fewer employees, and
283 have more than 1,500 employees.
Consequently, the Commission estimates that
most providers of incumbent local exchange
service are small businesses that may be
affected by the rules and policies adopted in
the Fifth Report and Order.
19. Competitive (LECs), Competitive Access
Providers (CAPs), ‘‘Shared-Tenant Service
Providers,’’ and ‘‘Other Local Service
Providers.’’ Neither the Commission nor the
SBA has developed a small business size
standard specifically for these service
providers. The appropriate size standard
under SBA rules is for the category Wired
Telecommunications Carriers. Under that
size standard, such a business is small if it
has 1,500 or fewer employees. According to
Commission data, 769 carriers have reported
that they are engaged in the provision of
either competitive access provider services or
competitive local exchange carrier services.
Of these 769 carriers, an estimated 676 have
1,500 or fewer employees, and 93 have more

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than 1,500 employees. In addition, 12
carriers have reported that they are ‘‘SharedTenant Service Providers,’’ and all 12 are
estimated to have 1,500 or fewer employees.
In addition, 39 carriers have reported that
they are ‘‘Other Local Service Providers.’’ Of
the 39, an estimated 38 have 1,500 or fewer
employees, and one has more than 1,500
employees. Consequently, the Commission
estimates that most providers of competitive
local exchange service, competitive access
providers, ‘‘Shared-Tenant Service
Providers,’’ and ‘‘Other Local Service
Providers’’ are small entities.
20. Satellite Telecommunications
Providers. Two economic census categories
address the satellite industry. The first
category has a small business size standard
of $15 million or less in average annual
receipts, under SBA rules. The second has a
size standard of $25 million or less in annual
receipts.
21. The category of Satellite
Telecommunications ‘‘comprises
establishments primarily engaged in
providing telecommunications services to
other establishments in the
telecommunications and broadcasting
industries by forwarding and receiving
communications signals via a system of
satellites or reselling satellite
telecommunications.’’ Census Bureau data
for 2007 show that 512 Satellite
Telecommunications firms operated for that
entire year. Of this total, 464 firms had
annual receipts of under $10 million, and 18
firms had receipts of $10 million to
$24,999,999. Consequently, the majority of
Satellite Telecommunications firms can be
considered small entities.
22. The second category, i.e. ‘‘All Other
Telecommunications’’ comprises
‘‘establishments primarily engaged in
providing specialized telecommunications
services, such as satellite tracking,
communications telemetry, and radar station
operation. This industry also includes
establishments primarily engaged in
providing satellite terminal stations and
associated facilities connected with one or
more terrestrial systems and capable of
transmitting telecommunications to, and
receiving telecommunications from, satellite
systems. Establishments providing Internet
services or voice over Internet protocol
(VoIP) services via client-supplied
telecommunications connections are also
included in this industry.’’ For this category,
Census Bureau data for 2007 show that there
were a total of 2,383 firms that operated for
the entire year. Of this total, 2,347 firms had
annual receipts of under $25 million and 12
firms had annual receipts of $25 million to
$49,999,999. Consequently, the Commission
estimates that the majority of All Other
Telecommunications firms are small entities
that might be affected by the rules and
policies adopted in the Fifth Report and
Order.
23. Direct Broadcast Satellite (‘‘DBS’’)
Service. DBS service is a nationally
distributed subscription service that delivers
video and audio programming via satellite to
a small parabolic ‘‘dish’’ antenna at the
subscriber’s location. DBS, by exception, is
now included in the SBA’s broad economic

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census category, ‘‘Wired
Telecommunications Carriers,’’ which was
developed for small wireline firms. Under
this category, the SBA deems a wireline
business to be small if it has 1,500 or fewer
employees. To gauge small business
prevalence for the DBS service, the
Commission relies on data currently
available from the U.S. Census for the year
2007. According to that source, there were
3,188 firms that in 2007 were Wired
Telecommunications Carriers. Of these, 3,144
operated with less than 1,000 employees, and
44 operated with more than 1,000 employees.
However, as to the latter 44 there is no data
available that shows how many operated
with more than 1,500 employees. Based on
this data, the majority of these firms can be
considered small. Currently, only two
entities provide DBS service, which requires
a great investment of capital for operation:
DIRECTV and EchoStar Communications
Corporation (‘‘EchoStar’’) (marketed as the
DISH Network). Each currently offers
subscription services. DIRECTV and EchoStar
each report annual revenues that are in
excess of the threshold for a small business.
Because DBS service requires significant
capital, the Commission believes it is
unlikely that a small entity as defined by the
SBA would have the financial wherewithal to
become a DBS service provider.
D. Description of Projected Reporting,
Recordkeeping, and Other Compliance
Requirements
24. There are revisions to current Part 11
reporting, recordkeeping, or compliance
requirements set forth in the Fifth Report and
Order. Specifically, the Fifth Report and
Order:
• Revises section 11.21(a) to make clear
that the State EAS Plans specify the
monitoring assignments and the specific
primary and backup path for SAMEformatted EANs. This revision merely applies
a current reporting requirement to a new
technical protocol and the Commission does
not expect it to alter the reporting burden to
any appreciable degree. The revision will
ensure the accuracy of EAS operational
documents and thus contributes to public
safety. Accordingly, the Commission believes
the revision to be necessary.
• Revises section 11.33(a)(4) to require that
if an alert message is derived from a CAPformatted message, the contents of the text,
assembled pursuant to ECIG Implementation
Guide, should be added to the EAS device
log. This revision merely applies a current
reporting requirement to a new technical
protocol and the Commission does not expect
it to alter the reporting burden to any
appreciable degree.
• Eliminates Non-Participating National
source (NN) status and thus deletes all
references to NN status from section 11.41
(and other sections) of the Part 11 rules.
Obtaining NN status required the submission
of paperwork to the FCC, thus, eliminating
such status eliminates a potential paperwork
requirement. Because NN stations were
otherwise required to meet the same logging
and reporting requirements of non-NN
stations, the elimination of this status did not
impact other logging or reporting

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requirements to which NN stations are
subject.
• Deletes section 11.42 in its entirety,
which set forth certain reporting
requirements for common carrier stations
involved in national level EAS operations.
Like all of the provisions in section 11.42, the
provisions related to common carriers
facilitated EAS operations that were phased
out in 1995. Accordingly, deleting section
11.42 formally eliminates reporting
requirements that were effectively eliminated
long ago.
• Revises section 11.54(b)(13) to eliminate
the requirement that EAS Participants enter
into their logs/records the time of receipt of
EAT messages during a national level
emergency. This action is necessary because
the Fifth Report and Order eliminates the
EAT from the Part 11 rules, and
incrementally lessens the logging/recording
requirements associated with EANs.
• Revises section 11.55 section to clarify
that the time of receipt of CAP-formatted
emergency alert messages must be entered
into the stations/systems’ logs/records. The
requirement in section 11.55 directing
stations/systems to enter into their logs/
records the time of receipt of an emergency
alert message already broadly applies to any
emergency alert message, regardless of how
it is formatted; this revision merely makes
this point clearer.
• Adopts, in paragraphs 164–167, 170–171
and 175–176, streamlined procedures for
equipment certification that take into account
standards and testing procedures adopted by
FEMA. This revision merely applies a current
certification requirement to equipment that
complies with a new technical protocol and
the Commission does not expect it to alter
the certification burden to any appreciable
degree.
25. These requirements are intended to
advance our public safety mission and
enhance the performance of the EAS while
reducing regulatory burdens wherever
possible.
E. Steps Taken To Minimize the Significant
Economic Impact on Small Entities, and
Significant Alternatives Considered
26. The RFA requires an agency to describe
any significant alternatives that it has
considered in developing its approach,
which may include the following four
alternatives (among others): ‘‘(1) The
establishment of differing compliance or
reporting requirements or timetables that take
into account the resources available to small
entities; (2) the clarification, consolidation,
or simplification of compliance and reporting
requirements under the rule for such small
entities; (3) the use of performance rather
than design standards; and (4) an exemption
from coverage of the rule, or any part thereof,
for such small entities.’’
27. EAS Participants currently are required
to receive and process CAP-formatted alert
messages, as set forth in section 11.56. The
Fifth Report and Order adopts dozens of
revisions to Part 11 of the Commission’s rules
that are necessary in order for EAS
Participants to meet this obligation and, more
generally, to streamline and make more
efficient the operation of the EAS. The

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majority of the rule revisions are not
designed to introduce new obligations that
do not already exist, but rather, more clearly
identify and effect within Part 11 the CAP
obligations previously adopted in the Second
Report and Order. In many cases, the rule
revisions eliminate or reduce recordkeeping
and reporting requirements. In all instances,
the Commission chose the least costly,
technically feasible option. In this regard,
these revisions are designed to minimally
impact all EAS Participants, including small
entities, to the extent feasible, while at the
same time protecting the lives and property
of all Americans. This confers a direct benefit
on small entities. For example, the rule
revisions maintain the existing EAS
architecture and permit affected parties to
meet their CAP-related obligations via
intermediary devices, which potentially may
alleviate the need to obtain new EAS
equipment for many EAS Participants.
Similarly, the revisions to EAN processing
make the Part 11 rules simpler both to
understand and implement within
equipment designs.
28. Removing redundant or obsolete
sections from the EAS rules not only
streamlines EAS operation, but also
decreases costs to all involved in the
functioning of the EAS. Moreover, the CAPrelated amendments that the Commission
makes to its EAS rules are designed to
minimize costs. For example, the Fifth Report
and Order removes the obligation to receive
and process CAP-formatted alerts messages
initiated by state governors. This will
eliminate the costs of upgrading EAS
equipment to comply with this requirement.
29. Commenters were invited to suggest
steps that the Commission may take to
further minimize any significant economic
impact on small entities. When considering
proposals made by other parties, commenters
were also invited to propose alternatives that
serve the goal of minimizing the impact on
small entities. Virtually all commenters
agreed that incorporation of CAP into the
Part 11 rules will significantly benefit both
public safety officials and the public by
creating a more efficient, reliable and
effective EAS. The new rules require EAS
Participants to monitor FEMA’s IPAWS
system for Federal CAP-formatted alert
messages using whatever interface
technology is appropriate. This approach
marks an alternative from the Commission’s
proposal in the Third FNPRM and is in
response to comments received in response
to the Third FNPRM that advocated for more
flexibility for this requirement. Moreover, the
new rules permit, with certain limitations,
EAS Participants to use intermediary devices
to meet their CAP-related obligations. The
approach taken in the Fifth Report and Order
strikes a balance by allowing use of these
devices by EAS Participants—many of whom
are small or are non-commercial—but only to
the extent such devices can comply with the
rules adopted today by June 30, 2015. This
is a significantly less costly alternative to
requiring immediate compliance.
30. Report to Congress: The Commission
will send a copy of the Fifth Report and
Order, including this FRFA, in a report to be
sent to Congress and the Government

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16712

Federal Register / Vol. 77, No. 56 / Thursday, March 22, 2012 / Rules and Regulations

Accountability Office pursuant to the
Congressional Review Act. In addition, the
Commission will send a copy of the Fifth
Report and Order, including this FRFA, to
the Chief Counsel for Advocacy of the SBA.
A copy of the Fifth Report and Order and
FRFA (or summaries thereof) will also be
published in the Federal Register.
[FR Doc. 2012–6601 Filed 3–21–12; 8:45 am]

DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 17
[Docket No. FWS–R3–ES–2011–0034;
FXES11130900000C3–123–FF09E32000]
RIN 1018–AX79

Endangered and Threatened Wildlife
and Plants; Establishment of a
Nonessential Experimental Population
of American Burying Beetle in
Southwestern Missouri
Fish and Wildlife Service,
Interior.
ACTION: Final rule.
AGENCY:

We, the U.S. Fish and
Wildlife Service (Service), will
reestablish the American burying beetle,
a federally listed endangered insect, into
its historical habitat in Wah’kon-tah
Prairie in southwestern Missouri. We
will reestablish the American burying
beetle under section 10(j) of the
Endangered Species Act of 1973, as
amended (Act), and will classify that
reestablished population as a
nonessential experimental population
(NEP) within St. Clair, Cedar, Bates, and
Vernon Counties, Missouri. This rule
provides a plan for establishing the NEP
and provides for allowable legal
incidental taking of the American
burying beetle within the defined NEP
area.
DATES: This final rule is effective April
23, 2012.
ADDRESSES: This final rule is available
on http://www.regulations.gov and
available from our Web site at http://
www.fws.gov/midwest/endangered.
Comments and materials received, as
well as the supporting file for this final
rule will be available for public
inspection, by appointment, during
normal business hours, at the Columbia,
Missouri Ecological Services Office, 101
Park DeVille Dr., Suite B, Columbia, MO
65203; telephone 573–234–2132.
Persons who use a telecommunications
device for the deaf (TDD) may call the
Federal Information Relay Services
(FIRS) at 800–877–8339.

mstockstill on DSK4VPTVN1PROD with RULES

SUMMARY:

16:48 Mar 21, 2012

Scott Hamilton, Fish and Wildlife
Biologist, at the Columbia, Missouri
Ecological Services Office, 101 Park
DeVille Dr., Suite B, Columbia, MO
65203, telephone 573–234–2132;
facsimile 573–234–2181.
SUPPLEMENTARY INFORMATION:
Background

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Regulatory Background
The American burying beetle
(Nicrophorus americanus, ABB) was
listed as endangered throughout its
range on July 13, 1989 (54 FR 29652),
under the Endangered Species Act of
1973, as amended (16 U.S.C. 1531 et
seq.), without critical habitat (USFWS
2008, p. 2). The Act provides that
species listed as endangered are
afforded protection primarily through
the prohibitions of section 9 and the
requirements of section 7. Section 9 of
the Act, among other things, prohibits
the take of endangered wildlife. ‘‘Take’’
is defined by the Act as to harass, harm,
pursue, hunt, shoot, wound, kill, trap,
capture, or collect, or to attempt to
engage in any such conduct. Section 7
of the Act outlines the procedures for
Federal interagency cooperation to
conserve federally listed species and
protect designated critical habitat. It
mandates that all Federal agencies use
their existing authorities to further the
purposes of the Act by carrying out
programs for the conservation of listed
species. It also states that Federal
agencies must, in consultation with the
Service, ensure that any action they
authorize, fund, or carry out is not likely
to jeopardize the continued existence of
a listed species or result in the
destruction or adverse modification of
designated critical habitat. Section 7 of
the Act does not affect activities
undertaken on private land unless they
are authorized, funded, or carried out by
a Federal agency.
Under section 10(j) of the Act, the
Secretary of the Interior can designate
reestablished populations outside the
species’ current range, but within its
historical range, as ‘‘experimental.’’
With the experimental population
designation, the relevant population is
treated as threatened for purposes of
section 9 of the Act, regardless of the
species’ designation elsewhere in its
range. Threatened designation allows us
discretion in devising management
programs and special regulations for
such a population. Section 4(d) of the
Act allows us to adopt whatever
regulations are necessary and advisable
to provide for the conservation of a
threatened species. In these situations,
the general regulations that extend most

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section 9 prohibitions to threatened
species do not apply to that species, and
the 10(j) rule contains the prohibitions
and exemptions necessary and
appropriate to conserve that species.
Based on the best scientific and
commercial data available, we must
determine whether the experimental
population is essential or nonessential
to the continued existence of the
species. The regulations (50 CFR
17.80(b)) state that an experimental
population is considered essential if its
loss would be likely to appreciably
reduce the likelihood of survival of that
species in the wild. All other
populations are considered
nonessential. We have determined that
this experimental population will not be
essential to the continued existence of
the species in the wild. This
determination has been made because,
since the time the species was listed,
wild populations of the ABB are now
found in seven additional States, three
of which are considered robust and
suitable for donor populations (USFWS
2008, p. 14). Therefore, the Service will
designate a nonessential experimental
population (NEP) for the species in
southwestern Missouri.
When NEPs are located outside a
National Wildlife Refuge or National
Park Service unit, then, for the purposes
of section 7, we treat the population as
proposed for listing and only section
7(a)(1) and section 7(a)(4) of the Act
apply. In these instances, NEPs provide
additional flexibility because Federal
agencies are not required to consult
with us under section 7(a)(2). Section
7(a)(4) requires Federal agencies to
confer (rather than consult) with the
Service on actions that are likely to
jeopardize the continued existence of a
species proposed to be listed. The
results of a conference are in the form
of conservation recommendations that
are optional as the agencies carry out,
fund, or authorize activities. Because
the NEP is, by definition, not essential
to the continued existence of the
species, the effects of proposed actions
affecting the NEP will generally not rise
to the level of jeopardizing the
continued existence of the species. As a
result, a formal conference will likely
never be required for ABBs established
within the NEP area. Nonetheless, some
agencies voluntarily confer with the
Service on actions that may affect a
proposed species. Activities that are not
carried out, funded, or authorized by
Federal agencies are not subject to
provisions or requirements in section 7
of the Act.
American burying beetles used to
establish an experimental population
will come from a captive-rearing facility

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