Source: http://www.fcc.gov/print/node/45874
Timestamp: 2013-12-11 20:36:51
Document Index: 179051669

Matched Legal Cases: ['arts 2', '§ 302', '§ 2', '§ 2', 'art 68', '§ 68', 'art 68', 'art 2', 'art 68', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', 'arts 2', '§ 2']

8. TCBs, which may be located in the United States or in certain foreign countries, all have the same responsibilities regardless of their location. However, their location dictates the method by which they are designated. TCBs within the United States are designated by the Commission after demonstrating that they are accredited to meet the applicable requirements by NIST or its designated accrediting organization.25 Certification bodies located outside of the United States can be recognized as a TCB only under the terms of a Mutual Recognition Agreement (MRA) between a foreign country and the United States government. Each MRA specifies an authority, typically a government entity, that designates TCBs in the country or countries covered by the MRA. The Commission then recognizes the designated TCBs. No TCBs are designated in countries that do not have an MRA with the United States. 18 See 1998 Biennial Regulatory Review -- Amendment of Parts 2, 25 and 68 of the Commission's Rules to Further Streamline the Equipment Authorization Process for Radio Frequency Equipment, Modify the EquipmentAuthorization Process for Telephone Terminal Equipment, Implement Mutual Recognition Agreements and Begin Implementation of the Global Mobile Personal Communications by Satellite (GMPCS) Arrangements, GEN Docket No. 98-68, Report and Order, 13 FCC Rcd 24687 (1998) (Streamlining II Order).19 47 U.S.C. § 302a(e).20 See 47 C.F.R. §§ 2.960, 2.962. See also TCB Program Roles and Responsibilities (rel. February 14, 2008), available on the Commission’s Equipment Authorization web site at http://www.fcc.gov/oet/ea/FCC-Overview [4]-TCB-Program.pdf. 21 47 C.F.R. § 2.960.22 Id.23 See infra paragraph 18. Many TCBs also approve terminal equipment under Part 68 of the rules. See 47 C.F.R. § 68.160. The terminal approval procedures in Part 68 differ from the RF equipment approval procedures in Part 2. See 47 C.F.R. Part 68 Subpart C.24 See infra paragraphs 34-36.25 NIST has recognized the American National Standards Institute (ANSI) and the American Association for Laboratory Accreditation (A2LA) as accreditors for TCBs.
Declaration of Conformity (DoC) is a procedure that requires the party responsible for compliance to follow certain measurement requirements and/or take other necessary steps to ensure that the equipment complies with the appropriate technical standards.30 A compliance information statement must be supplied with the product, identifying the product and a responsible party within the United States, and containing the statement specified in Section 15.19(a)(3).31 The responsible party is not required to file an equipment authorization application with the Commission or a TCB, or to submit a sample unit or test data unless specifically requested.32 However, the responsible party must submit to the Commission upon request records of the original design drawings and specifications, the procedures used for production inspection and testing, a report of RF emission measurements, the compliance information statement, and a sample of the device.33 The DoC authorization procedure is typically required for types of RF equipment that have a good record of compliance, where the testing methodology is clearly defined and recognized by the Commission, and there is a low risk of interference. Examples of devices subject to a DoC include personal computers and peripherals, consumer ISM equipment 26 A manufacturer does not have to use a TCB in the country where it is located. Any TCB can perform product certifications within the scope of products that it is authorized to approve, regardless of the location of the equipment manufacturer.27 See 47 C.F.R. § 2.907.28 The Commission and TCBs make a decision on whether to grant equipment certification after reviewing measurements performed by an independent test laboratory. A device may be re-tested by the Commission or a TCB if there are concerns about whether the device complies with the Commission’s rules.29 The Commission’s Equipment Authorization System (EAS) can be accessed at http://www.fcc.gov/oet/ea/fccid/ [5]. 30 See 47 C.F.R. § 2.906. The party responsible for compliance is defined in 47 C.F.R. § 2.909.31 See 47 C.F.R. §§ 2.1077 and 15.19(a)(3).32 See 47 C.F.R. § 2.956.33 See 47 C.F.R. §§ 2.1075 and 2.946.
15. One goal of the Commission in allowing TCBs to perform equipment approvals was to enable it to discontinue processing routine applications when TCBs were available to perform the work. The Commission, however, did not commit to ending its role in issuing equipment authorizations altogether.48 The Commission concluded at that time that it was unnecessary for it to continue approving certification applications for personal computers and peripherals, since that equipment could be authorized through the DoC procedure. It found that processing these voluntarily filed applications was not anefficient use of its resources, and stated that once domestic TCBs were available to process applications for personal computer equipment for those applicants who chose to use the certification process rather than DoC, the Commission would stop accepting these applications.49 The Commission issued a public notice in September 2000 announcing that it would no longer accept applications for personal computer equipment.50 However, the Commission has continued to accept applications for all other types of equipment during the implementation of the TCB program. This practice has provided a smooth transition to TCB certification of equipment authorization applications, and ensured that at least one entity is available to certify all types of equipment. 47 The exclusion list is published in KDB Publication No. 628591, at https://apps.fcc.gov/oetcf/kdb/forms/FTSSearchResultPage.cfm?switch=P&id=20247 [6].48 See Streamlining II Order at 24693, ¶48.49 See Streamlining II Order at 24693, ¶49.50 See FCC Will No Longer Accept Equipment Authorization Applications For Class B Computers and Peripherals That Can Be Self-Approved, Public Notice, 15 FCC Rcd. 25484 (rel. September 29, 2000).
18. Proposals. Now that the TCB program is well-established, we propose that the Commission no longer directly issue any grants of equipment authorization, and instead allow TCBs to authorize all products subject to certification. This proposal will allow the Commission staff to concentrate on enforcing the rules, providing the necessary oversight and guidance to the TCBs, performing post-market surveillance and auditing random samples of products approved by the TCBs. We note that during Fiscal Year 2011, TCBs certified approximately 98% of the products submitted for approval under the Commission’s RF equipment authorization program. We also propose to provide TCBs with specific 51 See 47 C.F.R. § 2.962(e)(5)(i).52 See Unlicensed Operation in the TV Broadcast Bands, 23 FCC Rcd 16807 at 16896, ¶262, and Modifications of Parts 2 and 15 of the Commission’s Rules for unlicensed devices and equipment approval, 22 FCC Rcd 8028 at 8038, ¶33.53 The TCB exclusion list is published in KDB Publication No. 628591, at https://apps.fcc.gov/oetcf/kdb/forms/FTSSearchResultPage.cfm?switch=P&id=20247 [6]. 54 The permit-but-ask procedure is intended to further extend the types of devices that are acceptable for issuance of a grant by a TCB, but allow FCC oversight for those types of devices that are not sufficiently technically “mature” for unrestricted TCB approval. TCBs may approve devices on the permit-but-ask list, but must obtain FCC guidance prior to approval. The permit-but-ask procedure is published in KDB Publication No. 388624, at https://apps.fcc.gov/oetcf/kdb/forms/FTSSearchResultPage.cfm?switch=P&id=28319 [7].55 http://www.fcc.gov/oet/ea/ [8]. 10
6. The Commission will give its concurrence for the TCB to grant the application if it determines that the equipment complies with the rules. The Commission will advise the TCB if additional information or equipment testing is required, or if the equipment cannot be approved because it does not comply with the Commission’s rules.
We seek comment on this proposed procedure and on any additions or modifications that may be required.
23. Under the current rules, an application for certification of RF equipment is made by filing FCC Form 731 and the supporting information required by the rules, including a measurement report, instruction manuals, and equipment photographs and diagrams.60 For equipment certified by the 59 See footnote 53, supra.60 See 47 C.F.R. § 2.1033.
Commission, the application form and supporting information must be filed electronically with the EAS at the URL specified in the rules.61 For equipment certified by TCBs, the applicant files the information required by Form 731 and all required exhibits directly with a TCB. The Commission’s rules also require that applicants, to be eligible for any instrument of authorization from the Commission, must certify that they comply with the Implementation of the Anti-Drug Abuse Act of 198862 and are responsible for ensuring that statements made in an application for authorization are true and correct to the best of their knowledge and belief.63 Signatures required on the application may be in electronic format.64
24. We propose to modify our rules to clarify the responsibilities of applicants for equipment authorization and of the TCBs that will process these applications through the Commission’s electronic systems. We propose to modify Section 2.911 to state that applicants shall send a written, signed request for equipment authorization to a TCB. We would continue to permit signatures in electronic format. We also propose to modify the rule to make explicit that applicants provide the TCB with the information required by Form 731 in writing or electronic format, including all exhibits that the TCB requires to process the application and to complete Form 731 in the Commission electronic system. For example, applicants would have to provide the TCB with an FCC Registration Number (FRN) and a grantee code if these have already been assigned to the applicant by the Commission.65 We further propose that an applicant must provide the TCB with signed written certifications stating that it complies with Implementation of the Anti-Drug Abuse Act of 1988 and that all statements made in the application are correct to the best of its knowledge and belief. Additionally, we propose that the TCB must submit the applicant’s certifications as exhibits when it uploads Form 731 applications to the Commission.66 We are also proposing to incorporate into Section 2.911 the requirement from Section 2.913 that applications must be accompanied by the appropriate fees since new applicants for certification must submit a fee to obtain a grantee code, and this function could be handled by a TCB if an applicant authorizes a TCB to do so.67 However, because that is the only equipment authorization fee listed in Section 1.1103 of the rules that a TCB or an appl