FCC Equipment AuthorizationProcedure and Updates

or.. How the FCC plays with global markets

Mike Violette, DirectorAmerican Certification Body

mikev@acbcert.com

My background• Professional Engineer• iNARTE-Certified EMC Engineer• Founder, Washington Laboratories (1989)• Founder, American Certification Body (1999)• Board of Directors, American Council of Independent

Labs (ACIL)• Board of Directors, Exemplar Global/iNARTE• Education Committee Chair, TCBC

Overview of Presentation

• FCC 14-208 Equipment Authorization order process changes

• KDB Updates• FCC NPRM 15-92 proposed changes

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Three Important Days in 2016• July 12, 2016• October 12, 2016• December 25, 2016

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Review of Equipment Authorization Program

• First NPRM – TCB Obligations– Consider:

• Refine & codify PBA procedure • Clarify TCB obligations for post-grant checks• Require accreditation for all test labs• Recognize latest industry testing standards

• Second NPRM – Administrative Procedures– Consider:

• Merge different self-approval procedures• Modify permissive change and Software Defined Radio rules• Certify modular transmitters for licensed services

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Equipment Authorization Order

• Equipment Authorization Report and Order– ET Docket No. 13-44, RM-11652– NPRM Released: February 15, 2013– R&O FCC 14-208 Adopted: December 17, 2014

• Released December 30, 2014– Effective Date: July 13, 2015

• Some transition periods allow specific sections of order to have later effective date

– FCC updated multiple (~74) KDBs impacted by order• Outline:

– Transition Period– TCB Program– Test Laboratories– Site Validation– KDB Work Plan

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Transition Period 2.950/Timeline

• On July 13, 2015:– Discontinued accepting Form 731 requests for FCC equipment authorization

applications– Discontinue accepting requests for “2.948 Listing” of test laboratories

• On and after July 13, 2016– All recognized 2.948 listed test firms expired– Require use of C63.4-2014 and C63.10-2013

• After October 12, 2016– Stop accepting test reports from all “2.948 listed” for devices tested prior to July

13, 2016

• On or after July 13, 2018– Test firms required to meet new site validation requirements for radiated

emissions above 1 GHz

TCB Program• All certification of RF Equipment by TCBs

– As of July 13, 2015 FCC no longer accepts new equipment authorization applications for FCC to issue grant

• Authority for TCB to dismiss (DM) applications for certification not compliant with FCC requirements– Pre grant

• May only DM applications TCB was requested to grant• Must upload all exhibits and provide specific reason

– Post grant• May only DM grants they approved• May only DM within 30 calendar days of grant date

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TCB Program (2)• Pre-approval guidance (PAG) procedure

– Former Permit but Ask (PBA) now codified in 2.964 • No significant changes from PBA process• Programming plan to move process out of KDB and have TCBs initiate

process directly with 731 submission– Add question to 731~ “Is pre approval guidance required for this application?”.

» This will initiate FCC review and any FCC questions, clarifications or sample requests will be sent thru 731 application process

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TCB Program (3)• Post-market surveillance

– Requirements codified in 2.962(g)• Details remain in KDB 610077• Audit % not changing

– Order allows TCB to request voucher to obtain sample directly from market but doesn’t require voucher process to be used

– Programming Plan (pending)• Create process for TCB to request sample from FCC website and

sample request sent by FCC– Not mandatory to request thru FCC site

• Create process for TCB to update status of sample requests on FCC website

– Automated emails to TCB when no updates– Allows FCC to better manage audit process– Future surveillance process changes being evaluated

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TCB Program (4)• Post-market surveillance

– Programming Plan (continued)• Create process for TCB to upload non compliance finding directly to FCCID• Create automated notifications to FCC regarding grantees that are not responsive to

sample requests

• Assessing TCB performance (2.962(e))– Additional options for addressing TCB performance issues:

• Limit scope of deficient TCB• Require deficient TCB to have all grants processed thru pre approval guidance

procedures

• Update rules to reference current ISO/IEC Standards:• ISO/IEC 17011:2004 for Accreditation Bodies• ISO/IEC 17025:2005 for Accredited Laboratories• ISO/IEC 17065:2012 – TCBs must be accredited and FCC recognized by September

15, 2015 to continue issuing grants of Certification

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TCB Program (5)• Eliminating letter mailing

– Goal is to implement electronically signed and digitally verified documents on website and attached to emails

– Requires valid emails for all parties• Steps occurring now to validate email addresses

– Blocking grantees with no email address on record– Email confirmations when new grantee or other entity created– Email confirmations when key employee added

– FCC transition to electronic correspondence process• FCC receiving increasing number of undeliverable bounce backs

– FCC emails identified as spam by mail servers– Some mail servers only accept email from “validated” user

• All FCC equipment authorization and KDB emails sent from:– OETECH@fccsun27W.fcc.gov

» FCC initiated Email created by specific user but not sent from their email account» Verify that OETECH@fccsun27W.fcc.gov is allowed address

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Testing Laboratories• Discontinue “2.948 Listing” Program

– On July 13, 2015 FCC stopped accepting requests for recognition of 2.948 listed test firms

– FCC will complete reviews of 2.948 listing requests submitted before July 13, 2015

– All 2.948 listed test firms with an expiration date after July 12, 2016 will have expiration date modified to July 12, 2016

– All 2.948 listed test firms with an expiration date after July 13, 2015 but before July 12, 2016 will retain their current expiration date

• These test firms will be able to follow the normal renewal procedures, if there are no changes to their test site since the last recognition, to extend their expiration date to one year from the effective date

– This process will not occur automatically

Testing Laboratories (2)• Discontinue “2.948 Listing” Program (cont.)

– Test reports for testing completed at 2.948 listed test firms which remain recognized until July 12, 2016, where the testing is completed prior to July 12, 2016 will be accepted by the FCC and TCBs until October 12, 2016

• Order requires that all equipment subject to Certification and DoC procedures, under any rule part, be tested by a testing laboratory accredited to ISO/IEC 17025 and recognized by the FCC as accredited– Under current rules only DoC devices and Part 15/18 Certified

devices require testing at an accredited/FCC recognized test laboratory

• Now devices under licensed radio services are included

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Testing Laboratories (3)• Recognition of accredited testing laboratories

– FCC KDB 974614-Accredited Test Firm Roles and Responsibilities updated June 23, 2015

• Viewable at www.fcc.gov/kdb• Identifies scopes for FCC recognized test labs

– Test firms must be accredited to ISO/IEC 17025 and the FCC requirements and FCC recognized as accredited in order for reports to be acceptable

– Testing by external resources/subcontracted must be completed by accredited test firm that is FCC recognized

• This is an expansion of the requirements in ISO/IEC 17025– TCBs are required to verify that a test firm is FCC recognized

for scope of testing for test reports they accept and authorize

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Testing Laboratories (4)• Accredited testing laboratory initial scopes

– Test firms don’t need to be accredited to all scopes but must be accredited to everything within each scope they are accredited for

– FCC discussing plan to apply scopes on ~370 currently recognized Labs

– Scopes:• Part 15 Unintentional Radiators• Part 18 Industrial, Scientific, and Medical Equipment• Part 15 Intentional Radiators Below 26.5 GHz except Part 15D and

15E(DFS)• Part 15 Intentional Radiators above 26.5 GHz except Part 15D and

15E(DFS)• Part 15 Subpart D (UPCS)• Part 15 Subpart E Dynamic Frequency Selection (DFS) Devices

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Testing Laboratories (5)• Scopes (cont.)

• Licensed Radio Service Equipment - Commercial Mobile– Rule Parts 20, 22(Cell), 24, 25,27

• Licensed Radio Service Equipment - General Mobile– Rule Parts 22(Cell), 90, 95, 97

• Licensed Radio Service Equipment - Citizens Broadband– Rule Part 96

• Licensed Radio Service Equipment - Maritime/Aviation– Rule Parts 80 and 87

• Licensed Radio Service Equipment - Microwave– Rule Parts 27, 74, 101

• Licensed Radio Service Equipment - Broadcast– Rule Parts 73 and 74

• RF Radiation Exposure• Part 20 Hearing Aid Compatibility (HAC)

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Test Firm Accrediting Bodies• Test Firm Accreditation Body (TFAB) recognition

– Order codifies requirements for recognition of laboratory Accreditation bodies - 47 CFR 2.949

• Current procedures allow FCC to recognize:– Domestic accredited labs– Foreign accredited labs under the terms of Government to

Government Mutual Recognition Agreement (MRA)» US Accreditation bodies may assess foreign labs in

MRA partner countries but lab is designated to FCC through MRA recognize designating authority

– Alternative arrangements can be recognized by FCC» Currently no alternative arrangements recognized» If procedures to recognize non MRA country accrediting

bodies and testing labs are developed they will be published but this is not required by FCC 14-208

• Order allows same options but does not require that FCC develop procedures to recognize accrediting bodies in non MRA countries

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FCC Test Labs

• FCC 2.948 Listed: 545• Accredited: 345

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Testing Laboratories

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Country 2.948 Labs Accredited Labs

China 174 0Japan 73 64Taiwan 66 52US 58 118S. Korea 37 31Germany 27 13UK 18 9Hong Kong 11 8Canada 10 13India 10 0Italy 9 1France 5 6Israel 5 3Sweden 4 2Malaysia 2 0Netherlands 2 6Vietnam 1 0Brazil 0 0Spain 0 3

Testing Laboratories by MRA

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Country MRA

Taiwan APECS. Korea APECHong Kong APECCanada APECVietnam APECGermany US-EUUK US-EUItaly US-EUFrance US-EUSweden US-EUNetherlands US-EUSpain US-EUIsrael US-ISRJapan US-JPNChinaIndia -Malaysia -Brazil -

Testing Laboratories innon MRA Countries

• Test Firms in non MRA countries– FCC recognized US Test Firm Accreditation bodies (TFAB’s)

are currently only permitted to designate domestic accredited test firms to the FCC

– MRA Partner TFAB’s are only permitted to designate test firms within their territory to the FCC

– Current procedures don’t recognize accredited test firms in non MRA countries

• FCC is considering options and discussing issues with stakeholders

• Two petitions for reconsideration filed– Under consideration

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Who will be impacted?• Non-MRA Countries

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Who else will be impacted?• And many labs in MRA countries!

• Unaccredited labs

• Accredited labs (Huh?)

• There are two conditions:– Must be “notified” to the FCC counterpart in the MRA country– Must update the scopes on their accreditation

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Who else will be impacted?• Just a lot of global electronics trade

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Global Electronics Trade2014

• Worldwide trade in electronics is ~$5T• China exports about $2.2T

– ~24% is electronics

• US Imports of electronics (all): $314B

~$130B

26http://www.worldstopexports.com

Phone system devices: US$95.3 billion (up 34% from 2010)Integrated circuits/microassemblies: $29.6 billion (up 36.3%)TV receivers/monitors/projectors: $26.9 billion (down -24%)Insulated wire/cable: $18.6 billion (up 52%)Electrical converters/power units: $13.9 billion (up 21.2%)Lower-voltage switches, fuses: $10 billion (up 24.3%)Electrical/optical circuit boards, panels: $9.5 billion (up 66.8%)Solar power diodes/semi-conductors: $9.4 billion (up 25.5%)TV receiver/transmit/digital cameras: $9.3 billion (down -22%)Electric motors, generators: $9.1 billion (up 51.3%)

FCC Certifications: 2004-2014

Certified Devices

5X Growth Rate Globally!

FCC Certifications: 2004-2014

Asia:

Test Labs in China• 174 Test Sites are listed under FCC 2.948

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Supply Chain Economics

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Petition for Reconsideration• Petitions for Reconsideration/Clarification

– Telecommunications Industry Association (TIA)– Motorola Solutions– Public Notice, October 22, 2015 – comments and reply comments to

petitions

• Similar petitions for clarification and reconsideration on the Equipment Authorization Order – Clarify the procedures for the recognition of accreditation bodies that

can accredit testing laboratories in non-MRA countries– Provide two years rather than one year as a transition period for

currently non-accredited testing laboratories to complete the process

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Back to the Nitty Gritty of the Rules

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Measurement Standards Recognized by FCC 14-208

• ANSI C63.4-2014 – Measurement Procedures for Compliance Testing of Unintentional Radiators

– Replaces ANSI C63.4-2003 and ANSI C63.4-2009 editions.– Becomes mandatory for use after July 12, 2016

• Any of the three versions of the standard may be used until July 12, 2016• Order provides special exceptions for use of 2003 version for a limited time.

• ANSI C63.10-2013 – Measurement Procedures for Compliance Testing of Unlicensed Wireless Devices

– Replaces ANSI C63.10-2009 referenced by FCC Public Notice DA-09-2478.

– Becomes mandatory for use after July 12, 2016 – Either standard may be used during the transition period.

• ANSI C63.5-2006 – RF Measurement Antenna Calibration– Defines antenna calibration requirements for NSA testing integral to

both ANSI C63.4-2014 and ANSI C63.10-2013.– New edition currently in ballot comment resolution.

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Radiated Test Site Validation

• FCC radiated test site validation requirements are defined in §2.948(d)

• Radiated test site technical requirements are encapsulated in ANSI C63.4-2014 for unlicensed unintentional radiators and in ANSI C63.10-2013 for unlicensed intentional radiators

• In general, test sites used for radiated emissions measurements are required to comply with ANSI C63.4-2014 and validation of the test site shall be confirmed no less than once every three years.

• KDB Publication 704992 will be updated and provide additional information regarding FCC test site validation requirements.

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Site Validation Requirements as a Function of Frequency Range

• Test site validation requirements for radiated emissions measurements in the 30 MHz to 1000 MHz frequency range.

– Radiated test sites shall comply with the site validation requirements specified in ANSI C63.4-2014 clause 5.4.

• Test site validation for radiated emissions measurements at frequencies above 1000 MHz

– Radiated test sites shall comply with the site validation requirements specified in ANSI C63.4-2014 (Clause 5.5.1), such that the validation criteria stated by CISPR 16-1-4:2010-04 is satisfied.

– ANSI C63.4-2014 provides two options for test sites to be use to perform radiated emissions measurements above 1 GHz:

• utilize site validation criterion specified in CISPR 16-1-4:2010; or • cover a specified area of the ground plane as described in ANSI C63.4-

2014. – ANSI C63.10 requires a radiated test site for use above 1 GHz to

conform to the site validation criteria specified in CISPR 16-1-4:2010.

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Site Validation Transition Period• Order provides for a three year transition period for

bringing test sites into compliance with the CISPR standard. – Over the duration of this three-year transition period, either

option specified in ANSI C63.4-2014 may be used. – However, at the conclusion of the transition period, any test site

to be used for radiated emission measurements above 1 GHz with respect to both unintentional and intentional radiators shall comply with CISPR 16-1-4:2010-04.

• Test laboratories are encouraged to begin the transition to CISPR 16-1-4:2010 immediately so as to permit the time necessary for making any requisite changes needed to bring their test sites into compliance.

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Delegated Authority• Delegated authority

– Provides greater flexibility for FCC/OET to use delegated authority to address minor technical issues related to updating standards for Parts 2, 5, 15 and 18.

• New standards adoption or major standards revisions must still go through rulemaking process

KDB Publications

• FCC is updating multiple KDBs impacted by order

• Review of KDB Publications– On-going review of all KDB publications– Changes resulting from Equipment

Authorization Order– Developing Index of KDB Publications

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KDB Updates• KDB 974614 Accredited Test Firm Roles and

Responsibilities– Modified for FCC 14-208

• Added scopes of accreditation and test methods• 2.949 Recognition of test firm accrediting bodies• Site validation requirements• Accredited/FCC recognized test labs required for testing all

DoC and Certified devices• Compliance testing experimental radio license

– Updated contacts and addresses for A2LA and ANAB(formerly ACLASS)

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KDB Updates (2)

• KDB 853844 Accredited Testing Laboratory FCC Technical Assessment Checklist– Modified for FCC 14-208

• Reduced questions specific to ANSI C63.4• Adjusted questions to be applicable for additional standards• Added questions regarding accredited lab scopes

• KDB 641163 TCB Program Roles and Responsibilities– Modified for FCC 14-208

• Table 2 Scopes of accredited test laboratories• Subcontracted testing by accredited/FCC recognized test lab

– Clarified evaluation/review/decision on certification– Combined testing capability and core testing sections– Updated TCB personnel training section– New draft publication expected soon

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KDB Updates (3)• KDB 668797 TCB Program ISO/IEC 17065 Technical

Assessment Form– Modified for FCC 14-208

• Removed expired KDBs

• KDB 610077 TCB Post Market Surveillance– Modified for FCC 14-208

• Updated rule parts and references

• KDB 388624 Pre Approval Guidance– Modified for FCC 14-208

• Change name from Permit but Ask to Pre Approval Guidance

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KDB Publications

• Recent KDB Publications– 249634 Change in FCC ID– 388624 Pre-Approval Guidance– 996369 Modules

• RF Exposure – updates due to terminology changes in EA Order

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Part 2Equipment Authorization NPRM

• On July 21, 2015 the Federal Communications Commission (FCC) released a Notice of Proposed Rulemaking (NPRM) to update the rules that govern the evaluation and approval of radiofrequency (RF) devices.

• Comments due October 9, 2015.• Reply Comments are due November 9, 2015.

– See FCC 15-92, Amendment of Parts 0, 1, 2, 15 and 18 of the Commission's Rules regarding Authorization of Radiofrequency Equipment and Request for the Allowance of Optional Electronic Labeling for Wireless Devices, ET Docket No. 15-170, RM-11673, Notice of Proposed Rulemaking (released July 21, 2015).

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Equipment Authorization NPRM

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Supplier’s Declaration of Conformity

• Combine two separate product approval programs – Declaration of Conformity and Verification – into one product self-approval program:– Verification and DoC are used for equipment that has a strong record

of compliance and for which there is minimal risk of harmful interference

– Documentation– FCC Logo– Labeling of products– Test Laboratory qualifications and use of an accredited

laboratory???? Or not?

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Modular Transmitters• Codify and clarify the provisions for certification of

modular transmitters – including those in products used for our licensed radio services – and for radios where the RF parameters are controlled by software– Section 15.212 specifies eight requirements for modular

transmitter approval– Incorporate the Part 15 rules and KDB guidance for limited

modular approvals into our revised Part 2 rule– RF exposure rules apply to all devices– Eliminate modular transmitters that are “split” into the

“radio front end” (the radio elements) and the “transmitter control element” (the hardware on which the software that controls the radio operation resides)

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Responsible Party

• Clarify responsibilities for compliance when a final product may be comprised of one or more certified modular transmitters– Certified modular transmitter installed – no

certification application required.– Certified modular transmitter installed – additional

certification application(s) required– Modification of certified equipment by third-party– Repaired and refurbished devices– Imported equipment

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Confidentiality• Codify existing practices that protect the confidentiality of market-

sensitive information• Short-term confidentiality.

– Short-term confidentiality upon the applicant’s request for 45 days, which may be extended with serial requests to a maximum of 180 days.

– Immediately end such short-term confidentially period if the device is marketed to the public or otherwise publicized by the applicant or by an entity acting on the applicant’s behalf prior to the expiration of this period.

– Short-term confidentiality automatically granted for some or all exhibits without being specifically requested by the applicant.

• Long-term confidentiality– Propose to automatically and indefinitely withhold from public inspection

application the following types of exhibits: (1) schematics, (2) block diagrams, (3) operational descriptions, and (4) parts list / tune-up information.

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E-Label• E-LABEL Act requires the Commission, by August 26, 2015

– “To promulgate regulations or take other appropriate action, as necessary, to allow manufacturers of radiofrequency devices with display the option to use electronic labeling for the equipment in place of affixing physical labels to the equipment.”

• OET has provided guidance regarding when and how a device’s electronic display may be used to convey certain required label information.

– KDB Publication 784748 allows for the electronic display of the FCC ID, the FCC logo currently required under the DoC procedures, and/or any other information that is required by our equipment authorization rules to be provided on the surface of the product.

• The NPRM proposal will allow any radiofrequency device equipped with an integrated electronic display screen to display on the electronic display the FCC Identifier, any warning statements, or other information that the Commission’s rules would otherwise require to be shown on a physical label attached to the device.

• The proposed rules would not change the requirements to place warning statements or other information on device packaging or in user manuals or make information available at the point of sale.

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Measurement Procedures

• Eliminate unnecessary or duplicative rules and consolidate rules from various specific rule parts into the equipment authorization rules in Part 2

• Draft ANSI C63.26 – measurement procedures for compliance

testing of transmitters used in licensed radio services

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Importation

• Discontinue the requirement that importers file FCC Form 740 with Customs and Border Protection for RF devices that are imported into the United States.

• Modification of Customs bonded warehouse requirement

• Increasing the number of trade show devices• Excluded devices• Devices imported for personal use

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Summary

• Order Implementation– Continuing to update KDB publications – Considering Petitions for Reconsideration and

Clarification• Notice of Proposed Rulemaking

– Waiting…waiting...waiting...

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Questions?

• Contact:

• mikev@acbcert.com

• www.acbcert.com