Equipment Authorization – RF Device
What is an RF Device?
The FCC regulates radio frequency (RF) devices contained in electronic-electrical products that are capable of emitting radio frequency energy by radiation, conduction, or other means. These products have the potential to cause interference to radio services operating in the radio frequency range of 9 kHz to 3000 GHz.
Almost all electronic-electrical products (devices) are capable of emitting radio frequency energy. Most, but not all, of these products must be tested to demonstrate compliance to the FCC rules for each type of electrical function that is contained in the product. As a general rule, products that, by design, contain circuitry that operates in the radio frequency spectrum need to demonstrate compliance using the applicable FCC equipment authorization procedure (i.e., Supplier's Declaration of Conformity (SDoC) or Certification) as specified in the FCC rules depending on the type of device. A product may contain one device or multiple devices with the possibility that one or both of the equipment authorization procedures apply. An RF device must be approved using the appropriate equipment authorization procedure before it can be marketed, imported, or used in the United States.
The following discussions and descriptions are provided to help identify whether a product is regulated by the FCC and whether it requires approval. The more difficult issue, but not covered in this document, is how to categorize an individual RF device (or multiple components or devices within an end product) to determine the specific FCC rule part(s) that apply, and the specific equipment authorization procedure or procedures that need to be used for FCC compliance purposes. This determination requires technical understanding of the product, as well as knowledge of the FCC rules.
Radio Frequency Devices are grouped under the Following Categories:
INCIDENTAL RADIATORS (Part 15, Subpart A)
An incidental radiator (defined in Section 15.3 (n)) is an electrical device that is not designed to intentionally use, intentionally generate or intentionally emit radio frequency energy over 9 kHz. However, an incidental radiator may produce byproducts of radio emissions above 9 kHz and cause radio interference. A product that is classified as an incidental radiator device is not required to obtain an equipment authorization. Nonetheless, incidental radiator are regulated under the general operating conditions of Section 15.5 and if there is harmful interference the user must stop operation and remedy the interference. Manufacturers and importers should use good engineering judgment before they market and sell these products, to minimize possible interference (Section 15.13).
Examples of products that are classified as incidental radiators include: AC and DC motors, mechanical light switches, basic electrical power tools (that do not contain digital logic).
UNINTENTIONAL RADIATORS (Part 15, Subparts B and G)
An unintentional radiator (defined in Section 15.3 (z)) is a device that by design uses digital logic, or electrical signals operating at radio frequencies for use within the product, or sends radio frequency signals by conduction to associated equipment via connecting wiring, but is not intended to emit RF energy wirelessly by radiation or induction.
Today the majority of electronic-electrical products use digital logic, operating between 9 kHz to 3000 GHz and are regulated under 47 CFR Part 15 Subpart B.
Examples include: coffee pots, wrist watches, cash registers, personal computers, printers, telephones, garage door receivers, wireless temperature probe receiver, RF universal remote control and thousands of other types of common electronic-electrical equipment that rely on digital technology. This also includes many traditional products that were once classified as incidental radiators – like motors and basic electrical power tools that now use digital logic.
Products that only contain digital logic may also be specifically exempted from an equipment authorization under Section 15.103.
INTENTIONAL RADIATORS (Part 15, Subparts C through F and H)
An intentional radiator (defined in Section 15.3 (o)) is a device that intentionally generates and emits radio frequency energy by radiation or induction that may be operated without an individual license.
Examples include: wireless garage door openers, wireless microphones, RF universal remote control devices, cordless telephones, wireless alarm systems, Wi-Fi transmitters, and Bluetooth radio devices.
INDUSTRIAL, SCIENTIFIC, AND MEDICAL EQUIPMENT (Part 18)
When electronic-electrical products are used for providing RF energy for other than telecommunications applications, such as for the production of physical, biological, or chemical effects, such as heating, ionization of gases, mechanical vibrations, and acceleration of charged particles, these devices fall under the FCC rules 47 CFR Part 18. Examples include: fluorescent lighting, halogen ballasts, arc welders, microwave ovens, and medical diathermy machines.
Note: A general consumer medical device does not typically come under this classification; rather Part 18 applies for medical equipment only when it is designed to generate and use RF energy locally for medical or therapeutic purposes.
EQUIPMENT OPERATING IN LICENSED RADIO SERVICES
Products that use licensed radio spectrum, from fixed microwave links to cellular telephones to mobile broadband services, are considered RF devices and are subject to equipment authorization.
Examples of licensed radio equipment subject to Certification include: low power TV transmitters, cell phones/smart phones, base stations, licensed point-to-point microwave radios, private land mobile transmitters, aviation and marine radios. Radio spectrum allocation, regulatory responsibility for the radio spectrum is divided between the Federal Communications Commission (FCC) (non-Government uses) and the National Telecommunications and Information Administration (NTIA) (Government agencies usage). At present only frequency bands between 9 kHz and 275 GHz have been allocated (i.e., designated for use by one or more terrestrial or space radiocommunication services, or for the radio astronomy service under specified conditions). OET maintains the FCC's Table of Frequency Allocations, which is a compilation of allocations. The FCC’s Table of Frequency Allocations is codified at Section 2.106 of the Commission's Rules. For a more detailed description go to the Table of Frequency Allocations Chart.
Equipment Authorization
Approval Guide
Overview
Radio Frequency (RF) devices are required to be properly authorized under 47 CFR part 2 prior to being marketed or imported into the United States. The Office of Engineering and Technology (OET) administers the equipment authorization program under the authority delegated to it by the Commission. This program is one of the principal ways the Commission ensures that RF devices used in the United States operate effectively without causing harmful interference and otherwise comply with the Commission’s rules. All RF devices subject to equipment authorization must comply with the Commission’s technical requirements prior to importation or marketing. Equipment that contains an RF device must be authorized in accordance with the appropriate procedures specified in 47 CFR part 2, subpart J as summarized below (with certain limited exceptions). These requirements not only minimize the potential for harmful interference, but also ensure that the equipment complies with the rules that address other policy objectives – such as human RF exposure limits and hearing aid compatibility (HAC) with wireless handsets.
The Commission has two different approval procedures for equipment authorization – Certification and Supplier’s Declaration of Conformity (SDoC). The required procedure depends on the type of equipment being authorized as specified in the applicable rule part. In some instances, a device may have different functions resulting in the device being subject to more than one type of approval procedure.
• Step 1 – Determine FCC Rules that Apply
Determine if device is a Radio Frequency (RF) device subject to the FCC rules.
Determine all applicable technical and administrative rules that apply to the device requiring an equipment authorization.
The technical requirements are generally specified in the applicable FCC rule parts and the administrative rules are specified in 47 CFR part 2, subpart J.
• Step 2 – Equipment Authorization Procedures
If a device is subject to FCC rules, determine the specific type of equipment authorization that applies to the device. Become familiar with all the basic marketing, equipment authorization, and importation rules. In some instances, a device may have different functions resulting in the device being subject to more than one type of approval procedure.
Determine the applicable equipment authorization procedure for your device.
Supplier’s Declaration of Conformity (SDoC) Certification [copied into this file: Equipment Authorization Procedures]
• Step 3 – Compliance Testing
Perform the required tests to ensure the device complies with the applicable technical requirements (as determined in step 1).
The qualifications of the testing laboratory used to demonstrate compliance is based on the approval procedure you are required to use (as determined in step 2):
•Supplier’s Declaration of Conformity (SDoC)
Equipment approved using SDoC is required to be tested, however, it is not necessary to use an FCC-recognized accredited testing laboratory. However, as minimum the testing laboratory used is required to maintain a record of the measurement facilities as specified in Section 2.948 and a record of the measurements made as specified in Section 2.938.
•Certification
Equipment approved under the Certification procedure is required to be tested by an FCC-recognized accredited testing laboratory. [For a list of currently FCC-recognized accredited testing laboratory see https://apps.fcc.gov/oetcf/eas/reports/TestFirmSearch.cfm]
• Step 4 – Approval
After the testing is complete and your device is found to be in compliance, finalize the approval process based on the applicable approval procedure:
Supplier’s Declaration of Conformity (SDoC)
The responsible party, as specified in the rules, warrants that each unit of equipment complies with the applicable FCC rules.
The responsible party maintains all of the required documentation demonstrating compliance with the applicable FCC rules.
The responsible party prepares a compliance information statement to be supplied with the product at the time of marketing.
•Certification
The responsible party, typically the manufacturer, obtains an FCC Registration Number (FRN) for a device requiring Certification. The FRN is a 10-digit number used to identify the individual or organization doing business with the FCC. The same FRN will be used for future approvals.
After obtaining an FRN, the responsible party obtains a Grantee Code from the Commission by applying at the Grantee Registration website. A grantee code is required the first time a party applies for certification, and can be used for all future approvals.
The responsible party files with a Telecommunication Certification Body (TCB) an application for a grant of certification. An application for equipment authorization requires submission of information about the product, as listed in Section 2.1033. The applicant must submit the required information to a TCB for review as part of the certification process. [For a list of FCC recognized TCBs see https://apps.fcc.gov/oetcf/tcb/reports/TCBSearch.cfm]
The TCB reviews all of the supporting information and the evaluation results to determine if the product complies with the FCC requirements.
Once the TCB makes a decision to certify the product the supporting information is uploaded to the FCC Equipment Authorization Electronic System (EAS) – Database.
A grant of certification is issued by the TCB on the FCC Equipment Authorization Electronic System (EAS) – Database.
•Step 5 – Label/Manual/Record Retention
•
Label the product and provide the required customer information.
For more information see Labeling Guidelines – KDB Publication 784748.
Maintain all documentation as part of the responsibility for the retention of records and ensure that the manufactured products are in compliance.
Section 2.938 – Requirements for the retention of records of equipment subject to FCC approval.
•Step 6 – Manufacture/Import/Market
When importing products into the United States, follow the FCC importation requirements. [copied into this file: Equipment Authorization – Importation]
Importation – Frequently Asked Questions.
Marketing of radio frequency devices prior to equipment authorization.
•NOTE – Determining all applicable technical and administrative rules requires a technical understanding of the electrical functions of the device and an understanding of the FCC rules. For assistance, we recommend that you work with one of the FCC recognized accredited testing laboratories or TCBs. Questions can also be submitted through the Knowledge Database (KDB).
•Step 7 - Modifications to approved products
Changes to your product design may require an additional approval. KDB Publication 178919 gives general guidance when making changes to a previously approved product. See the permissive change rules in Section 2.1043 for:
Modifications that may be made to an RF device without filing for a new equipment authorization;
Three different types of permissive changes; and
Identifies when a permissive change filing with the Commission is required.
Equipment Authorization Procedures
CERTIFICATION (47 CFR Section 2.907)
Certification is the most rigorous approval process for RF Devices with the greatest potential to cause harmful interference to radio services. It is an equipment authorization issued by an FCC-recognized Telecommunication Certification Body (TCB) based on an evaluation of the supporting documentation and test data submitted by the responsible party (e.g., the manufacturer or importer) to the TCB. Testing is performed by an FCC-recognized accredited testing laboratory. Information including the technical parameters and descriptive information for all certified equipment is posted on a Commission-maintained public database. In addition, equipment subject to approval using the Supplier’s Declaration of Conformity (SDoC) procedure can optionally use the Certification procedure.
SUPPLIER’S DECLARATION OF CONFORMITY (47 CFR Section 2.906)
Supplier’s Declaration of Conformity (SDoC) is a procedure that requires the party responsible for compliance ensure that the equipment complies with the appropriate technical standards. The responsible party, who must be located in the United States, is not required to file an equipment authorization application with the Commission or a TCB. Equipment authorized under the SDoC procedure is not listed in a Commission database. However, the responsible party or any other party marketing the equipment must provide a test report and other information demonstrating compliance with the rules upon request by the Commission. The responsible party has the option to use the certification procedure in place of the SDoC procedure.
ONE OR BOTH PROCEDURES
The procedure that is applicable for equipment authorization, depends on the applicable FCC rule part(s) that apply to the radio frequency functions. Except when otherwise stated in a rule, an intentional radiator (transmitter) is required to be approved using the certification procedure. Unintentional radiators (digital circuitry) are approved using the SDoC procedure. Today for example, devices such as mobile phones; wireless local area networking equipment, notebook computers, and tablet computers are a combination of radio transmitters requiring approval using the certification procedure and unintentional digital circuity requiring use of the SDoC procedure.
Equipment that consists of only a radio transmitter (not a transceiver) – such as remote control transmitters; land mobile radio transmitters and wireless medical telemetry transmitters – are required to be approved using the certification procedure.
Equipment that only contains digital circuitry (does not contain a radio transmitter) – such as computer peripherals, microwave ovens consumer ISM equipment, switching power supplies, LED light bulbs, radio receivers and TV interface devices – are subject to approval using the SDoC procedure or may optionally use the certification procedure.
TRANSITION PERIOD
Radio frequency devices that would have been considered eligible for authorization under either the verification or Declaration of Conformity procedures that were in effect prior to November 2, 2017 may continue to be authorized until November 2, 2018 under the appropriate procedure in accordance with the requirements that were in effect immediately prior to November 2, 2017. For a copy of the 2016 rules that specified the verification and Declaration of Conformity procedures see: https://www.govinfo.gov/app/collection/cfr/2016/title47/chapterI
Equipment Authorization – Importation
Prior to July 1, 2016, importers were required to file FCC Form 740, Section 2.1203 – General Requirement for Entry, and Section 2.1205 – Filing of Required Declaration, along with their customs entry documentation.
As of November 2, 2017, the requirement to submit a Form 740 has been eliminated, see FCC-17-93. Importation of radio frequency equipment still requires that the product: (1) Have the required FCC equipment authorization; (2) Is only being imported for evaluation purposes; (3) Is only being imported for demonstration at a trade show; or (4) Meets one of the conditions as permitted in Section 2.1204 (see Question 3 below).
Frequently Asked Questions
1.What are the conditions for importing radio frequency devices in the United States?
2.What is the relationship between harmonization tariff schedule (HTS) codes and the FCC requirements?
3.What are the responsibilities of importers for proof of an equipment authorization?
4.If the equipment is in port and I just learned about FCC requirements what should I do?
5.What options do I have if I am shipping small quantities of items that are not for sale?
6.What should I do if I left my electronic device in a foreign hotel or I am returning goods I sent to an international trade show?
7.What equipment labels are required for entry into the United States?
8.How do I obtain a waiver of the quantity limitations as specified in the importation conditions: testing and evaluation or demonstration at industry trade shows, conditions 3 and 4 respectively (see FAQ 1)?
9.Are there any filing requirements for imported devices?
1. What are the conditions for importing radio frequency devices in the United States?
See Part 2, Subpart K – Importation of Devices Capable of Causing Harmful Interference, for more information. Radio frequency devices may be imported only if one or more of following conditions are met:
1.The radio frequency device has been issued an equipment authorization by the FCC. The equipment has been approved per the required equipment authorization procedure (e.g., Certification or Supplier’s Declaration of Conformity (SDoC)) for the device being imported.
2.The radio frequency device is not required to have an equipment authorization, and the device complies with FCC technical administrative regulations. For example, products containing only digital logic that are exempt under Section 15.103.
3.The radio frequency device is being imported in quantities of 4,000 or fewer units for testing and evaluation to determine compliance with the FCC Rules and Regulations, product development, or suitability for marketing. The devices will not be offered for sale or marketed.
Prior to importation of a greater number of units, written approval must be obtained from the Chief, Office of Engineering and Technology, FCC (to request approval, see KDB Publication 741304); and
Distinctly different models of a device and separate generations of a particular model under development are considered to be separate devices.
4.The radio frequency device is being imported in limited quantities for demonstration at industry trade shows, and the device will not be offered for sale or marketed. The phrase “limited quantities,” in this context means:
400 or fewer units;
Prior to importation of a greater number of units than shown above, written approval must be obtained from the Chief, Office of Engineering and Technology, FCC. (To request approval, see KDB Publication 741304.)
Distinctly different models of a product and separate generations of a particular model under development are considered to be separate devices.
5.A radio frequency device is being imported solely for export. The device will not be marketed or offered for sale in the United States, except:
If the device is a foreign standard cellular phone solely capable of functioning outside the United States
If the device is a multi-mode wireless handset that has been certified under the Commission's rules and a component (or components) of the handset is a foreign standard cellular phone solely capable of functioning outside the United States.
6.The radio frequency device is being imported for use exclusively by the United States Government.
7.Three or fewer radio frequency devices are being imported for the individual's personal use and are not intended for sale. Unless otherwise exempted, the permitted devices must be from one or more of the following categories:
Unintentional radiator as defined in part 15 which may include radio receivers, computers or other Class B digital devices in part 15.
Consumer ISM equipment as defined in part 18.
Intentional radiators subject to part 15 rules only if they can be used in client modes as specified in Section 15.202.
Transmitters operating under rules which required a station license as subscribers permitted under Section 1.903 and operated under the authority of an operator license issued by the Commission.
8.The radio frequency device is being imported for repair and will not be offered for sale or marketed.
9.The radio frequency device is a medical implant transmitter inserted in a person or a medical body-worn transmitter as defined in part 95, granted entry into the United States, or is a control transmitter associated with such an implanted or body-worn transmitter; provided, however that the transmitters covered by this provision otherwise comply with the technical requirements applicable to transmitters authorized to operate in the Medical Device Radiocommunication Service (MedRadio) under part 95. Such transmitters are permitted to be imported without the issuance of a grant of equipment authorization only for the personal use of the person in whom the medical implant transmitter has been inserted or on whom the medical body-worn transmitter is applied.
10.Three or fewer portable earth-station transceivers, as defined in Section 25.129, are being imported by a traveler as personal effects and will not be offered for sale or lease in the United States.
2. What is the relationship between harmonization tariff schedule (HTS) codes and the FCC requirements?
The Harmonized Tariff Schedule (HTS) codes are used to identify products subject to tariff requirements. The FCC publishes a guidance to help importers and brokers to determine if a product is likely to be subject to FCC requirements, See: KDB Publication 997198. This guidance is only provided to help importers ensure that the product has been properly authorized and that a responsible party is identified. The mapping of the products under the HTS code and the FCC requirement is only approximate since they are intended for different purposes. An importer may want to contact the manufacturer or the exporter to ensure that the product has been properly authorized according to the FCC rules.
3. What are the responsibilities of importers for proof of an equipment authorization?
If requested, the ultimate consignee must be ready to provide to Customs and/or the FCC the specific equipment authorization documentation.
The documentation required depends on the equipment authorization procedure or procedures used:
Supplier's Declaration of Conformity (SDoC) - The importer of record becomes the responsible party, and must be located within the United States and provide their name, address and telephone number or internet contact information as part of the compliance information for the end product documentation. The FCC has the right to request samples for inspection and submission of equipment for testing, and the test records as per the retention of records rules.
Certification – The responsible party is the party to whom the grant of certification is issued. The importer can rely on the foreign manufacturer for obtaining a certificate (grant of certification). The FCC may request samples for certified equipment for FCC inspection. If compliance issues arise, the grantee will be required to address those, or the grant may be subject to revocation or withdrawal of the equipment authorization. Withdrawal would result in the item not being able to be imported, marketed, or sold in the United States.
4. If the equipment is in port and I just learned about FCC requirements, what should I do?
The equipment cannot be imported into the United States. Options to remedy this situation are to return the equipment to the originating port, or obtain a proper equipment authorization. While the application for authorization is being processed, the imported equipment may be placed in a bonded warehouse, or moved to a duty free zone. After a proper equipment authorization has been obtained, the equipment can be imported.
5. What options do I have if I am shipping small quantities of items that are not for sale?
The rules do not distinguish devices being imported for business or personal use and not for sale. The products must comply with the FCC requirements, unless subject to one of the exceptions identified as conditions (3) through (8) in FAQ 1.
6. What should I do if I left my electronic device in a foreign hotel, or I am returning goods I sent overseas to a trade show or for a demonstration?
Items not purchased overseas (personal items left behind or demonstrated overseas) that are being returned to the United States are technically re-importing goods that have previously been exported (or hand carried in the case of leaving a cell phone in a foreign hotel). They can be imported as returning personal goods.
7. What equipment labels are required for entry into the United States?
KDB Publication 784748 provides guidance for labeling of equipment per FCC requirements.
8. How do I obtain a waiver of the quantity limitations as specified in the importation conditions: testing and evaluation or demonstration at industry trade shows, conditions 3 and 4 respectively (see FAQ 1)?
To obtain a waiver of the number of products being imported, see the procedures given in KDB Publication 741304.
9. Are there any filing requirements for imported devices?
As of November 2, 2017, the requirement to file a Form 740 has been eliminated. As such there is no requirement to file information related to the importation of a RF device with the FCC. (See: FCC 17-93).
Bureau/Office: Engineering & Technology
Tags: Devices - Devices, Engineering & Technology