1. 4/26/2017
FCC Equipment Authorization Procedure and Updates or.. How the FCC plays with global markets Mike Violette, Director American Certification Body

2. 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

3. Overview of Presentation
FCC Equipment Authorization order process changes
KDB Updates
FCC NPRM proposed changes

4. Three Important Days in 2016
July 12, 2016
October 12, 2016
December 25, 2016

5. 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
Merge different self-approval procedures
Modify permissive change and Software Defined Radio rules
Certify modular transmitters for licensed services

6. Equipment Authorization Order
Equipment Authorization Report and Order
ET Docket No , RM-11652
NPRM Released: February 15, 2013
R&O FCC 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

7. 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 listed test firms expired
Require use of C and C
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

8. 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

9. 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

10. TCB Program (3) Post-market surveillance
Requirements codified in 2.962(g)
Details remain in KDB
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 s to TCB when no updates
Allows FCC to better manage audit process
Future surveillance process changes being evaluated

11. 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

12. TCB Program (5) Eliminating letter mailing
Goal is to implement electronically signed and digitally verified documents on website and attached to s
Requires valid s for all parties
Steps occurring now to validate addresses
Blocking grantees with no address on record
confirmations when new grantee or other entity created
confirmations when key employee added
FCC transition to electronic correspondence process
FCC receiving increasing number of undeliverable bounce backs
FCC s identified as spam by mail servers
Some mail servers only accept from “validated” user
All FCC equipment authorization and KDB s sent from:
FCC initiated created by specific user but not sent from their account
Verify that is allowed address

13. Testing Laboratories Discontinue “2.948 Listing” Program
On July 13, 2015 FCC stopped accepting requests for recognition of listed test firms
FCC will complete reviews of listing requests submitted before July 13, 2015
All listed test firms with an expiration date after July 12, 2016 will have expiration date modified to July 12, 2016
All 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

14. Testing Laboratories (2)
Discontinue “2.948 Listing” Program (cont.)
Test reports for testing completed at 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 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

15. Testing Laboratories (3)
Recognition of accredited testing laboratories
FCC KDB Accredited Test Firm Roles and Responsibilities updated June 23, 2015
Viewable at
Identifies scopes for FCC recognized test labs
Test firms must be accredited to ISO/IEC 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

16. 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

17. 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)

18. 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
Order allows same options but does not require that FCC develop procedures to recognize accrediting bodies in non MRA countries

19. FCC Test Labs
FCC Listed: 545
Accredited: 345

20. Testing Laboratories Country 2.948 Labs Accredited Labs China 174
Japan 73 64
Taiwan 66 52 US 58
118
S. Korea 37 31
Germany 27 13 UK 18 9
Hong Kong 11 8
Canada 10
India
Italy 1
France 5 6
Israel 3
Sweden 4 2
Malaysia
Netherlands
Vietnam
Brazil
Spain

21. Testing Laboratories by MRA
Country
MRA
Taiwan
APEC
S. Korea
Hong Kong
Canada
Vietnam
Germany
US-EU UK
Italy
France
Sweden
Netherlands
Spain
Israel
US-ISR
Japan
US-JPN
China
India -
Malaysia
Brazil

22. Testing Laboratories in non 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

23. Who will be impacted?
Non-MRA Countries

24. 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

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

26. Global Electronics Trade 2014
Worldwide trade in electronics is ~$5T
China exports about $2.2T
~24% is electronics
US Imports of electronics (all): $314B
~$130B
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%)

27. FCC Certifications: 2004-2014 Certified Devices
5X Growth Rate Globally!

28. FCC Certifications:
Asia:

29. Test Labs in China
174 Test Sites are listed under FCC 2.948

30. Supply Chain Economics

31. 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

32. Back to the Nitty Gritty of the Rules

33. Measurement Standards Recognized by FCC 14-208
ANSI C – Measurement Procedures for Compliance Testing of Unintentional Radiators
Replaces ANSI C and ANSI C 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 C – Measurement Procedures for Compliance Testing of Unlicensed Wireless Devices
Replaces ANSI C referenced by FCC Public Notice DA
Either standard may be used during the transition period.
ANSI C – RF Measurement Antenna Calibration
Defines antenna calibration requirements for NSA testing integral to both ANSI C and ANSI C
New edition currently in ballot comment resolution.

34. 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 C for unlicensed unintentional radiators and in ANSI C for unlicensed intentional radiators
In general, test sites used for radiated emissions measurements are required to comply with ANSI C and validation of the test site shall be confirmed no less than once every three years.
KDB Publication will be updated and provide additional information regarding FCC test site validation requirements.

35. 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 C 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 C (Clause 5.5.1), such that the validation criteria stated by CISPR : is satisfied.
ANSI C provides two options for test sites to be use to perform radiated emissions measurements above 1 GHz:
utilize site validation criterion specified in CISPR :2010; or
cover a specified area of the ground plane as described in ANSI C
ANSI C63.10 requires a radiated test site for use above 1 GHz to conform to the site validation criteria specified in CISPR :2010.

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

37. 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

38. 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

39. KDB Updates KDB 974614 Accredited Test Firm Roles and Responsibilities
Modified for FCC
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)

40. KDB Updates (2)
KDB Accredited Testing Laboratory FCC Technical Assessment Checklist
Modified for FCC
Reduced questions specific to ANSI C63.4
Adjusted questions to be applicable for additional standards
Added questions regarding accredited lab scopes
KDB TCB Program Roles and Responsibilities
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

41. KDB Updates (3)
KDB TCB Program ISO/IEC Technical Assessment Form
Modified for FCC
Removed expired KDBs
KDB TCB Post Market Surveillance
Updated rule parts and references
KDB Pre Approval Guidance
Change name from Permit but Ask to Pre Approval Guidance

42. KDB Publications Recent KDB Publications
Change in FCC ID
Pre-Approval Guidance
Modules
RF Exposure – updates due to terminology changes in EA Order

43. Part 2 Equipment 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 , RM-11673, Notice of Proposed Rulemaking (released July 21, 2015).

44. Equipment Authorization NPRM

45. 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?

46. 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 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)

47. 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

48. 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.

49. 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 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.

50. 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

51. 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

52. Summary Order Implementation Notice of Proposed Rulemaking
Continuing to update KDB publications
Considering Petitions for Reconsideration and Clarification
Notice of Proposed Rulemaking
Waiting…waiting...waiting...

53. Questions?
Contact: