Technical Requirements To Enable Blocking of Video Programming Based on Program Ratings

FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 15 and 73

[ET Docket 97-206; FCC 98-36]

Technical Requirements To Enable Blocking of Video Programming

Based on Program Ratings

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: By this Report and Order (``R&O''), the Commission is amending

the rules to require that television receivers with picture screens 33

cm (13 inches) or greater be equipped with technological features to

allow parents to block the display of violent, sexual, or other

programming they believe is harmful to their children. These features

are commonly referred to as ``v-chip'' technology. This action is in

response to the Parental Choice in Television Programming requirements.

These rules are intended to give parents the ability to block video

programming that they do not want their children to watch.

DATES: This regulation is effective May 26, 1998. The incorporation by

reference of certain publications listed in the rule is approved by the

Director of the Office of the Federal Register as of May 26, 1998.

FOR FURTHER INFORMATION CONTACT: Neal McNeil, Office of Engineering and

Technology, (202) 418-2408, TTY (202) 418-2989.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report

and Order, ET Docket 97-206, FCC 98-36, adopted March 12, 1998 and

released March 13, 1998. The full text of this decision is available

for inspection and copying during regular business hours in the FCC

Reference Center, Room 239, 1919 M Street, NW, Washington, DC. The

complete text of this decision also may be purchased from the

Commission's duplication contractor, International Transcription

Service, Inc., (202) 857-3800, 1231 20th Street, NW, Washington, DC

20036.

Summary of the Report and Order

1. In section 551(a)(9) of the Telecommunications Act of 1996

(``1996 Act''), Congress determined that parents should be provided

``with timely information about the nature of upcoming video

programming and with the technological tools that allow them easily to

block violent, sexual, or other programming that they believe harmful

to their children * * *.'' Section 551(c) directs the Commission to

adopt rules requiring that any ``apparatus designed to receive

television signals that are shipped in interstate commerce or

manufactured in the United States and that have a picture screen 13

inches or greater in size (measured diagonally) * * * be equipped with

a feature designed to enable viewers to block display of all programs

with a common rating * * *.'' Section 551(d) states that the Commission

must ``require that all such apparatus be able to receive the rating

signals which have been transmitted by way of line 21 of the vertical

blanking interval * * *.'' That provision also instructs the Commission

to oversee ``the adoption of standards by industry for blocking

technology,'' and to ensure that blocking capability continues to be

available to consumers as technology advances.

2. The Notice of Proposed Rule Making (``Notice'') in this

proceeding, 62 FR 52677, October 9, 1997, began the process of

fulfilling the requirements of section 551. In the Notice the

Commission proposed to rely on industry standard EIA-608 to provide the

methodology for television receivers to decode rating information

transmitted on line 21 of the vertical blanking interval (``VBI''). A

total of 26 parties filed comments, and 13 parties filed replies to

comments in response to the Notice.

3. Comments received in response to the Notice were uniform in

support of the Commission's proposal to adopt EIA-608 and EIA-744 as

the transmission standards for program rating information. No

commenters suggested other transmission standards that the Commission

should consider. The Commission continues to believe that EIA-608

provides an appropriate means of transmitting program rating

information on line 21. Therefore, the Commission is amending its rules

to require that all television receivers with picture screens 33 cm (13

inches) or larger, measured diagonally, shipped in interstate commerce

or manufactured in the United States, receive program ratings

transmitted pursuant to industry standards EIA-608 and EIA-744 and

block both the video and the associated audio on the main and second

audio program (SAP) channels, based on a rating level specified by the

user of the television receiver. By adopting EIA-608 and EIA-744 we are

fulfilling our mandate under section 551(d) to oversee the adoption of

standards by industry for blocking technology. The Commission is

incorporating EIA-608 and EIA-744 into its rules by reference. To

incorporate EIA-608-B by reference we will publish notice of the change

in the Federal Register and amend the CFR.

4. The Commission is requiring that television manufacturers

include blocking technology on at least half of their new product

models with a picture screen 33 cm (13 inches) or greater in size by

July 1, 1999. The remainder of the models would be required to contain

blocking technology by January 1, 2000.

Final Regulatory Flexibility Analysis

5. As required by the Regulatory Flexibility Act (``RFA''),\1\ an

Initial Regulatory Flexibility Analysis (``IRFA'') was incorporated in

the ``Notice of Proposed Rule Making

[[Page 20132]]

(Notice)''.\2\ The Commission sought written public comment on the

proposals in the Notice, including comment on the IRFA. The

Commission's Final Regulatory Flexibility Analysis (``FRFA'') in this

Report and Order conforms to the RFA.\3\

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\1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 et seq., has

been amended by the Contract with America Advancement Act of 1996,

Pub. L. 104-121, 110 Stat 847 (1996) (CWAAA). Title II of the CWAAA

is the Small Business Regulatory Enforcement Fairness Act of 1966

(SBREFA).

\2\ See ET Docket 97-206, 12 FCC Rcd 15573 (1997), Appendix A.

\3\ See 5 U.S.C. 604.

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A. Need for and Objective of the Rules

6. The rules adopted in this Report and Order are intended to give

parents the ability to block video programming that they do not want

their children to watch. This action is taken in response to the

Parental Choice in Television Programming requirements contained in

sections 551 (c) , (d), and (e) of the Telecommunications Act of 1996

(the ``1996 Act'').\4\ As described in the present Notice, Congress

determined that parents should be provided ``with timely information

about the nature of upcoming video programming and with the

technological tools that allow them to block violent, sexual, or other

programming that they believe harmful to children.'' Section 551(c) of

the 1996 Act directs the Commission to adopt rules requiring that any

``apparatus designed to receive television signals that are shipped in

interstate commerce or manufactured in the United States and that have

a picture screen 13 inches or greater in size (measured diagonally) * *

* be equipped with a feature designed to enable viewers to block

display of all programs with a common rating.'' Section 551(d) states

that the Commission must ``require that all such apparatus be able to

receive the rating signals which have been transmitted by way of line

21 of the vertical blanking interval.'' That provision also instructs

the Commission to oversee ``the adoption of standards by industry for

blocking technology,'' and to ensure that blocking capability continues

to be available to consumers as technology advances.

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\4\ Pub. L. 104-104, 111 Stat. 56 (1996).

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B. Summary of Significant Issues Raised by Public Comments in Response

to the IRFA

7. No comments were filed in direct response to the IRFA.

Commenters, including possible small entity commenters, wrote general

comments regarding the deadlines for compliance with the blocking

technology rules.\5\

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\5\ See FRFA Section E, infra, ``Steps Taken to Minimize

Significant Economic Impact on Small Entities and Significant

Alternatives Considered.''

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C. Description and Estimate of the Number of Small Entities To Which

the Rules Will Apply

8. This action requires television manufacturers to include program

blocking technology in television receivers that have a display size of

33 cm (13 inches) or larger. Personal computers that have a display

size of 33 cm (13 inches) or larger and include the ability to receive

NTSC or DTV TV signals (i.e., television broadcasting) are also subject

to the requirement to include program blocking technology. The

requirements do not apply to computers receiving video transmissions

over the Internet or via computer networks.

9. The RFA generally defines the term ``small entity'' as having

the same meaning as the terms ``small business'' ``small

organization,'' and ``small governmental jurisdictions.'' In addition,

the term ``small business'' has the same meaning as the term ``small

business concern'' under the Small Business Act, 15 U.S.C. 632, unless

the Commission has developed one or more definitions that are

appropriate to its activities.\6\ Under the Small Business Act, a

``small business concern'' is one that: (1) Is independently owned and

operated; (2) is not dominant in its field of operation; and (3) meets

any additional criteria established by the Small Business

Administration (SBA).\7\

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\6\ See 5 U.S.C. 601(3).

\7\ 15 U.S.C. 632.

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10. The Commission has not developed a definition of small entities

applicable to V-chip technology. Therefore, the Commission will utilize

the SBA definition applicable to manufacturers of Radio and Television

Broadcasting and Communications Equipment. According to the SBA's

regulations, television equipment manufacturers must have 750 or fewer

employees in order to qualify as a small business concern.\8\ Census

Bureau data indicates that there are 858 U.S. companies that

manufacture radio and television broadcasting and communications

equipment, and that 778 of these firms have fewer than 750 employees

and would be classified as small entities.\9\ The Census Bureau

category is very broad, and specific figures are not available as to

how many of these firms are manufacturers of television equipment.

However, we believe that many of the companies that manufacture

television equipment may qualify as small entities.

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\8\ 13 CFR 121.201, (SIC) Code 3663.

\9\ U.S. Department of Commerce, 1992 Census of Transportation,

Communications, and Utilities, SIC Code 3663 (issued May 1995).

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11. According to SBA regulations, a computer manufacturer must have

1,000 or fewer employees in order to qualify as a small entity.\10\

Census Bureau data indicates that there are 716 firms that manufacture

electronic computers. Of those, 659 have fewer than 500 employees and

qualify as small entities.\11\ The remaining 57 firms have 500 or more

employees; however, we were unable to determine how many of those have

1,000 or fewer employees and therefore also qualify as small entities

under the SBA definition.

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\10\ 13 CFR 121.201. (SIC) Code 3571.

\11\ U.S. Small Business Administration 1995 Economic Census

Industry and Enterprise Report, Table 3, SIC Code 3571. (Bureau of

the Census data adapted by the Office of Advocacy of the U.S. Small

Business Administration).

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D. Description of Projected Reporting, Recordkeeping and Other

Compliance Requirements

12. The Commission's rules require television receivers to be

verified for compliance with applicable FCC technical requirements. See

47 CFR 15.101, 15.117, and 2.951, et seq. Documentation concerning the

verification must be kept by the manufacturer or importer. The rules

adopted in this proceeding require that television receivers comply

with industry-developed standards for blocking display of video

programming based on program ratings. However, verification testing

regarding program blocking is not necessary because compliance with the

industry-developed standards, and the associated Commission rules, can

be determined easily during the television receiver design process. The

Commission may, of course, ask manufacturers and importers to document

upon occasion how a particular television receiver complies with the

program blocking requirements.

E. Steps Taken To Minimize Significant Economic Impact on Small

Entities and Significant Alternatives Considered

13. In the Notice we invited comment regarding the existence of

such alternate blocking technologies and whether it would be

appropriate to permit them at this time in lieu of ratings-based

blocking technology. In order to evaluate possible alternative blocking

technologies, we solicited information regarding the cost of any

alternative blocking technology as well as the cost of implementing

ratings-based technology pursuant to EIA-608.

14. EIA-608 has provided television programmers, closed-captioning

service

[[Page 20133]]

providers and television receiver manufacturers with a standard method

for transmitting and using data information transmitted on line 21. It

ensures compatibility between the various uses of this information and

minimizes the need for government regulation in this area. In the

Notice we recognized the broad acceptance of EIA-608 for transmission

of data on line 21. Accordingly, we proposed to amend our rules to

require that most television receivers receive program ratings

information transmitted pursuant to EIA-608 and block video programming

based on a ratings level specified by the user. To accomplish this, we

proposed to incorporate the appropriate provisions of EIA-608 into our

regulations. We invited comment on whether other technical standards

for blocking technology were being developed or have been developed,

and whether they should be used instead of or in addition to EIA-608.

15. Commenters were uniform in their support of our proposal to

adopt EIA-608 as the transmission standard for program ratings

information. No commenters suggested other transmission standards that

the Commission should consider. We continue to believe that EIA-608

provides an appropriate means of transmitting program ratings

information on line 21. Therefore, we are amending our rules to require

that all television receivers with picture screens 33 cm (13 inches) or

larger, measured diagonally, shipped in interstate commerce or

manufactured in the United States, receive program ratings transmitted

pursuant to industry standard EIA-608 and block both the video and the

associated audio on the main and second audio program (SAP) channels,

based on a ratings level specified by the user of the television

receiver. We are also incorporating the relevant parts of EIA-608 into

our rules, along with EIA-744 which contains a proposed amendment to

EIA-608 that will include pertinent information on transmission of

program ratings information.

16. In the Notice we also proposed to require television

manufacturers to include blocking technology on at least half of their

product models with a picture screen 33 cm (13 inches) or greater in

size by July 1, 1998. The remainder of the models would be required to

contain blocking technology by July 1, 1999. While all commenters agree

that program blocking technology should be made available to the public

as soon as possible, television manufacturers contend that the

deadlines proposed by the Commission are impossible to meet.

17. CEMA states that the design cycle for a television receiver

model takes approximately 18-24 months. According to CEMA, ``The cycle

generally begins in January, and leads to product introduction the

summer of the following year in time for the holiday buying season.''

Other commenters state that this production cycle can not be compressed

without creating the possibility of releasing an inferior product to

the market. Additionally, CEMA, Philips, and Thomson also state that

the Commission must release final rules in both this proceeding and CS

Docket 97-55 before the production cycle may begin for v-chip equipped

televisions. They request that the Commission delay the implementation

deadline for at least one year subsequent to the release of rules in

these proceedings.

18. After reviewing all of the comments filed in this proceeding,

we conclude that it is appropriate to delay our implementation

deadlines. Manufacturers were consistent in describing typical design

and production schedules for TV receivers. We believe that our rules

should conform with these schedules and provide a smooth transition for

product introduction. We realize that, given these schedules,

manufacturers are well into the production phase of sets that will be

released in July 1998. Therefore, it would be infeasible to demand that

these sets contain blocking technology. Furthermore, it would be

detrimental to consumer confidence if forced compression of

manufacturer design schedules resulted in the release of an

unsatisfactory product. Accordingly, we are revising the implementation

schedule proposed in the Notice to require that television

manufacturers include blocking technology on at least half of their new

product models with a picture screen 33 cm (13 inches) or greater in

size by July 1, 1999. The remainder of the models would be required to

contain blocking technology by January 1, 2000.

Report to Congress

The Commission will send a copy of the Report and Order, including

this FRFA, in a report to Congress pursuant to the Small Business

Regulatory Enforcement Fairness Act of 1966, see 5 U.S.C. 801(a)(1)(A).

A copy of the Report and Order and this FRFA (or summary thereof) will

also be published in the Federal Register, see 5 U.S.C. 604(b), and

will be sent to the Chief Counsel for Advocacy of the Small Business

Administration.

List of Subjects

47 CFR Part 15

Communications equipment, Computer technology, Incorporation by

reference.

47 CFR Part 73

Communications equipment, Television.

Federal Communications Commission.

Magalie Roman Salas,

Secretary.

Rule Changes

For the reasons discussed in the preamble part 15 and 73 of title

47 of the Code of Federal Regulations, are amended as follows:

PART 15--RADIO FREQUENCY DEVICES

1. The authority citation for part 15 continues to read as follows:

Authority: 47 U.S.C. 154, 302, 303, 304, 307 and 544A.

2. A new Sec. 15.120 is added to read as follows:

Sec. 15.120 Program blocking technology requirements for television

receivers.

(a) Effective July 1, 1999, manufacturers of television broadcast

receivers as defined in section 15.3(w) of this chapter, including

personal computer systems meeting that definition, must ensure that

one-half of their product models with picture screens 33 cm (13 in) or

larger in diameter shipped in interstate commerce or manufactured in

the United States comply with the provisions of paragraphs (c), (d),

and (e) of this section.

Note: This paragraph places no restrictions on the shipping or

sale of television receivers that were manufactured before July

1999.

(b) Effective January 1, 2000, all TV broadcast receivers as

defined in section 15.3(w) of this chapter, including personal computer

systems meeting that definition, with picture screens 33 cm (13 in) or

larger in diameter shipped in interstate commerce or manufactured in

the United States shall comply with the provisions of paragraphs (c),

(d), and (e) of this section.

(c) Transmission format.

(1) Analog television program rating information shall be

transmitted on line 21 of field 2 of the vertical blanking interval of

television signals, in accordance with Sec. 73.682(a)(22) of this

chapter.

(2) [Reserved]

(d) Operation.

(1) Analog television receivers will receive program ratings

transmitted

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pursuant to industry standard EIA-744 ``Transport of Content Advisory

Information Using Extended Data Service (XDS)'', October 1997,

Electronics Industries Association and EIA-608 ``Recommended Practice

for Line 21 Data Service'', September 1994, Electronics Industries

Association. This incorporation by reference was approved by the

Director of the Federal Register in accordance with 5 U.S.C. 552(a) and

1 CFR part 51. Blocking of programming shall occur when a program

rating is received that meets the pre-determined user requirements.

Copies of EIA-744 and EIA-608 may be obtained from: Global Engineering

Documents, 15 Inverness Way East, Englewood, Co 80112-5704. Copies of

EIA-744 and EIA-608 may be inspected during normal business hours at

the following locations: Federal Communications Commission, 2000 M

Street, NW, Technical Information Center (Suite 230), Washington, DC,

or the Office of the Federal Register, 800 North Capitol Street, NW,

suite 700 Washington, DC.

(2) Digital television receivers shall react in a similar manner as

analog televisions when programmed to block specific rating categories.

(e) All television receivers as described in paragraph (a) of this

section shall block programming as follows:

(1) Channel Blocking. Channel Blocking should occur as soon as a

program rating packet with the appropriate Content Advisory or MPAA

rating level is received. Program blocking is described as a receiver

performing all of the following:

Muting the program audio.

Rendering the video black or otherwise indecipherable.

Eliminating program-related captions.

(2) Default State. The default state of a receiver (i.e., as

provided to the consumer) should not block unrated programs. However,

it is permissible to include features that allow the user to reprogram

the receiver to block programs that are not rated.

(3) Picture-In-Picture (PIP). If a receiver has the ability to

decode program-related rating information for the Picture-In-Picture

(PIP) video signal, then it should block the PIP channel in the same

manner as the main channel. If the receiver does not have the ability

to decode PIP program-related rating information, then it should block

or otherwise disable the PIP if the viewer has enabled program

blocking.

(4) Selection of Ratings. Each television receiver, in accordance

with user input, shall block programming based on the age based

ratings, the content based ratings, or a combination of the two.

(i) If the user chooses to block programming according to its age

based rating level, the receiver must have the ability to automatically

block programs with a more restrictive age based rating. For example,

if all shows with an age-based rating of TV-PG have been selected for

blocking, the user should be able to automatically block programs with

the more restrictive ratings of TV-14 and TV-MA.

(ii) If the user chooses to block programming according to a

combination of age based and content based ratings the receiver must

have the ability to automatically block programming with a more

restrictive age rating but a similar content rating. For example, if

all shows rated TV-PG-V have been selected for blocking, the user

should be able to block automatically shows with the more restrictive

ratings of TV-14-V and TV-MA-V.

(iii) The user should have the capability of overriding the

automatic blocking described in paragraphs (e)(4)(i) and (4)(ii) of

this section.

PART 73--RADIO BROADCAST SERVICES

1. The authority citation for part 73 continues to read as follows:

Authority: 47 U.S.C. 154, 303, 334 and 336.

2. Section 73.682 is amended by revising paragraphs (a)(22)(i) and

(a)(24)(iii)(A) to read as follows:

Sec. 73.682 TV transmission standards.

(a) * * *

(22)(i) Line 21, in each field, may be used for the transmission of

a program-related data signal which, when decoded, provides a visual

depiction of information simultaneously being presented on the aural

channel (captions). Line 21, field 2 may be used for transmission of a

program-related data signal which, when decoded, identifies a rating

level associated with the current program. Such data signals shall

conform to the format described in figure 17 of Sec. 73.699 of this

chapter, and may be transmitted during all periods of regular

operation. On a space available basis, line 21 field 2 may also be used

for text-mode data and extended data service information.

Note: The signals on Fields 1 and 2 shall be distinct data

streams, for example, to supply captions in different languages or

at different reading levels.

* * * * *

(24) * * *

(iii) * * *

(A) The use of such signals shall not result in significant

degradation to any portion of the visual, aural, or program-related

data signals of the television broadcast station;

* * * * *

[FR Doc. 98-10742 Filed 4-22-98; 8:45 am]

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