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MOTOROLA COMPLIANCE PLAN FOR U-NII DEVICES


VERSION 1.00 – MAY 24, 2010

TABLE OF CONTENTS

I. INTRODUCTION AND OVERVIEW ............................................................................. 1


II. MOTOROLA COMPLIANCE POLICY .......................................................................... 1
A. Motorola Compliance Officer – Sr. Manager. ....................................................... 2
B. FCC Compliance Manual. ..................................................................................... 2
III. U-NII DEVICES................................................................................................................ 3
A. Overview................................................................................................................ 3
B. FCC Approval Requirements................................................................................. 6
IV. EQUIPMENT AUTHORIZATION APPROACHES........................................................ 9
A. The Fundamental Principle .................................................................................. 10
B. Verification .......................................................................................................... 10
C. Declaration of Conformity................................................................................... 11
D. Certification ......................................................................................................... 12
E. Required Type Of Authorization ......................................................................... 12
V. MARKETING OF FCC REGULATED EQUIPMENT.................................................. 13
A. Limitations On Unauthorized RF Equipment. ..................................................... 14
B. Importation Of FCC-Regulated Products ............................................................ 15
VI. FCC EQUIPMENT APPROVAL PROCESSES............................................................. 17
A. Verification .......................................................................................................... 17
B. Declaration of Conformity................................................................................... 19
C. Certification ......................................................................................................... 20
D. Miscellaneous Rules Affecting Equipment Design and FCC Compliance ......... 23
E. Rules Pertaining to the “Responsible Party” in the Equipment
Authorization Process .......................................................................................... 26
F. Changes to RF Equipment ................................................................................... 29
VII. LABELING AND NOTICE REQUIREMENTS ............................................................ 32
A. Part 15 Labeling Requirements – On The Equipment ......................................... 32
B. Part 15 Notice Requirements – In The User Manual........................................... 33
VIII. FCC ENFORCEMENT ACTION AND PENALTIES FOR NONCOMPLIANCE....... 34
A. Civil Fines and Forfeitures................................................................................... 35
B. Criminal Penalties................................................................................................ 36
C. Equipment Seizure and Revocation of Equipment Authorization....................... 37
D. Lawsuits ............................................................................................................... 38
E. Loss of Reputation ............................................................................................... 38
F. Business Disruption and Other Costs of Noncompliance.................................... 39
IX. CONCLUSION................................................................................................................ 40
Appendix I Selected FCC Rules ............................................................................................. 41
Appendix II Selected KDB Interpretations .............................................................................. 55
Appendix III Compliance Reports............................................................................................. 63

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I. INTRODUCTION AND OVERVIEW

Motorola developed this Compliance Plan and Manual as part of an agreement with the

Federal Communications Commission (FCC) embodied in a Consent Decree. 1 The decree is the

result of an FCC inquiry which resulted in year long activity that required Motorola to supply to

the FCC detailed product information regarding all our sales and marketing of every product we

were selling into the US marketplace which utilizes specific unlicensed bands at the time of the

investigation. The investigation resulted in an enormous drain on resources and delayed

Motorola’s introduction of products in the marketplace. The company entered into the decree

with the FCC to resolve a review of certain Unlicensed National Information Infrastructure (U-

NII) products manufactured by various Motorola Business units. Among other terms, Motorola

agreed to “train and provide materials concerning Section 302(b) of the Act and Parts 2 and 15 of

the Rules pertaining to U-NII devices and the requirements of the Consent Decree to those of its

employees who are involved directly in the development and marketing of U-NII devices

imported, marketed and sold by Motorola in the United States.” 2 This document reaffirms our

corporate policy of FCC Rule compliance, sets forth certain basic procedures designed to ensure

compliance with respect to U-NII devices, and provides a review of the FCC’s U-NII rules and

the agency’s various equipment authorization programs.

II. MOTOROLA COMPLIANCE POLICY

Motorola’s policy has been and will continue to be one of complying with all applicable

FCC rules and policies unless the FCC grants an explicit waiver with respect to any such rule or

policy. This policy carries with it the obligation to be knowledgeable as to the FCC’s

1
Motorola, Inc., Order and Consent Decree, FCC, DA 10-616 (rel. April 14, 2010).
2
Id. At ¶ 8.(b).

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requirements. Because our policy is one of compliance and because the actions of one business

unit can affect the status at the FCC of programs overseen by multiple other business units, all

who develop and manage product lines involving U-NII devices need to be aware of the FCC’s

regulatory program for U-NII devices.

A. Motorola Compliance Officer – Sr. Manager.

As part of its agreement under the Consent Decree, Motorola has appointed Mark

Luksich of the Wireless Networks Solutions unit to serve as the overall compliance manager for

administering the compliance plan. He will coordinate with other compliance managers in each

business unit that markets a U-NII device. In this role, he will be responsible for certifying to the

FCC regarding Motorola’s compliance as prescribed in the Consent Decree for U-NII device

rules and policies. 3 He will also coordinate with Motorola’s Washington-based Global

Government Affairs Office (GGA) in order to ensure that changes in FCC U-NII rules and

policies are communicated to the affected business units. Communications with the FCC

concerning U-NII matters should be coordinated through GGA (Dr. Robert Kubik) and the

Compliance Officer in order to reduce the possibility for misunderstandings and the

dissemination of incorrect or incomplete information. GGA personnel also serve as subject

matter experts on matters pertaining to the FCC’s U-NII device rules and policies.

B. FCC Compliance Manual.

This manual will serve as a guide and training resource for the approval of U-NII devices.

It first discusses the regulations pertaining specifically to U-NII devices and then provides a

general review of the FCC program for the authorization of equipment and the regulation of

3
Information on the compliance reports Motorola must submit is set forth in Appendix III.

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equipment marketing. The manual will always be in beta in that it is to evolve as revisions are

made to the FCC rules, policies, and official guidance for U-NII devices. 4 Suggestions for

modifications to the manual should be directed to Mr. Luksich and Dr. Kubik. 5

Under the terms of the Consent Decree, those Motorola personnel who are involved directly

in the development and marketing of U-NII devices imported, marketed and sold by Motorola in the

United States are to be trained as to the FCC’s regulations for U-NII devices not later than July 12, 2010.

New personnel are to be trained within sixty (60) days of their employment. This manual along with the

Motorola on-line training package is the primary tool for implementing such training 6 . If you have

received a copy of the manual or been identified to take the on-line training, you are considered to be

within the group to be trained and will be requested to certify that you have reviewed the manual. The

training will be incorporated into the Motorola University curriculum so that individuals identified by

each business to receive this training can have the instructional materials added to their individual annual

training plans.

III. U-NII DEVICES

A. Overview

1. Dynamic Frequency Selection

The FCC’s program for the regulation of U-NII devices in the 5.25 – 5.35 GHz and 5.47

– 5.725 GHz bands requires that the devices include dynamic frequency selection (DFS). DFS

will be employed to avoid operating on frequencies that could result in interference to other

4
FCC rules which pertain to this discussion are attached in Appendix I to this Manual. The citations that
contain the abbreviation “C.F.R.” refer to the Code of Federal Regulations. The FCC regulations are found in Title
47 of the C.F.R. An electronic version of the C.F.R. is available at
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr.
5
Mark.Luksich@motorola.com or Rob.Kubik@motorola.com .
6
The Motorola training course that accompanies this document is CMP1199: FCC Compliance Training for
U-NII Products.

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services (notably radar operations) with which U-NII devices share spectrum. Indeed, as devices

authorized under Part 15 of the FCC Rules, U-NII devices are subject to the requirements that (1)

the devices not cause harmful interference to licensed radio services and (2) the devices accept

any interference received from such services including interference that may cause undesirable

operation. 7 Because the radars operating in the spectrum used for certain U-NII devices are both

licensed and serve important safety-of-life purposes, U-NII devices must be designed to avoid

interference. In many cases the radars are Terminal Doppler Weather Radars (TDWRs) used by

the FAA to facilitate the safe and efficient operation of aircraft. 8 Accordingly, it is very

important that U-NII devices be engineered so as to minimize the possibility of any such

interference.

2. Implementation of DFS

Broadly speaking, two methods of implementing DFS have been developed. Depending

on the device and its application, Motorola business units have used one or the other of the

methods described below.

U-NII devices complying with DFS requirements must do detection upon startup of the

device (called a channel availability check) and during normal operation (called in service

monitoring). In the case of the channel availability check, if no radar signals above a pre-defined

threshold are detected within the specified time period, the U-NII device may transmit.

Conversely, if the UNII device detects a radar signal on the channel, it must not transmit and

must perform a successful channel availability check on a new channel before transmitting.

7
See 47 C.F.R. § 15.5 (2009).
8
The radar’s mission is to provide wind shear detection and precipitation reflectivity data to air traffic
controllers, http://www.ll.mit.edu/mission/aviation/faawxsystems/tdwr.html , visited April 7, 2010.

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In the case of the in service monitoring, if a radar signal is detected above the defined

threshold, the UNII device has to vacate its operating channel immediately and then must

perform a successful channel availability check on a new channel before restarting transmissions.

There are two approaches to performing DFS, and both are equally applicable to channel

availability checking and in service monitoring. The first technique is one based solely on the

power level received and the other based on both the power level and the pattern of the signal.

DFS detection based solely on power sensing functions much like a noise squelch on a

conventional radio system in that its detection decision is based solely on the power level sensed

by the device on a particular channel. While conceptually simple, this technique can result in

unwanted “falsing” due to the presence of noise from sources other than the protected radars.

The other approach analyzes any signals that are detected above a pre-defined threshold

in spectrum that could be affected by operation of the U-NII device. If the pulse pattern of the

detected signal matches the known pattern of a radar, the U-NII device will declare the channel

occupied by a radar signal. 9 Of course, this latter approach presents more implementation

challenges in that the patterns associated with radar operation must be known and must be

available in the U-NII device to perform the analysis inherent in such a method. The advantage,

however, is that the U-NII device is far less likely to be affected adversely by false sensing than

under an approach that simply looks for the presence or absence of energy above the defined

level in the relevant band.

9
As discussed later in this manual, the radar patterns are defined by the FCC in Knowledge Database (KDB)
documents. The KDB scheme offers official guidance on the interpretation of the FCC Rules and the
implementation of systems operating under the rules.

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B. FCC Approval Requirements

Simply stated, the FCC requires that any U-NII device be approved under the

certification approach before the device may be imported into the United States or sold or leased

within the United States. 10 The same prohibition applies to advertising for sale or lease.

Certification is a form of FCC equipment authorization requiring the testing of the device to

demonstrate compliance with FCC requirements, the submission of an application to the FCC or

telecommunications certification body (TCB) with the test results and other device details.

TCBs are deputized by the FCC to grant equipment authorizations.

Subpart E of Part 15 of the FCC Rules sets forth regulations governing the operation of

U-NII devices. 11 Three frequency bands are available for operation of U-NII devices: 5.15 –

5.35 GHz, 5.47 – 5.725 GHz, and 5.725 – 5.825 GHz. The rules impose various and often

different operating constraints for each of these bands. For example, DFS applies only to

operations in the 5.25-5.35 GHz and 5.47-5.725 GHz bands. The Subpart E rules include

definitions in Section 15.403, cross-references to other Part 15 rules in Section 15.405, and

general technical requirements in Section 15.407. Anyone responsible for designing or obtaining

approval for U-NII devices must become familiar with both the requirements of these regulations

and the FCC’s guidance regarding the rules.

The regulatory requirements for the approval of U-NII devices cannot be understood

simply by reviewing Subpart E of Part 15 of the FCC Rules and the general rules applicable to

equipment authorization included within Parts 2 and 15 of the rules. Instead, the FCC

10
See 47 C.F.R. §§ 2.803 and 15.1 (2009). See also the discussion of FCC regulation of marketing set forth
at page 13 of this Manual.
11
See 47 C.F.R. §§ 15.401 – 15.407 (2009).

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Knowledge Database interpretations must be consulted. The Knowledge Database (KDB) is

operated by the Equipment Authorization Division of the FCC’s Office of Engineering and

Technology (OET). OET uses the KDB to disseminate interpretations and guidance as to the

FCC rules and policies. 12 Sometimes, as in the case of U-NII devices, the KDB process provides

information that is essential to the testing and approval of devices. As such, any review of the

FCC rules pertaining to U-NII devices must include a review of documents released by the FCC

in its KDB process. Indeed, the program for testing U-NII devices is currently undergoing

revisions that are to be memorialized through the KDB process but not in FCC’s rules. Key

KDB interpretations are included in Appendix II to this Manual, but you should check online for

the latest interpretations. 13 The latest U-NII DFS testing procedures are to be added to Appendix

II once released by the FCC as a formal KDB document. These revised procedures will discuss

the radar pulse patterns that DFS systems must recognize in order for a grant of equipment

authorization to be issued.

The FCC currently requires via the KDB process that U-NII devices subject to the DFS

requirements be submitted to the agency for evaluation to determine if the device complies with

the FCC Rules and that certification applications be filed directly with the FCC instead of a

TCB. 14 As such, approval of such a U-NII device can be quite time-consuming and resource

12
The KDB process sometimes includes the opportunity to comment on proposed interpretations. In many
cases, however, interpretations are simply issued. Thus, the degree of industry input to interpretations can vary
greatly within the discretion of OET. It is possible to subscribe to an RSS feed of KDB interpretations in order to
receive updates on a timely basis. For information, use the following URL:
https://fjallfoss.fcc.gov/oetcf/kdb/rss/NewKDBPublications.cfm.
13
Use the following URL: https://fjallfoss.fcc.gov/oetcf/kdb/index.cfm
14
FCC maintains the current list of equipment which TCBs are excluded from issuing grants under KDB
628591

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intensive. Obviously, such a requirement has implications for planning the release of any U-NII

product.

As with all FCC staff guidance, KDB interpretations are subject to revision and may be

overruled or otherwise changed by the full Commission. Nevertheless, the KDB process serves a

critical role in U-NII compliance efforts as the testing process and the limits on U-NII device

capabilities are often defined through KDBs. In many cases these rule interpretations have

altered the flexibility that may have been reflected in the approvals associated with prior devices.

For example, U-NII products that are to be marketed in the United States may not include the

capability for the professional installer (or anyone else) to switch off or modify the DFS features

of the device. Similarly, U-NII devices marketed in the United States must not include any

configuration that allows the device to operate beyond what is listed on the FCC grant of

equipment authorization. These two constraints apply to any Motorola U-NII device that ships

with a label that includes an FCC ID. 15 However, many U-NII master devices include numerous

types of antennas with a range of gains so that the professional installer continues to have the

ability to adjust the transmitter power to ensure compliant operation. 16 Because of the role that

the KDB process plays in the regulation of U-NII devices, the FCC’s KDB should be consulted

during the development phase in order to minimize potentially disruptive regulatory issues

arising as product launch approaches. 17 .

15
As discussed in this Manual, all U-NII products that are marketed for use in the United States, with the
exception of devices sold solely for use by the federal government, must be approved under the certification process
and must include a label bearing the FCC Identification number associated with the grant of equipment
authorization. Products that do not comply with all US requirements that are exported must not be labeled with an
FCC I.D. lest such devices later be imported into the United States.
16
KDB Doc. No. 594280 (rel. Oct. 2, 2009)
17
The following URL may be used for this purpose: https://fjallfoss.fcc.gov/oetcf/kdb/index.cfm .

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While the KDB may be employed for posing questions to the FCC regarding U-NII

device approval, please do not do so without first coordinating with the company’s U-NII

Compliance Officer Mark Luksich and with Dr. Kubik as any question posed may have

ramifications for multiple business units. Additionally, confidential business information could

be disclosed inadvertently in such questions. Mr. Luksich and Dr. Kubik know how to secure

confidential treatment for such information under the FCC’s procedures. However, these

procedures must be followed carefully and at the same time as confidential information is

provided instead of after the information is disclosed. Casual or improperly drafted requests for

confidential treatment can result in the FCC’s disclosure of the information.

IV. EQUIPMENT AUTHORIZATION APPROACHES

The FCC utilizes three forms of equipment authorization: verification, declaration of

conformity, and certification. 18 These processes involve increasing decrees of formality and

review, with certification requiring the issuance of a grant of equipment authorization by the

Commission or by a telecommunications certification body (TCB) acting under authority

delegated by the Commission. All have somewhat different record keeping, testing, information

to user, and labeling requirements. This manual begins the discussion of these forms of

equipment authorization with verification, which generally is used for devices that the FCC

considers to pose little risk of interference.

18
Although the terms “type approval” and type acceptance” are still used in industry in the generic sense of
meaning FCC approval, the Commission long ago amended its rules to remove equipment approval processes
known as type approval and type acceptance. The Commission also abolished a form of approval known as
“notification.”

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A. The Fundamental Principle

As is true with most devices which utilize radio frequencies (RF), each U-NII device

must be approved in accordance with FCC regulations before the device may be marketed or

sold in the United States. As noted above, U-NII transmitters must be authorized pursuant to the

“Certification” approach. This is one of three forms of FCC equipment authorization. The other

two are Verification and Declaration of Conformity (“DoC”). 19 Each of these approaches is

described below. Equipment is often subject to more than one form of approval if the product

contains devices other than a U-NII transmitter.

The FCC rules specify which approach(es) maybe used with the particular kind of

equipment. In some cases, more than one approach is acceptable. Each approach has slightly

different testing, labeling, and record keeping obligations. Also, the party responsible for FCC

compliance can vary depending on the approach used. In some cases, the importer of the device,

and not the manufacturer, may be the responsible party according to the FCC. Accordingly,

understanding fully the regulations governing the three approaches is critical to FCC compliance.

B. Verification

Verification is “a procedure where the manufacturer makes measurements or takes the

necessary steps to ensure that the equipment complies with the appropriate technical

standards.” 20 The manufacturer need not submit a sample unit or representative data to the FCC

19
See 47 C.F.R. § 2.901 (2009).
20
See 47 C.F.R. § 2.902 (2009).

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to demonstrate compliance unless it is specifically requested. The manufacturer is required to

uniquely identify devices that are subject to verification. 21

C. Declaration of Conformity

The Declaration of Conformity (or “DoC”) approach is “a procedure where the

responsible party as defined in Section 2.909 of the FCC Rules, makes measurements or takes

other necessary steps to ensure that the equipment complies with the appropriate technical

standards.” 22 As with verified devices, the responsible party need not submit a sample unit or

representative data to the Commission demonstrating compliance unless it is specifically

requested. 23 Examples of devices subject to a DoC include TV interface devices, Class B PCs

and peripherals, CB receivers, and super-regenerative receivers. Devices subject to a DoC also

shall be uniquely identified. 24 A U-NII device that connects by cable to a personal computer

would be considered a personal computer peripheral subject to approval under the DoC approach

in addition to being approved by certification as a U-NII device.

Devices to be approved under a DoC must be tested by a test laboratory accredited by the

National Voluntary Laboratory Accreditation Program (NVLAP); the American Association of

Laboratory Accreditation (A2LA); or an accredited laboratory designated by the FCC under the

terms of a negotiated Mutual Recognition Agreement (MRA) with a foreign government. 25

21
See 47 C.F.R. § 2.954 (2009).
22
See 47 C.F.R. § 2.906 (2009).
23
See 47 C.F.R. §§ 2.906, 2.1076 (2009).
24
See 47 C.F.R. § 2.1074 (2009).
25
A company may have its own laboratory accredited so as to facilitate testing in support of a DoC.

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D. Certification

Certification is an equipment authorization issued by the Commission or by a designated

Telecommunications Certification Body (“TCB”) based on representations and test data

submitted by the applicant. 26 Most unlicensed transmitters, including U-NII devices are

approved under certification. Certain devices, such as computers and computer peripherals must

be approved by a TCB if the device is to be authorized by certification. Devices subject to

certification that may be submitted to either the Commission or to a TCB include, but are not

limited to, cell phones, microwave ovens, and wireless phones. Newer technology devices, such

as software defined radios and UWB devices, may currently only be approved by the FCC. As

noted above, the FCC currently requires that U-NII devices be approved by the FCC and not be

submitted to a TCB.

E. Required Type Of Authorization

The FCC considers U-NII devices to be intentional radiators because these devices are

designed to radiate radio frequency energy. As such, U-NII devices are subject to the form of

equipment authorization known as “certification.” By contrast, unintentional radiators are

designed to generate RF but are not designed to radiate RF as part of their normal operation.

Unintentional radiators may be subject to different forms of approval, depending on their

application. The following table in FCC Rule Section 15.101(a) provides the type of

26
See 47 C.F.R. § 2.907 (2009).

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authorization required for specific types of unintentional radiators:

Type of device Equipment


authorization required
Receivers a
TV broadcast receiver ................... Verification.
FM broadcast receiver .................. Verification.
CB receiver ................................... DoC or Certification.
Superregenerative receiver........... DoC or Certification.
Scanning receiver ......................... Certification.
Radar detector .............................. Certification.
All other Part 15 receivers............. DoC or Certification.
TV interface device ................................... DoC or Certification.
Cable system terminal device................... DoC.
Stand-alone cable input selector switch ... Verification.
Class B personal computers and ............. DoC or Certification. b
peripherals
CPU boards and internal power supplies DoC or Certification.b
used with Class B personal computers
Class B personal computers assembled .. DoC.
using authorized CPU boards or power
supplies
Class B external switching power supplies Verification.
Other Class B digital devices & peripherals Verification.
Class A digital devices, peripherals & ...... Verification.
external switching power supplies.
Access Broadband over Power Line......... Certification.
All other devices ....................................... Verification.
a
Only those receivers that operate or tune within the frequency range of 30-960 MHz, CB
receivers and radar detectors are covered under Section 15.101(a). However, receivers
subject to Declaration of Conformity that are contained within a transceiver containing a
transmitter that is subject to certification shall be authorized under the verification procedure.
Receivers that operate above 960 MHz or below 30 MHz, excluding radar detectors and CB
receivers, are exempt from complying with the Section 15.101 technical provisions but are
subject to Section 15.5. See 47 C.F.R. §15.101(b) (2009).
b
The rules also provide that “the specific combination of CPU board, power supply and
enclosure is tested together and authorized under a Declaration of Conformity or a grant of
certification.” 47 C.F.R. § 15.101(c)(1) (2009).

V. MARKETING OF FCC REGULATED EQUIPMENT

The marketing of RF equipment that requires approval under the FCC Rules is governed

by Section 2.803 of the FCC Rules. Except in limited circumstances described below, an

unintentional or an intentional radiator that has not been properly authorized in accordance with

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FCC Rules may not be operated, sold or leased, offered for sale or lease, imported or

distributed. 27 .

A. Limitations On Unauthorized RF Equipment.

1. Operation

Unauthorized RF products may be operated only in the following cases: 28

(i) for compliance testing;

(ii) when demonstrating the products at a trade show or at a “business,

commercial, industrial, scientific, or medical location;” and

(iii) for evaluating performance and demonstrating customer acceptability at a

manufacturer’s facility or, in certain cases, at a “business, commercial,

industrial, scientific, or medical user’s site.”

If such products must be tested in residential areas, Motorola will need to obtain from the

FCC an experimental license. The FCC typically has provided experimental authority to operate

a limited number of units for the purpose of product development. 29

2. Trade Show Displays and Ads

Whenever unapproved products are displayed at a trade show or advertised, the following

notice must accompany the device: 30

27
See 47 C.F.R. § 2.803 (2009); 47 C.F.R. § 15.1(c) (2009).
28
See Section 2.803(e)(1) (2009).
29
Unapproved equipment of a type that normally requires an FCC radio station license to operate (e.g. a radio
transmitter employed as part of a cell phone) may only be operated under a experimental authorization issued under
Part 5 of the FCC rules or under the authority of an existing licensee who has agreed to such operation. See 47
C.F.R. § 2.803(e)(3)(ii). For information on experimental licenses held by Motorola, contact Robert Kubik.
30
See 47 C.F.R. § 2.803(c) (2009).

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This device has not been authorized as required by the rules of the
Federal Communications Commission. This device is not, and
may not be, offered for sale or lease, or sold or leased, until
authorization is obtained.

In the case of an advertisement or announcement, the disclaimer must appear on each copy.

3. Sales Agreements

The FCC Rules permit manufacturers and prospective (non-end user) customers to enter

into agreements to produce new products before the products are approved, provided that the

agreements contain language making clear that the products will be approved before the products

are delivered. 31 This exception applies only to an agreement to sell a product that is in the

conceptual, developmental, design, or pre-production stage and then only to a commercial,

business, industrial or medical user. Unapproved FCC-regulated products may not be offered for

sale to consumer end-users even if delivery is conditioned on compliance.

B. Importation Of FCC-Regulated Products

With certain limited exceptions, FCC Rules prohibit the U.S. importation of equipment

that has not been authorized pursuant to the FCC’s equipment authorization program. 32 FCC

Form 740 must be completed and filed for each shipment at the time the shipment enters U.S.

customs territory. This form usually is filed electronically by a customs broker on behalf of the

importer of record. The importer of record for devices that are subject to approval under the

verification approach is the “responsible party” before the FCC, which is the party the FCC will

31
See 47 C.F.R. § 2.803(d) (2009).
32
See 47 C.F.R. § 2.1203 (2009).

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first look to if there are compliance issues. 33 Similarly, if imported equipment is approved under

the Declaration of Conformity approach, the responsible party is the importer. 34

Exceptions to the FCC regulations allow unapproved devices to be imported for

evaluation and testing as well as for exhibition at trade shows – so long as such units are not

offered for sale or sold. 35 Up to 200 units of an unapproved Part 15 device such as a U-NII

transmitter may be imported for evaluation purposes, while up to 2000 unapproved licensable

devices, such as cell phones of particular model, may be imported. 36 No more than 10 units of

an unapproved Part 15 device may be imported for a trade show exhibition, while up to 200

unapproved licensable devices may be imported for the trade show. 37

Different generations of a particular model under development are considered to be

different models and are treated as distinct products for purposes of determining the number of

units that may be imported. For example, if a U-NII transmitter known as the Model ABC is

being developed, up to 200 units of rev. 00 and another 200 units of rev. 01 may be imported. 38

If more units of a particular model need to be imported than the rules permit, the importer must

obtain the written approval of the Chief of the FCC’s Office of Engineering and Technology. 39

At least thirty days should be allowed for FCC action on such a request. The importer must keep

33
See 47 C.F.R. § 2.909 (2009).
34
Id.
35
See 47 C.F.R. § 2.1204(a)(3) (2009).
36
See id.
37
See 47 C.F.R. § 2.1204(a)(4) (2009).
38
See 47 C.F.R. § 2.1204(a)(3)(iv) (2009).
39
See 47 C.F.R. § 2.1204(a)(3)(iii) (2009).

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track of units imported for evaluation and either bring the devices into compliance, export the

devices or destroy the devices after the evaluation.

Unapproved equipment may not be evaluated in a residential environment. 40 Such

evaluations must instead be conducted at “business, commercial, industrial, scientific, or

medical” users sites. If such unapproved equipment evaluation must be conducted in a

residential area, an experimental license under Part 5 of the FCC Rules is needed.

Finally, FCC Rules provide that unapproved units are to be labeled with the disclaimer

quoted above. 41 Any unapproved prototypes that are displayed after the product has been

approved may be labeled: “Prototype. Not for sale” in place of the disclaimer. 42

VI. FCC EQUIPMENT APPROVAL PROCESSES

A. Verification

Digital devices apart from personal computers and personal computer peripherals are

approved under the verification approach. Specific requirements for verified equipment are

discussed below.

The verification approach requires that the “responsible party” have the equipment tested

for compliance with all applicable FCC Rules. The test report, which must be in English, must

include a statement signed by the responsible party stating that the tested device was found to

comply with the Rules and is representative of the device that will be marketed.

40
See 47 C.F.R. § 2.803(e)(1)(iv) (2009).
41
See 47 C.F.R. § 2.803(c) (2009).
42
See 47 C.F.R. § 2.803(c) (2009).

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The test report and statement must be part of a compliance file for the product. The

compliance file also should contain: 43

(1) schematic diagrams for the equipment,

(2) the details of any changes made to the equipment during the
course of its manufacturing life along with supplemental
reports reflecting testing done after such changes to verify that
the device still complies with FCC requirements and

(3) a record of the procedures used for production, inspection, and


testing to ensure that the product continues to comply with
FCC requirements.

The file, which preferably should be kept in the United States and must be made available

to the FCC upon request, shall be maintained for two years after manufacturing of the equipment

has discontinued, unless the equipment is the subject of an investigation in which case the file

shall be maintained until the manufacturer or importer is officially notified that the investigation

or any other administrative proceeding involving the equipment has been concluded. 44

Notwithstanding the requirement for the responsible party to be in the United States, the

testing to support verification may be done outside the U.S. and by the manufacturer at its own

facilities. The testing facilities used to support approval under the verification approach need not

43
See 47 C.F.R.§ 2.955 (2009) for a detailed listing of the contents of this file including signature
requirements for the measurement report that require a signature by an official of the “responsible party” as defined
by Section 2.909 of the Rules. Equipment subject to verification shall be identified by model and trade name. If the
device that was tested has a serial number, the serial number shall be recorded. The rules also specify the content of
the test report and include a requirement that at least two drawings or photographs or photographs of the test set-up
be included along with a description of the “types and lengths of connecting cables used and how they were
arranged or moved during testing.” The records must also include a statement as to whether the equipment is
subject to any of the transition provisions of Section 15.37 of the FCC Rules, 47 C.F.R. § 2.909.
44
See 47 C.F.R. § 2.955 (2009).

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be accredited. 45 However, the test report should summarize the qualifications of the persons

who conduct the testing and contain a description of the measurement facilities.

B. Declaration of Conformity

The Declaration of Conformity (or “DoC”) approach is “a procedure where the

responsible party as defined in Section 2.909, makes measurements or takes other necessary

steps to ensure that the equipment complies with the appropriate technical standards.” 46 As with

verified devices, the responsible party need not submit a sample unit or representative data to the

Commission demonstrating compliance unless it is specifically requested. 47 Examples of

devices subject to a DoC include TV interface devices, Class B PCs and peripherals, CB

receivers, and super-regenerative receivers. Devices subject to a DoC also shall be uniquely

identified. 48

For a device to be approved under a DoC, it must be tested by a test laboratory accredited

by the National Voluntary Laboratory Accreditation Program (NVLAP); the American

Association of Laboratory Accreditation (A2LA); or an accredited laboratory designated by the

FCC under the terms of a negotiated Mutual Recognition Agreement (MRA) with a foreign

government.

45
In contrast, equipment that is approved under the DoC approach must be tested at an accredited laboratory.
Equipment approved under the certification approach need not be tested at an accredited laboratory, but the site
attenuation characteristics of the open area test site employed for making radiated emissions measurements must
have been approved by the FCC Laboratory. 47 C.F.R. § 2.948 (2009).
46
See 47 C.F.R. §§ 2.906 (2009).
47
See 47 C.F.R. §§ 2.906, 2.1076 (2009). A company may have its own laboratory accredited so as to
facilitate testing in support of a DoC.
48
See 47 C.F.R. § 2.1074 (2009).

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Devices approved under a DoC must be accompanied by a writing (usually in the

manual) that sets forth key compliance information including the name and contact information

for the responsible party. 49 Sometimes, this will be styled as a formal declaration of conformity.

In the case of equipment that is imported into the United States, the responsible party must be

located in the United States even though the testing may have been conducted outside the United

States.

C. Certification

Unlicensed RF transmitters such as U-NII devices that operate under Part 15 of the Rules

are generally approved via certification. As discussed below, the requirements for certification

involve the filing of a formal application for equipment authorization with the FCC or through a

Telecommunications Certification Body (“TCB”). TCBs are private entities authorized by the

FCC to issue grants of equipment authorization. Currently TCBs are excluded from approving

U-NII devices.

Filing with the FCC. Applications for equipment certification filed with the FCC must

be submitted electronically via the FCC’s Office of Engineering and Technology Laboratory

Division Electronic Filing website. 50 The application begins with FCC Form 731, which is

followed by the submission of exhibits along with the required processing fees. Depending on

the type of equipment for which authorization is sought, the FCC requires up to 13 different

types of exhibits, which may be submitted in any one of a number of formats, such as Microsoft

49
See 47 C.F.R. § 2.1077 (2009) .
50
See https://gullfoss2.fcc.gov/prod/oet/cf/eas/index.cfm .

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Word, Microsoft Excel, Adobe Acrobat (pdf), WordPerfect, JPEG, or plain text. The 13 exhibit

types are:

1. RF device identification label and location information;


2. Attestation statements;
3. External photos;
4. Block diagrams;
5. Schematics;
6. Test report;
7. Test setup photos;
8. User manual;
9. Internal photos;
10. Parts list;
11. RF exposure information;
12. Operational description; and
13. Cover letters.

Once FCC approval is granted, the agency issues a grant of equipment authorization,

which is commonly referred to as a “certification.” FCC reviews often take at least 6 to 8 weeks.

Longer periods may be involved for U-NII devices that include DFS capabilities as the FCC

currently test such devices at its own facility before approving the equipment.

Filing with a TCB. As noted above, the FCC allows equipment testing and application

processing by TCBs for many types of RF equipment. The grant issued by a TCB appears on the

FCC website and becomes the official FCC grant for the product.

Currently, TCBs grant more than two-thirds of all equipment certifications. Indeed,

competition among TCBs has reduced processing times and kept costs low. Equipment

applications filed with TCBs often are approved in 2 to 3 weeks. In addition, expedited service

can be requested. Most TCBs have websites similar to the FCC’s equipment authorization filing

site and they require similar attachments.

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Organizations registered with the FCC as a TCB may be found via searching on the

FCC’s Office of Engineering and Technology Laboratory Division Electronic Filing website

noted above. Generally, before the FCC or a TCB will accept data from a laboratory, the

attenuation characteristics of the lab’s open area test site must be reviewed by the FCC and found

to correlate closely to the FCC’s theoretical attenuation curve. While this approval should not be

confused with accreditation, it does afford some confidence that measurements made at an

approved site will yield results that are reasonably close to those obtained when the same device

is measured at another approved site. Notwithstanding, the FCC has retained exclusive

jurisdiction over the approval of some equipment types, and the agency has published a list

outlining the types of equipment that TCBs are excluded from authorizing. 51 TCBs also must

provide a list of equipment that is within the scope of what they have been accredited to certify.

While many of these laboratories have a fair amount of experience with FCC equipment

applications and regulations, the information and opinions that these laboratories provide can

differ from the FCC’s own interpretations. For this reason, all TCB actions are subject to FCC

review, and in cases of dispute, the FCC is the final authority.

Finality Of An Equipment Certification Grant. An equipment certification grant by the

FCC becomes final 40 days after the initial grant, which includes 30 days for the FCC staff to

reconsider the grant plus 10 additional days for the Commission to do so on its own motion.

However, an approved device may be marketed immediately after a grant is issued. Parties

wishing to oppose a grant may file a petition for reconsideration up until 30 days following the

initial grant.

51
The TCB exclusion list may be found at http://fjallfoss.fcc.gov/kdb/GetAttachment.html?id=30304 .

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A grant by a TCB becomes final after 30 days. During the 30 day period following the

issuance of a grant, the FCC may audit a TCB-issued grant of authorization and, if it finds

conditions of noncompliance, may rescind the grant without notice and an opportunity for a

hearing. When a grant of authorization is set aside by the FCC marketing must cease, and the

applicant must contact the FCC to resolve the issue. Once a grant becomes final, however, the

FCC may revoke it only for cause after giving notice and an opportunity for hearing in the same

manner that it would for the revocation of a radio station license.

Both the FCC and TCBs may from time to time audit compliance of approved equipment

by testing samples of that equipment. If the sample is found not to be in compliance, the

“responsible party” (see below) will be asked to explain what actions it proposes to take with

respect to the equipment and may be subject of FCC enforcement action.

D. Miscellaneous Rules Affecting Equipment Design and FCC Compliance

There are a number of other applicable FCC regulations in Parts 2 and 15 that can affect

the design of RF equipment.

Section 2.1057 Frequency spectrum to be investigated - specifies the frequency spectrum

to be investigated for the spurious emissions tests. For devices that operate under 10 GHz,

emissions measurements are made from the lowest RF signal generated up to the 10th harmonic

of that signal or 40 GHz, whichever is lower. 52

52
See 47 C.F.R. § 2.1057 (2009).

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Section 15.5 Conditions of operation - sets forth the requirement that one operating a

Part 15 device does so on the condition that the operation not cause harmful interference and that

it accept any harmful interference from licensed radio stations (of any kind). 53

Section 15.37 Transition Requirements - lays out the rules that govern the timing for the

transition to new requirements. For example, Section 15.37(l) sets forth the requirement that U-

NII devices operating in the 5.25 – 5.35 GHz band for which applications are filed on or after

July 20, 2006, must comply with the dynamic frequency selection (DFS) and the transmitter

power control (TPC) requirements of Section 15.407 of the FCC Rules. Similarly, Section

15.37(l) also provides that U-NII equipment operating in the 5.25 – 5.35 GHz band imported or

marked after July 20, 2007, must comply with the DFS and TPC requirements of Section 15.407.

As additional requirements are implemented under Part 15, expect to find regulations in Section

15.37 that specify when the requirements take effect. Additionally, Section 15.37 specifies when

the FCC will no longer authorize certain types of equipment and, in some cases, when marketing

must cease. 54

Section 15.107 & Section 15.109 Conducted & Radiated emissions limits - set forth the

rules governing emissions that are generated by circuits in the device acting as unintentional

radiators. For example, emissions radiated from the alphanumeric display in a satellite receiver

are subject to these limits. Typically, the approval requirement for miscellaneous digital device

circuits would be verification, but if the device can be used as a peripheral to a personal

53
See 47 C.F.R. § 15.5 (2009).
54
Motorola’s April 14, 2010, Consent Decree involved an alleged violation of Section 15.37 (l) of the FCC
Rules, 47 C.F.R. § 15.37(l) (2009).

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computer, the device would be approved either under the DOC approach or through certification

issued by a TCB. 55

Section 15.205 Restricted bands - sets out a list of bands in which intentional radiators

may not operate. This list includes about 100 frequency bands occupied by sensitive or

emergency services, such as radio navigation. Any out-of-band, spurious, or unintentional

emissions in these bands may not exceed the limits of Section 15.209. 56

Section 15.203 Antenna requirement - provides that the antenna for an intentional

radiator must either be permanently attached to the device or affixed only through a nonstandard

connector. For these purposes the term “non-standard connector” means a connector that cannot

commonly be purchased. Note, however, that this prohibition applies only to connectors used to

connect a transmitting antenna and does not apply to devices that must be professionally

installed. 57

Section 15.207 Powerline conducted emissions for intentional radiators. As with

unintentional radiators, the regulations also set forth limits on the RF energy that may be

conducted from the device via the AC mains. The limits in Section 15.207 govern emissions

55
See 47 C.F.R. §§ 15.107, 15.109 (2009). In the case of digital devices, the rules set forth two different sets
of limits for conducted and radiated emissions. The Class A limits apply to equipment marketed for use in
commercial and industrial environments and are less rigorous than the Class B limits, which apply to equipment
marketed for use in residential environments, notwithstanding marketing for the use of the equipment in commercial
and industrial applications as well.
56
See 47 C.F.R. § 15.205 (2009).
57
See 47 C.F.R. § 15.203 (2009).

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below 30 MHz and reflect the same levels that apply to emissions conducted from unintentional

radiators. 58

E. Rules Pertaining to the “Responsible Party” in the Equipment Authorization


Process

Section 2.909 Responsible Party - The responsible party is the entity to whom the FCC

will, at least in the first instance, look to for compliance with the equipment authorization

regulations. In the case of equipment approved under certification approach, the responsible

party is the grantee of the grant of equipment authorization. If a change is made to certified

equipment by an entity other than one acting under the direction of the grantee, the entity making

the change becomes the responsible party and a new grant of equipment authorization may be

required.

If the equipment is approved under the verification approach, the responsible party is the

manufacturer of the equipment. However, in the case of imported equipment, the responsible

party is the importer of record. If equipment subject to verification is subsequently modified, the

entity performing the modification becomes the responsible party.

For equipment approved under the DOC approach, the manufacturer or, in the case of

imported equipment, the importer of record is the responsible party. Modifications made by

other than the entity issuing the DOC can result in the party performing the modifications

assuming the duties of the responsible party. As a general principle, a company should be

reluctant to assume the duties of a responsible party unless the company also has control over the

58
47 C.F.R. § 15.207 (2009). The conducted limits for intentional radiators are the same as the Class B
conducted limits for unintentional radiators set forth in Section 15.107(a) of the FCC Rules.

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manufacture of the equipment and has established its own procedures to ensure production units

comply with FCC regulations.

Section 2.927 Limitations on FCC equipment authorizations - A grant of equipment

authorization (i.e. an approval made under certification) is valid only when the FCC Identifier is

permanently affixed on the device and remains effective until it is revoked or withdrawn,

rescinded, surrendered, or a termination date is otherwise established by the FCC. The grant

signifies only that the FCC has reviewed the application presented to it and has, on that basis,

concluded that the equipment appears capable of operation in accordance with the FCC rules if

maintained properly and not impermissibly modified. No one is permitted to claim in any

promotional material that FCC approval means anything more than this. 59 The marketing of a

device with an incorrect FCC ID will be considered an intentional violation of the FCC Rules

even if the device otherwise complies and has been authorized, and even if the incorrect FCC ID

resulted from an error.

Section 2.931 Responsibility of the Grantee - By rule, the grantee warrants that each unit

produced will conform to the device that was measured for certification, within the variation that

can be expected due to quantity production and testing on a statistical basis. 60

Section 2.937 Equipment defect and/or design defect - The FCC retains the authority to

require the responsible party to respond to the Commission in the event that a complaint is

lodged concerning compliance with the FCC’s Rules. In responding to an inquiry from the

Commission, the responsible party shall, if it finds a defect, inform the FCC of the steps it

59
See 47 C.F.R. § 2.927 (2009).
60
See 47 C.F.R. § 2.931 (2009).

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proposed to take to correct the defect “both in terms of future production and with reference to

articles in the possession of users, sellers and distributors.” 61

Section 2.938 Retention of Records - The responsible party is obligated to retain the

original design drawings, specifications, and writings pertaining to changes that may affect

compliance. Records also must be maintained of the procedures employed for inspection and

testing to ensure that the devices being produced meet the requirements of Section 2.931. 62

For equipment subject to certification, the records are to be maintained for one year after

the manufacture of the equipment has ceased unless the equipment is the subject of an FCC

investigation, in which case the records shall be maintained until the Commission informs the

responsible party that the investigation has concluded. Records subject to other approvals shall

be maintained for two years after the manufacture has been discontinued permanently or until the

Commission notifies the responsible party that any investigation has concluded. 63

Section 1.1910 The “Red-Light” Rule - Anyone filing an application or seeking a benefit

from the FCC and who is delinquent in debts owed to the agency will be barred from receiving a

license or other benefit until the delinquency has been resolved. 64 Under this rule, when an

application or request for benefit is filed, the FCC Registration Number (“FRN”) is checked to

determine if the entity or person is delinquent in a debt owed to the FCC. Delinquent debtors are

notified and given 30 days to either pay the debt or make other satisfactory arrangements.

61
See 47 C.F.R. § 2.937 (2009).
62
See 47 C.F.R. § 2.938 (2009); see also 47 C.F.R. § 2.1075 (2009) (records retention for DOC).
63
Id.
64
See 47 C.F.R. § 1.1910 (2009).

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Failure to do so will result in dismissal of the application or request for benefits. Companies that

do business with the FCC can check their “red light” status by entering their FRN and associated

password on the FCC website. 65

Section 2.945 Sampling Tests of Equipment Compliance - The FCC also may request that

the responsible party submit equipment to determine the extent to which subsequent production

of such equipment continues to comply with the data filed by the applicant (or on file with the

responsible party for equipment subject to verification or a DoC). In this case, shipping costs to

the Commission’s laboratory and return are borne by the responsible party. 66 The FCC has been

known to check products on the market based on interference reports and third party complaints.

Certain Motorola U-NII products have been the subject of post-approval FCC testing.

Section 2.946 Penalty for Failure to Provide Test Samples, Data - Any responsible

party or party who markets RF equipment shall provide test samples or data to the FCC upon

request. Failure to comply with such a request within 14 days may be cause for forfeiture or

other administrative sanctions such as suspending action on any applications for equipment

authorization submitted by such party while the matter is being resolved. 67

F. Changes to RF Equipment

As a general rule, changes to FCC-approved equipment may not be made without a

determination that the equipment still meets the requirements of the FCC. This general rule,

however, does not tell the whole story.

65
The FCC website for checking the “red light” status is: https://svartifoss2.fcc.gov/redlight/login.cfm .
66
See 47 C.F.R. § 2.945 (2009); see also 47 C.F.R. § 2.943 (2009).
67
See 47 C.F.R. § 2.946 (2009).

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For equipment approved under the certification process, Section 2.1043 of the FCC Rules

sets out the rules governing changes. 68 Modifications to equipment approved under verification

or a declaration of conformity require retesting and follow-on documentation. 69

1. When A New Certification Application Is Necessary

For equipment approved via certification, changes to any of the following RF equipment

components will require a new certification application and grant: the basic frequency

determining and stabilizing circuitry (including clock or data rates), frequency multiplication

stages, basic modulator circuit or maximum power or field strength ratings. A different FCC ID

number associated with the changed equipment must be granted before the equipment may be

marketed or sold.

2. Class I and Class II Permissive Changes

If the change does not fall into a category that requires a new FCC ID, the next step is to

determine into which permissive change category the modification belongs. Apart from changes

to the software in a device that has been specifically approved as a “software defined radio,”

there are two categories of “permissive” changes that may be made without obtaining a new

grant of equipment authorization. The first category of permissive changes, i.e., Class I, does not

require a filing with the FCC, but the second category, i.e., Class II, does.

A Class I permissive change does not degrade the characteristics reported to the FCC and

relied on by the agency in making the determination to issue the grant of equipment

authorization known as certification. Class I permissive changes require no filing with the FCC

68
See 47 C.F.R. § 2.1043 (2009).
69
See 47 C.F.R. §§ 2.953 and 2.1073 (2009).

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or a TCB unless the agency asks for the documentation to back-up the determination that the

change qualifies as a Class I change. This documentation should be kept in the files of the

holder of the grant of the equipment authorization.

A Class II permissive change requires an FCC filing. A Class II permissive change

degrades the characteristics reported to the FCC that were relied upon by the agency in making

the determination to issue the equipment authorization grant, but still results in compliance with

the FCC rules. Before equipment incorporating a Class II permissive change may be marketed,

an application for the approval of the Class II change must be filed with the FCC or a TCB and

approval obtained. Applications for a Class II change are much like original applications for

certification, except that the FCC filing fee is much lower and the FCC says that it tries to

process such applications more quickly.

Some permissive change issues are unique to U-NII devices. KDB document 178919

sets forth guidance generally on permissive changes and includes some treatment of U-NII

device antenna changes. If multiple antennas are proposed for use with an approved U-NII

device, KDB 178919 notes that data are to be submitted for the lowest gain antenna in addition

to the highest gain of each type of antenna because the lowest gain results in worst case radar

reception. For these purposes, “type” refers to antenna design (e.g. yagi, dish, etc.). The same

KDB provides that the addition of a lower gain antenna will require a Class II permissive change

application to be submitted and approved before the lower gain antenna may be marketed for use

with the device. 70

70
A copy of KDB 178919 is included at Appendix II.

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There is a third category of permissive change, but this applies only to changes in the

software of a device approved as a software defined radio. Should Motorola intend to market

such a device, it should consult with GGA concerning the regulations pertaining to software

defined radios.

VII. LABELING AND NOTICE REQUIREMENTS

A. Part 15 Labeling Requirements – On The Equipment

RF transmitting devices authorized to operate under Part 15 of the FCC Rules must

include the device’s (1) FCC identifier and (2) the Part 15 compliance statement, as described

below. 71

1. The FCC identifier, e.g., FCC ID: ABC123, where ABC is the Grantee Code assigned by

the FCC, and 123 is the Equipment Product Code developed by the manufacturer or

company to whom the grant of equipment authorization will be issued.; and

2. The following compliance statement:

This device complies with Part 15 of the FCC Rules. Operation is subject
to the following two conditions: (1) this device may not cause harmful
interference, and (2) this device must accept any interference received,
including interference that may cause undesired operation.

Where the device is too small or it is otherwise impracticable to include the statement, the

compliance statement may be placed in a prominent location in the user manual. However, the

FCC ID number must be placed on the device. In the case of a device subject to approval by

verification the device should be uniquely identified. 72 Usually, this is accomplished by use of a

71
See 47 C.F.R. § 15.19(a)(3) (2009).
72
See 47 C.F.R. § 2.954 (2009).

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model number coupled with a trade name. Devices approved under a DOC are to be identified

by a unique identifier (trade name and model number) and the FCC logo displayed on the

device. 73 A label must be “etched, engraved, stamped, silkscreened, indelibly printed, or

otherwise permanently marked on a permanently attached part of the equipment” and “must be

designed to last the expected lifetime of the equipment in the environment in which the

equipment may be operated.” That is, it cannot be a stick-on, paper label.

B. Part 15 Notice Requirements – In The User Manual

Digital devices are devices that use RF energy to perform digital data processing

functions. Sometimes, a device will be both a digital device and a device subject to another

approval requirement. Devices that may be used in a residential environment must contain the

following statement in a prominent location in the user manual: 74

This equipment has been tested and found to comply with the limits for a
Class B digital device, pursuant to Part 15 of the FCC Rules. These limits
are designed to provide reasonable protection against harmful interference
in a residential installation. This equipment generates, uses and can
radiate radio frequency energy and, if not installed and used in accordance
with the instructions, may cause harmful interference to radio
communications. However, there is no guarantee that interference will not
occur in a particular installation. If this equipment does cause harmful
interference to radio or television reception, which can be determined by
turning the equipment off and on, the user is encouraged to try to correct
the interference by one or more of the following measures:

- Reorient or relocate the receiving antenna.

- Increase the separation between the equipment and receiver.

- Connect the equipment into an outlet on a circuit different from that to


which the receiver is connected.

73
See 47 C.F.R. § 2.1074 (2009).
74
See 47 C.F.R. §15.105(b) (2009).

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- Consult the dealer or an experienced radio/TV technician for help.

In the case of equipment that is classified as a Class A digital device, the

following statement should be used instead of that quoted above for a Class B

digital device:

NOTE: This equipment has been tested and found to comply with the
limits for a Class A digital device, pursuant to Part 15 of the FCC Rules.
These limits are designed to provide reasonable protection against harmful
interference when the equipment is operated in a commercial environment.
This equipment generates, uses, and can radiate radio frequency energy
and, if not installed and used in accordance with the instruction manual,
may cause harmful interference to radio communications. Operation of
this equipment in a residential area is likely to cause harmful interference
in which case the user will be required to correct the interference at his
own expense. 75

The manual for any intentional or unintentional radiator approved under Part 15 of the

FCC Rules also must contain language to the following effect: 76

Users must not modify this device. Modifications by anyone other than
the party responsible for compliance with the rules of the Federal
Communications Commission (FCC) may void the authority granted
under FCC regulations to operate this device.

The wording may be slightly modified, but the meaning of this notice must clearly alert

the user that changes or modifications to the equipment are not permitted.

VIII. FCC ENFORCEMENT ACTION AND PENALTIES FOR NONCOMPLIANCE

Motorola employees must comply fully with FCC Rules. As described below, companies

found in violation of FCC Rules risk exposure to a number of liabilities including:

• Civil and criminal penalties;

75
47 C.F.R. §15.105(a) ( 2009).
76
See 47 C.F.R. §15.21 (2009).

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• Equipment seizure and revocation of equipment authorization;

• Litigation by private parties; and

• Loss of reputation in the marketplace and with the FCC, and business disruption.

A. Civil Fines and Forfeitures

The Communications Act of 1934, as amended (the “Act”), 47 U.S.C. § 101 et seq.,

specifies the monetary forfeitures that the FCC may impose upon companies for violating the

Act or FCC Rules. A monetary forfeiture or “civil fine” is a claim by the government for a

violation of rules, statutes, or authorizations.

In addition to penalties provided for in the Act, Section 503 states that any person who is

determined by the FCC to have willfully and repeatedly: (1) failed to comply substantially with

the terms and conditions of any license, permit, certificate, or other instrument or authorization

issued by the Commission; or (2) failed to comply with any of the provisions of the Act or any

rule, regulation, or order issued by the Commission, “shall be liable to the United States for a

forfeiture penalty.” 77

Section 503 further provides that the amount of any forfeiture penalty “shall not exceed

$10,000 for each violation, or each day of the continuing violation, except that the amount

assessed for any continuing violation shall not exceed a total of $75,000 for any single act or

failure to act.” 78 As a result of indexing requirements imposed by statute, these amounts were

increased to $16,000 for each violation and $112,500 for continuing violations. 79 The FCC

77
See 47 U.S.C. § 503(a)(1)(A)-(B).
78
Id.
79
If the responsible party was found in continuing violation for 5 consecutive days, the amount allowed is
5x$16,000 = $80,000.

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treats a violation as “willful” so long as the person committing the act knew they were

committing it, regardless of whether they knew that such action violated an FCC rule.

The FCC rules contain a detailed schedule of fines for each type of violation. 80 For

example, the fine is $7,000 for the importation or marketing of unapproved equipment, and

$5,000 for use of unauthorized equipment per day per violation. These amounts can be increased

or decreased by the agency depending on the facts associated with the violation and the history

and status of the company. In addition, each day of continuing violation can be considered a

separate offense and each noncompliant device can be considered to be a separate device in

violation, allowing fines to be applied on a per day and per device basis. Thus, the maximum

fine arising from the widespread marketing of noncompliant equipment can be quite large. 81

Motorola is subject to a consent decree covering alleged violations of FCC rules relating

to its U-NII devices. 82 A violation of the terms of the Consent Decree would constitute a

violation of an FCC order and likely would result in liability in addition to that incurred for the

rule violation.

B. Criminal Penalties

Sections 501 and 502 specify criminal fines and prison terms for violations of the Act and

for violations of the FCC Rules. For violations of the Act, Section 501 states: 83

80
See 47 C.F.R. § 1.80.
81
Fines and consent decree settlements ranging from hundreds of thousands of dollars to several million dollars
have been assessed for violation of the Part 15 Rules. For example, Syntax-Brillian was found in violation of
shipping television receivers that do no comply with DTV turner requirements in May 2007 and was found liable for
$2.9 million dollars, Notice of apparent liability for forfeiture, FCC 07-106 (rel. May 30, 2007).
82
See Motorola, Inc., Order and Consent Decree, DA 10-616 (rel. April 14, 2010).
83
See 47 U.S.C. § 501.

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Any person who willfully and knowingly does or causes or suffers to be done any
act, matter, or thing, in this Act prohibited or declared to be unlawful, or willfully
and knowingly omits or fails to do any act, matter, or thing in this Act required to
be done, or willfully and knowingly causes or suffers such omission or failure,
shall upon conviction thereof be punished for such offense . . . by a fine of not
more than $10,000 or by imprisonment for a term not exceeding one year, or both;
except that any person having been once convicted of an offense punishable under
this section, who is subsequently convicted of violating any provision of this Act
punishable under this section shall be punished by a fine of not more than $10,000
or by imprisonment for a term not exceeding two years, or both.

The government also has the ability to apply the “Criminal Fine Improvements Act of

1987” to increase the fines described above to $250,000 for individuals and $500,000 for

organizations. 84 For violations of the FCC’s Rules (as opposed to the Act), companies may be

held liable for $500 in criminal fines “for each and every day during which such offense

occurs.” 85 The government may also seek a federal court injunction against companies for

further violations, and failure to heed the injunction could result in additional penalties.

C. Equipment Seizure and Revocation of Equipment Authorization

The Act also allows for the seizure of equipment. 86

Any electronic, electromagnetic, radio-frequency, or similar device, or


component thereof, used, sent, carried, manufactured, assembled,
possessed, offered for sale, sold, or advertised with willful and knowing
intent to violate section 301 or 302, or rules prescribed by the Commission
under such sections, may be seized and forfeited to the United States.
Such seizures are conducted pursuant to the rules for certain admiralty and maritime

claims. Thus, the Attorney General of the United States may seize such property upon proper

process, and seizures without such process may be made if it is incident to a lawful arrest or

84
See 18 U.S.C. § 3571.
85
See 47 U.S.C. § 502.
86
See 47 U.S.C. § 510.

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search. Advance notice of intent to seize equipment is not required. The FCC itself also has, on

occasion, moved to have noncompliant equipment seized.

The FCC also may revoke equipment authorizations in the following instances: 87

For misrepresentations made either in the certification application or in materials


or responses submitted in connection with the application or in records required to
be kept by Section 2.938 of the FCC Rules. 88 .
If it is determined upon subsequent inspection or operation that the equipment
does not conform to the pertinent technical requirements or to the representations
made in the original certification application.

If it is determined that changes have been made to the equipment other than those
authorized by the rules or authorized by the FCC.

D. Lawsuits

Violations of the equipment authorization and marketing rules also raise the prospect of

civil litigation. A retailer may sue an equipment supplier for breach of contract or fraud if, for

example, equipment that was misrepresented as FCC-approved is confiscated by the government.

Depending on the particular circumstances, the supplier could be liable for the retailer’s lost

profits, the costs of the confiscated equipment, and any fines. The costs associated with a

lawsuit, the potential loss of reputation in the marketplace and business disruption (as described

below) could easily exceed the amount of fines that the government might levy.

E. Loss of Reputation

Companies like Motorola that deal regularly with the FCC can benefit from a good

relationship with the agency. Indeed, such a relationship can prove essential to the company’s

well-being as the company presents its positions on numerous issues that arise before the FCC.

87
See 47 C.F.R. § 2.939.
88
See 47 C.F.R. § 2.938.

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Companies that file applications for approval occasionally must ask the FCC staff for

interpretations, seek waivers of the rules, and in some cases petition for a change in the rules.

The credibility of an entity before the FCC can provide the agency with the needed “comfort

level” to grant certain requests.

Companies that are found, or are even suspected, to be in violation of the FCC Rules can

lose this credibility and trust. The FCC has at times suggested that applications filed by such

entities are scrutinized more carefully than others. Moreover, as noted above, FCC Rule Section

2.946 allows the suspension of action on pending applications for equipment authorization where

the agency has not received responses to a request for data or samples in an investigatory

matter. 89

F. Business Disruption and Other Costs of Noncompliance

Equipment compliance issues are costly on many levels. When compliance problems

arise, product development often comes to a halt and project resources are redirected to redesign

and remediation efforts. A company’s bottom line is directly affected by the delayed revenue

and increased investment in remediation and product redesign efforts. Company personnel often

must devote substantial attention to compliance efforts, taking attention away from the

commercial affairs of the company. If the noncompliant product has already been deployed to

the field, the company also needs to attend to product returns and corrective action procedures.

To avoid (or at least contain) equipment compliance issues, Motorola should continue to

promote an environment of regulatory compliance. Regulatory compliance is best achieved

when it is integrated into the entire product lifecycle – from product idea to design to engineering

89
See 47 C.F.R. § 2.946.

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to production to full-scale manufacturing. Focusing on compliance early in the product

development process and establishing compliance as a critical design parameter will reduce

costs, time-to-market, and any unwelcome surprises prior to product release.

IX. CONCLUSION

For any compliance program to be effective, the policy of compliance must be integrated

into the culture of the organization. Not only do our customers depend on us to design, build,

and market equipment that complies with the FCC requirements, so do our shareholders and

others in the telecommunications world who look to Motorola as a leader. Noncompliance can

have many unfortunate consequences. Failure to comply with the FCC’s requirements may

contribute to harmful interference to safety services. It can also result in delay and added costs

to the program that failed to comply. Moreover, the disruption that inevitably flows from any

investigation into alleged noncompliance can affect programs that were not even directly

involved with the allegations. As such, it is incumbent on those of us involved in overseeing the

design and marketing of U-NII devices to know the FCC regulations and to implement those

requirements.

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Appendix I Selected FCC Rules

Part 2—Frequency Allocations and Radio Treaty Matters; General Rules and Regulations

Subpart I—Marketing of Radio Frequency Devices

§ 2.803 Marketing of radio frequency devices prior to equipment authorization.

(a) Except as provided elsewhere in this section, no person shall sell or lease, or offer for sale or
lease (including advertising for sale or lease), or import, ship, or distribute for the purpose of
selling or leasing or offering for sale or lease, any radio frequency device unless:
(1) In the case of a device subject to certification, such device has been authorized by the
Commission in accordance with the rules in this chapter and is properly identified and labeled as
required by §2.925 and other relevant sections in this chapter; or
(2) In the case of a device that is not required to have a grant of equipment authorization issued
by the Commission, but which must comply with the specified technical standards prior to use,
such device also complies with all applicable administrative (including verification of the
equipment or authorization under a Declaration of Conformity, where required), technical,
labeling and identification requirements specified in this chapter.
(b) The provisions of paragraph (a) of this section do not prohibit conditional sales contracts
between manufacturers and wholesalers or retailers where delivery is contingent upon
compliance with the applicable equipment authorization and technical requirements, nor do they
prohibit agreements between such parties to produce new products, manufactured in accordance
with designated specifications.
(c) Notwithstanding the provisions of paragraphs (a), (b), (d) and (f) of this section, a radio
frequency device may be advertised or displayed, e.g., at a trade show or exhibition, prior to
equipment authorization or, for devices not subject to the equipment authorization requirements,
prior to a determination of compliance with the applicable technical requirements provided that
the advertising contains, and the display is accompanied by, a conspicuous notice worded as
follows:
This device has not been authorized as required by the rules of the Federal Communications
Commission. This device is not, and may not be, offered for sale or lease, or sold or leased, until
authorization is obtained.
(1) If the product being displayed is a prototype of a product that has been properly authorized
and the prototype, itself, is not authorized due to differences between the prototype and the
authorized product, the following disclaimer notice may be used in lieu of the notice stated in
paragraph (c) introductory text of this section:
Prototype. Not for sale.
(2) Except as provided elsewhere in this chapter, devices displayed under the provisions of
paragraphs (c) introductory text, and (c)(1) of this section may not be activated or operated.
(d) Notwithstanding the provisions of paragraph (a) of this section, the offer for sale solely to
business, commercial, industrial, scientific or medical users (but not an offer for sale to other
parties or to end users located in a residential environment) of a radio frequency device that is in

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the conceptual, developmental, design or pre-production stage is permitted prior to equipment


authorization or, for devices not subject to the equipment authorization requirements, prior to a
determination of compliance with the applicable technical requirements provided that the
prospective buyer is advised in writing at the time of the offer for sale that the equipment is
subject to the FCC rules and that the equipment will comply with the appropriate rules before
delivery to the buyer or to centers of distribution. If a product is marketed in compliance with the
provisions of this paragraph, the product does not need to be labeled with the statement in
paragraph (c) of this section.
(e)(1) Notwithstanding the provisions of paragraph (a) of this section, prior to equipment
authorization or determination of compliance with the applicable technical requirements any
radio frequency device may be operated, but not marketed, for the following purposes and under
the following conditions:
(i) Compliance testing;
(ii) Demonstrations at a trade show provided the notice contained in paragraph (c) of this section
is displayed in a conspicuous location on, or immediately adjacent to, the device;
(iii) Demonstrations at an exhibition conducted at a business, commercial, industrial, scientific,
or medical location, but excluding locations in a residential environment, provided the notice
contained in paragraphs (c) or (d) of this section, as appropriate, is displayed in a conspicuous
location on, or immediately adjacent to, the device;
(iv) Evaluation of product performance and determination of customer acceptability, provided
such operation takes place at the manufacturer's facilities during developmental, design, or pre-
production states; or
(v) Evaluation of product performance and determination of customer acceptability where
customer acceptability of a radio frequency device cannot be determined at the manufacturer's
facilities because of size or unique capability of the device, provided the device is operated at a
business, commercial, industrial, scientific, or medical user's site, but not at a residential site,
during the development, design or pre-production stages. A product operated under this
provision shall be labeled, in a conspicuous location, with the notice in paragraph (c) of this
section.
(2) For the purpose of paragraphs (e)(1)(iv) and (e)(1)(v) of this section, the term manufacturer's
facilities includes the facilities of the party responsible for compliance with the regulations and
the manufacturer's premises, as well as the facilities of other entities working under the
authorization of the responsible party in connection with the development and manufacture, but
not marketing, of the equipment.
(e)(3) The provisions of paragraphs (e)(1)(i), (e)(1)(ii), (e)(1)(iii), (e)(1)(iv), and (e)(1)(v) of this
section do not eliminate any requirements for station licenses for products that normally require a
license to operate, as specified elsewhere in this chapter.
(i) Manufacturers should note that station licenses are not required for some products, e.g.,
products operating under part 15 of this chapter and certain products operating under part 95 of
this chapter.
(ii) Instead of obtaining a special temporary authorization or an experimental license, a
manufacturer may operate its product for demonstration or evaluation purposes under the

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authority of a local FCC licensed service provider. However, the licensee must grant permission
to the manufacturer to operate in this manner. Further, the licensee continues to remain
responsible for complying with all of the operating conditions and requirements associated with
its license.
(4) Marketing, as used in this section, includes sale or lease, or offering for sale or lease,
including advertising for sale or lease, or importation, shipment, or distribution for the purpose
of selling or leasing or offering for sale or lease.
(5) Products operating under the provisions of this paragraph (e) shall not be recognized to have
any vested or recognizable right to continued use of any frequency. Operation is subject to the
conditions that no harmful interference is caused and that any interference received must be
accepted. Operation shall be required to cease upon notification by a Commission representative
that the device is causing harmful interference and shall not resume until the condition causing
the harmful interference is corrected.
(f) For radio frequency devices subject to verification and sold solely to business, commercial,
industrial, scientific, and medical users (excluding products sold to other parties or for operation
in a residential environment), parties responsible for verification of the devices shall have the
option of ensuring compliance with the applicable technical specifications of this chapter at each
end user's location after installation, provided that the purchase or lease agreement includes a
proviso that such a determination of compliance be made and is the responsibility of the party
responsible for verification of the equipment. If the purchase or lease agreement contains this
proviso and the responsible party has the product measured to ensure compliance at the end
user's location, the product does not need to be labeled with the statement in paragraph (c) of this
section.
(g) The provisions in paragraphs (b) through (f) of this section apply only to devices that are
designed to comply with, and to the best of the responsible party's knowledge will, upon testing,
comply with all applicable requirements in this chapter. The provisions in paragraphs (b) through
(f) of this section do not apply to radio frequency devices that could not be authorized or legally
operated under the current rules. Such devices shall not be operated, advertised, displayed,
offered for sale or lease, sold or leased, or otherwise marketed absent a license issued under part
5 of this chapter or a special temporary authorization issued by the Commission.
(h) The provisions in subpart K of this part continue to apply to imported radio frequency
devices.
Subpart J – Equipment Authorization Procedures

§ 2.902 Verification.

(a) Verification is a procedure where the manufacturer makes measurements or takes the
necessary steps to insure that the equipment complies with the appropriate technical standards.
Submittal of a sample unit or representative data to the Commission demonstrating compliance is
not required unless specifically requested by the Commission pursuant to §2.957, of this part.
(b) Verification attaches to all items subsequently marketed by the manufacturer or importer
which are identical as defined in §2.908 to the sample tested and found acceptable by the
manufacturer.

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§ 2.906 Declaration of Conformity.

(a) A Declaration of Conformity is a procedure where the responsible party, as defined in §2.909,
makes measurements or takes other necessary steps to ensure that the equipment complies with
the appropriate technical standards. Submittal of a sample unit or representative data to the
Commission demonstrating compliance is not required unless specifically requested pursuant to
§2.1076.
(b) The Declaration of Conformity attaches to all items subsequently marketed by the
responsible party which are identical, as defined in §2.908, to the sample tested and found
acceptable by the responsible party.

§ 2.907 Certification.

(a) Certification is an equipment authorization issued by the Commission, based on


representations and test data submitted by the applicant.
(b) Certification attaches to all units subsequently marketed by the grantee which are identical
(see §2.908) to the sample tested except for permissive changes or other variations authorized by
the Commission pursuant to §2.1043.

§ 2.909 Responsible party.

The following parties are responsible for the compliance of radio frequency equipment with the
applicable standards:
(a) In the case of equipment which requires the issuance by the Commission of a grant of
equipment authorization, the party to whom that grant of authorization is issued (the grantee) If
the radio frequency equipment is modified by any party other than the grantee and that party is
not working under the authorization of the grantee pursuant to §2.929(b), the party performing
the modification is responsible for compliance of the product with the applicable administrative
and technical provisions in this chapter.
(b) In the case of equipment subject to authorization under the verification procedure, the
manufacturer or, in the case of imported equipment, the importer. If subsequent to manufacture
and importation, the radio frequency equipment is modified by any party not working under the
authority of the responsible party, the party performing the modification becomes the new
responsible party.
(c) In the case of equipment subject to authorization under the Declaration of Conformity
procedure:
(1) The manufacturer or, if the equipment is assembled from individual component parts and the
resulting system is subject to authorization under a Declaration of Conformity, the assembler.
(2) If the equipment, by itself, is subject to a Declaration of Conformity and that equipment is
imported, the importer.

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(3) Retailers or original equipment manufacturers may enter into an agreement with the
responsible party designated in paragraph (c)(1) or (c)(2) of this section to assume the
responsibilities to ensure compliance of equipment and become the new responsible party.
(4) If the radio frequency equipment is modified by any party not working under the authority of
the responsible party, the party performing the modifications, if located within the U.S., or the
importer, if the equipment is imported subsequent to the modifications, becomes the new
responsible party.
(d) If, because of modifications performed subsequent to authorization, a new party becomes
responsible for ensuring that a product complies with the technical standards and the new party
does not obtain a new equipment authorization, the equipment shall be labeled, following the
specifications in §2.925(d), with the following: “This product has been modified by [insert name,
address and telephone number of the party performing the modifications].”
§ 2.932 Modification of equipment.

(a) A new application for an equipment authorization shall be filed whenever there is a change in
the design, circuitry or construction of an equipment or device for which an equipment
authorization has been issued, except as provided in paragraphs (b) through (d) of this section.
(b) Permissive changes may be made in certificated equipment, and equipment that was
authorized under the former type acceptance procedure, pursuant to §2.1043.
(c) Permissive changes may be made in equipment that was authorized under the former
notification procedure without submittal of information to the Commission, unless the equipment
is currently subject to authorization under the certification procedure. However, the grantee shall
submit information documenting continued compliance with the pertinent requirements upon
request.
(d) All requests for permissive changes submitted to the Commission must be accompanied by
the anti-drug abuse certification required under §1.2002 of this chapter.
§ 2.1043 Changes in certificated equipment.

(a) Except as provided in paragraph (b)(3) of this section, changes to the basic frequency
determining and stabilizing circuitry (including clock or data rates), frequency multiplication
stages, basic modulator circuit or maximum power or field strength ratings shall not be
performed without application for and authorization of a new grant of certification. Variations in
electrical or mechanical construction, other than these indicated items, are permitted provided the
variations either do not affect the characteristics required to be reported to the Commission or the
variations are made in compliance with the other provisions of this section. Changes to the
software installed in a transmitter that do not affect the radio frequency emissions do not require
a filing with the Commission and may be made by parties other than the holder of the grant of
certification.
(b) Three classes of permissive changes may be made in certificated equipment without requiring
a new application for and grant of certification. None of the classes of changes shall result in a
change in identification.

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(1) A Class I permissive change includes those modifications in the equipment which do not
degrade the characteristics reported by the manufacturer and accepted by the Commission when
certification is granted. No filing with the Commission is required for a Class I permissive
change.
(2) A Class II permissive change includes those modifications which degrade the performance
characteristics as reported to the Commission at the time of the initial certification. Such
degraded performance must still meet the minimum requirements of the applicable rules. When a
Class II permissive change is made by the grantee, the grantee shall supply the Commission with
complete information and the results of tests of the characteristics affected by such change. The
modified equipment shall not be marketed under the existing grant of certification prior to
acknowledgement by the Commission that the change is acceptable.
(3) A Class III permissive change includes modifications to the software of a software defined
radio transmitter that change the frequency range, modulation type or maximum output power
(either radiated or conducted) outside the parameters previously approved, or that change the
circumstances under which the transmitter operates in accordance with Commission rules. When
a Class III permissive change is made, the grantee shall supply the Commission with a
description of the changes and test results showing that the equipment complies with the
applicable rules with the new software loaded, including compliance with the applicable RF
exposure requirements. The modified software shall not be loaded into the equipment, and the
equipment shall not be marketed with the modified software under the existing grant of
certification, prior to acknowledgement by the Commission that the change is acceptable. Class
III changes are permitted only for equipment in which no Class II changes have been made from
the originally approved device.
Note to paragraph(b)(3): Any software change that degrades spurious and out-of-band emissions
previously reported to the Commission at the time of initial certification would be considered a
change in frequency or modulation and would require a Class III permissive change or new
equipment authorization application.
(4) Class I and Class II permissive changes may only be made by the holder of the grant of
certification, except as specified below.
(c) A grantee desiring to make a change other than a permissive change shall file an application
on FCC Form 731 accompanied by the required fees. The grantee shall attach a description of the
change(s) to be made and a statement indicating whether the change(s) will be made in all units
(including previous production) or will be made only in those units produced after the change is
authorized.
(d) A modification which results in a change in the identification of a device with or without
change in circuitry requires a new application for, and grant of certification. If the changes affect
the characteristics required to be reported, a complete application shall be filed. If the
characteristics required to be reported are not changed the abbreviated procedure of §2.933 may
be used.
(e) Equipment that has been certificated or formerly type accepted for use in the Amateur Radio
Service pursuant to the requirements of part 97 of this chapter may be modified without regard to
the conditions specified in paragraph (b) of this section, provided the following conditions are
met:

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(1) Any person performing such modifications on equipment used under part 97 of this chapter
must possess a valid amateur radio operator license of the class required for the use of the
equipment being modified.
(2) Modifications made pursuant to this paragraph are limited to equipment used at licensed
amateur radio stations.
(3) Modifications specified or performed by equipment manufacturers or suppliers must be in
accordance with the requirements set forth in paragraph (b) of this section.
(4) Modifications specified or performed by licensees in the Amateur Radio Service on
equipment other than that at specific licensed amateur radio stations must be in accordance with
the requirements set forth in paragraph (b) of this section.
(5) The station licensee shall be responsible for ensuring that modified equipment used at his
station will comply with the applicable technical standards in part 97 of this chapter.
(f) For equipment other than that operating under parts 15 or 18, when a Class II permissive
change is made by other than the grantee of certification, the information and data specified in
paragraph (b)(2) of this section shall be supplied by the person making the change. The modified
equipment shall not be operated under an authorization of the Commission prior to
acknowledgement by the Commission that the change is acceptable.
(g) The interconnection of a certificated or formerly type accepted AM broadcast stereophonic
exciter-generator with a certificated or formerly type accepted AM broadcast transmitter in
accordance with the manufacturer's instructions and upon completion of measurements showing
that the modified transmitter meets the emission limitation requirements of §73.44 is defined as a
Class I permissive change for compliance with this section.
(h) The interconnection of a multiplexing exciter with a certificated or formerly type accepted
AM broadcast transmitter in accordance with the manufacturer's instructions without electrical or
mechanical modification of the transmitter circuits and completion of equipment performance
measurements showing the transmitter meets the minimum performance requirements applicable
thereto is defined as a Class I permissive change for compliance with this section.
(i) The addition of TV broadcast subcarrier generators to a certificated or formerly type accepted
TV broadcast transmitter or the addition of FM broadcast subcarrier generators to a type
accepted FM broadcast transmitter, provided the transmitter exciter is designed for subcarrier
operation without mechanical or electrical alterations to the exciter or other transmitter circuits.
(j) The addition of TV broadcast stereophonic generators to a certificated or formerly type
accepted TV broadcast transmitter or the addition of FM broadcast stereophonic generators to a
certificated or formerly type accepted FM broadcast transmitter, provided the transmitter exciter
is designed for stereophonic sound operation without mechanical or electrical alterations to the
exciter or other transmitter circuits.
(k) The addition of subscription TV encoding equipment for which the FCC has granted advance
approval under the provisions of §2.1400 in subpart M and §73.644(c) of part 73 to a certificated
or formerly type accepted transmitter is considered a Class I permissive change.
(l) Notwithstanding the provisions of this section, broadcast licensees or permittees are permitted
to modify certificated or formerly type accepted equipment pursuant to §73.1690 of the FCC's
rules.

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Subpart K—Importation of Devices Capable of Causing Harmful Interference

§ 2.1201 Purpose.

(a) In order to carry out its responsibilities under the Communications Act and the various
treaties and international regulations, and in order to promote efficient use of the radio spectrum,
the Commission has developed technical standards for radio frequency equipment. The technical
standards applicable to individual types of equipment are found in that part of the rules
governing the service wherein the equipment is to be operated. In addition to the technical
standards, the rules governing the service may require that such equipment receive an equipment
authorization from the Commission as a prerequisite for marketing and importing this equipment
into the U.S.A. The marketing rules, §2.801 et seq., were adopted pursuant to the authority in
section 302 of the Communications Act of 1934, as amended (47 U.S.C. 302).
(b) The rules in this section set out the conditions under which radio frequency devices as
defined in §2.801 that are capable of causing harmful interference to radio communications may
be imported into the U.S.A.
(c) Nothing in this section prevents importers from shipping goods into foreign trade zones or
Customs bonded warehouses, such as is the prescribed procedure under §2.1204(a)(5). Radio
frequency devices capable of causing harmful interference, however, cannot be withdrawn from
these areas except in accordance with the provisions of this section.
§ 2.1202 Exclusions.

The provisions of this section do not apply to the importation of:


(a) Cameras, musical greeting cards, quartz watches and clocks, modules of quartz watches and
clocks, hand-held calculators and electronic games, and other similar unintentional radiators
which utilize low level battery power and which do not contain provisions for operation while
connected to AC power lines.
(b) Unintentional radiators which are exempted from technical standards and other requirements
as specified in §15.103 of this chapter.
(c) Radio frequency devices manufactured and assembled in the U.S.A. that meet applicable
FCC technical standards and which have not been modified or received further assembly.
(d) Radio frequency devices previously properly imported that have been exported for repair and
re-imported for use.
(e) Subassemblies, parts, or components of radio frequency devices unless they constitute an
essentially completed device which requires only the addition of cabinets, knobs, speakers, or
similar minor attachments before marketing or use. Form 740 information will be required to be
submitted for computer circuit boards that are actually peripheral devices as defined in §15.3(r)
of this chapter and all devices that, by themselves, are subject to FCC marketing rules.
§ 2.1203 General requirement for entry into the U.S.A.

(a) No radio frequency device may be imported into the Customs territory of the United States
unless the importer or ultimate consignee, or their designated customs broker, declares that the
device meets one of the conditions for entry set out in this section.

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(b) A separate declaration shall be used for each line item in the entry or entry summary
containing an RF device, or for each different radio frequency device within a line item when the
elements of the declaration are not identical.
(c) Failure to properly declare the importation category for an entry of radio frequency devices
may result in refused entry, refused withdrawal for consumption, required redelivery to the
Customs port, and other administrative, civil and criminal remedies provided by law.
(d) Whoever makes a declaration pursuant to §2.1203(a) must provide, upon request made within
one year of the date of entry, documentation on how an imported radio frequency device was
determined to be in compliance with Commission requirements.
§ 2.1204 Import conditions.

(a) Radio frequency devices may be imported only if one or more of these conditions are met:
(1) The radio frequency device has been issued an equipment authorization by the FCC.
(2) The radio frequency device is not required to have an equipment authorization and the device
complies with FCC technical administrative regulations.
(3) The radio frequency device is being imported in limited quantities for testing and evaluation
to determine compliance with the FCC Rules and Regulations or suitability for marketing. The
devices will not be offered for sale or marketed. The phrase “limited quantities,” in this context
means:
(i) 2000 or fewer units, provided the product is designed solely for operation within one of the
Commission's authorized radio services for which an operating license is required to be issued by
the Commission; or
(ii) 200 or fewer units for all other products.
(iii) 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.
(iv) Distinctly different models of a product 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:
(i) 200 or fewer units, provided the product is designed solely for operation within one of the
Commission's authorized radio services for which an operating license is required to be issued by
the Commission; or
(ii) 10 or fewer units for all other products.
(iii) 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.
(iv) Distinctly different models of a product and separate generations of a particular model under
development are considered to be separate devices.
(5) The radio frequency device is being imported solely for export. The device will not be
marketed or offered for sale in the U.S., except:

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(i) If the device is a foreign standard cellular phone solely capable of functioning outside the
U.S.
(ii) 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 U.S.
(6) The radio frequency device is being imported for use exclusively by the U.S. Government.
(7) Three or fewer radio receivers, computers, or other unintentional radiators as defined in part
15 of this chapter, are being imported for the individual's personal use and are not intended for
sale.
(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 Radio communication
Service (MedRadio) under part 95 of this chapter. 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 §25.129 of this chapter, are
being imported by a traveler as personal effects and will not be offered for sale or lease in the
United States.
(b) The ultimate consignee must be able to document compliance with the selected import
condition and the basis for determining the import condition applied.
§ 2.1205 Filing of required declaration.

(a) For points of entry where electronic filing with Customs has not been implemented, use FCC
Form 740 to provide the needed information and declarations. Attach a copy of the completed
FCC Form 740 to the Customs entry papers.
(b)(1) For points of entry where electronic filing with Customs is available, submit the following
information to Customs when filing the entry documentation and the entry summary
documentation electronically. Follow procedures established by Customs for electronic filing.
(i) The terms under which the device is being imported, as indicated by citing the import
condition number specified in §2.1204(a).
(ii) The FCC identifier as specified in §2.925, if the device has been granted an equipment
authorization;
(iii) The quantity of devices being imported, regardless of what unit is specified in the
Harmonized Tariff Schedule of the United States; and
(iv) A commercial product description which is to include the trade name, a model/type number
(or model/type name) and other descriptive information about the device being imported.

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(2) For importers unable to participate in the electronic filing process with Customs for good
cause, declarations are to be made in accordance with paragraph (a) of this section.
§ 2.1207 Examination of imported equipment.

In order to determine compliance with its regulations, Commission representatives may examine
or test any radio frequency device that is imported. If such radio frequency device has already
entered the U.S., the ultimate consignee or subsequent owners of that device must, upon request,
made within one year of the date of entry, make that device available for examination or testing
by the Commission.
Part 15—Radiofrequency Devices

Subpart E—Unlicensed National Information Infrastructure Devices

§ 15.407 General technical requirements.

(a) Power limits:


(1) For the band 5.15–5.25 GHz, the maximum conducted output power over the frequency band
of operation shall not exceed the lesser of 50 mW or 4 dBm + 10 log B, where B is the 26–dB
emission bandwidth in MHz. In addition, the peak power spectral density shall not exceed 4 dBm
in any 1–MHz band. If transmitting antennas of directional gain greater than 6 dBi are used, both
the maximum conducted output power and the peak power spectral density shall be reduced by
the amount in dB that the directional gain of the antenna exceeds 6 dBi.
(2) For the 5.25–5.35 GHz and 5.47–5.725 GHz bands, the maximum conducted output power
over the frequency bands of operation shall not exceed the lesser of 250 mW or 11 dBm + 10 log
B, where B is the 26 dB emission bandwidth in megahertz. In addition, the peak power spectral
density shall not exceed 11 dBm in any 1 megahertz band. If transmitting antennas of directional
gain greater than 6 dBi are used, both the maximum conducted output power and the peak power
spectral density shall be reduced by the amount in dB that the directional gain of the antenna
exceeds 6 dBi.
(3) For the band 5.725–5.825 GHz, the maximum conducted output power over the frequency
band of operation shall not exceed the lesser of 1 W or 17 dBm + 10 log B, where B is the 26-dB
emission bandwidth in MHz. In addition, the peak power spectral density shall not exceed 17
dBm in any 1–MHz band. If transmitting antennas of directional gain greater than 6 dBi are used,
both the maximum conducted output power and the peak power spectral density shall be reduced
by the amount in dB that the directional gain of the antenna exceeds 6 dBi. However, fixed
point-to-point U-NII devices operating in this band may employ transmitting antennas with
directional gain up to 23 dBi without any corresponding reduction in the transmitter peak output
power or peak power spectral density. For fixed, point-to-point U-NII transmitters that employ a
directional antenna gain greater than 23 dBi, a 1 dB reduction in peak transmitter power and
peak power spectral density for each 1 dB of antenna gain in excess of 23 dBi would be required.
Fixed, point-to-point operations exclude the use of point-to-multipoint systems, omnidirectional
applications, and multiple collocated transmitters transmitting the same information. The
operator of the U-NII device, or if the equipment is professionally installed, the installer, is
responsible for ensuring that systems employing high gain directional antennas are used
exclusively for fixed, point-to-point operations.

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Note to paragraph(a)(3): The Commission strongly recommends that parties employing U-NII
devices to provide critical communications services should determine if there are any nearby
Government radar systems that could affect their operation.
(4) The maximum conducted output power must be measured over any interval of continuous
transmission using instrumentation calibrated in terms of an rms-equivalent voltage. The
measurement results shall be properly adjusted for any instrument limitations, such as detector
response times, limited resolution bandwidth capability when compared to the emission
bandwidth, sensitivity, etc., so as to obtain a true peak measurement conforming to the above
definitions for the emission in question.
(5) The peak power spectral density is measured as a conducted emission by direct connection of
a calibrated test instrument to the equipment under test. If the device cannot be connected
directly, alternative techniques acceptable to the Commission may be used. Measurements are
made over a bandwidth of 1 MHz or the 26 dB emission bandwidth of the device, whichever is
less. A resolution bandwidth less than the measurement bandwidth can be used, provided that the
measured power is integrated to show total power over the measurement bandwidth. If the
resolution bandwidth is approximately equal to the measurement bandwidth, and much less than
the emission bandwidth of the equipment under test, the measured results shall be corrected to
account for any difference between the resolution bandwidth of the test instrument and its actual
noise bandwidth.
(6) The ratio of the peak excursion of the modulation envelope (measured using a peak hold
function) to the maximum conducted output power (measured as specified above) shall not
exceed 13 dB across any 1 MHz bandwidth or the emission bandwidth whichever is less.
(b) Undesirable emission limits: Except as shown in paragraph (b)(6) of this section, the peak
emissions outside of the frequency bands of operation shall be attenuated in accordance with the
following limits:
(1) For transmitters operating in the 5.15–5.25 GHz band: all emissions outside of the 5.15–5.35
GHz band shall not exceed an EIRP of –27 dBm/MHz.
(2) For transmitters operating in the 5.25–5.35 GHz band: all emissions outside of the 5.15–5.35
GHz band shall not exceed an EIRP of –27 dBm/MHz. Devices operating in the 5.25–5.35 GHz
band that generate emissions in the 5.15–5.25 GHz band must meet all applicable technical
requirements for operation in the 5.15–5.25 GHz band (including indoor use) or alternatively
meet an out-of-band emission EIRP limit of –27 dBm/MHz in the 5.15–5.25 GHz band.
(3) For transmitters operating in the 5.47–5.725 GHz band: all emissions outside of the 5.47–
5.725 GHz band shall not exceed an EIRP of −27 dBm/MHz.
(4) For transmitters operating in the 5.725–5.825 GHz band: all emissions within the frequency
range from the band edge to 10 MHz above or below the band edge shall not exceed an EIRP of
–17 dBm/MHz; for frequencies 10 MHz or greater above or below the band edge, emissions
shall not exceed an EIRP of –27 dBm/MHz.
(5) The emission measurements shall be performed using a minimum resolution bandwidth of 1
MHz. A lower resolution bandwidth may be employed near the band edge, when necessary,
provided the measured energy is integrated to show the total power over 1 MHz.

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(6) Unwanted emissions below 1 GHz must comply with the general field strength limits set
forth in §15.209. Further, any U-NII devices using an AC power line are required to comply also
with the conducted limits set forth in §15.207.
(7) The provisions of §15.205 apply to intentional radiators operating under this section.
(8) When measuring the emission limits, the nominal carrier frequency shall be adjusted as close
to the upper and lower frequency block edges as the design of the equipment permits.
(c) The device shall automatically discontinue transmission in case of either absence of
information to transmit or operational failure. These provisions are not intended to preclude the
transmission of control or signaling information or the use of repetitive codes used by certain
digital technologies to complete frame or burst intervals. Applicants shall include in their
application for equipment authorization a description of how this requirement is met.
(d) [Reserved]
(e) Within the 5.15–5.25 GHz band, U-NII devices will be restricted to indoor operations to
reduce any potential for harmful interference to co-channel MSS operations.
(f) U-NII devices are subject to the radio frequency radiation exposure requirements specified in
§1.1307(b), §2.1091 and §2.1093 of this chapter, as appropriate. All equipment shall be
considered to operate in a “general population/uncontrolled” environment. Applications for
equipment authorization of devices operating under this section must contain a statement
confirming compliance with these requirements for both fundamental emissions and unwanted
emissions. Technical information showing the basis for this statement must be submitted to the
Commission upon request.
(g) Manufacturers of U-NII devices are responsible for ensuring frequency stability such that an
emission is maintained within the band of operation under all conditions of normal operation as
specified in the users manual.
(h) Transmit Power Control (TPC) and Dynamic Frequency Selection (DFS).
(1) Transmit power control (TPC). U-NII devices operating in the 5.25–5.35 GHz band and the
5.47–5.725 GHz band shall employ a TPC mechanism. The U-NII device is required to have the
capability to operate at least 6 dB below the mean EIRP value of 30 dBm. A TPC mechanism is
not required for systems with an e.i.r.p. of less than 500 mW.
(2) Radar Detection Function of Dynamic Frequency Selection (DFS). U-NII devices operating
in the 5.25–5.35 GHz and 5.47–5.725 GHz bands shall employ a DFS radar detection mechanism
to detect the presence of radar systems and to avoid co-channel operation with radar systems.
The minimum DFS detection threshold for devices with a maximum e.i.r.p. of 200 mW to 1 W is
−64 dBm. For devices that operate with less than 200 mW e.i.r.p. the minimum detection
threshold is −62 dBm. The detection threshold is the received power averaged over 1
microsecond referenced to a 0 dBi antenna. The DFS process shall be required to provide a
uniform spreading of the loading over all the available channels.
(i) Operational Modes. The DFS requirement applies to the following operational modes:
(A) The requirement for channel availability check time applies in the master operational mode.
(B) The requirement for channel move time applies in both the master and slave operational
modes.

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(ii) Channel Availability Check Time. A U-NII device shall check if there is a radar system
already operating on the channel before it can initiate a transmission on a channel and when it
has to move to a new channel. The U-NII device may start using the channel if no radar signal
with a power level greater than the interference threshold values listed in paragraph (h)(2) of this
part, is detected within 60 seconds.
(iii) Channel Move Time. After a radar's presence is detected, all transmissions shall cease on the
operating channel within 10 seconds. Transmissions during this period shall consist of normal
traffic for a maximum of 200 ms after detection of the radar signal. In addition, intermittent
management and control signals can be sent during the remaining time to facilitate vacating the
operating channel.
(iv) Non-occupancy Period. A channel that has been flagged as containing a radar system, either
by a channel availability check or in-service monitoring, is subject to a non-occupancy period of
at least 30 minutes. The non-occupancy period starts at the time when the radar system is
detected.

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Appendix II Selected KDB Interpretations

KDB 178919 – Permissive Change Policies – 08/06/2009

Publication
Rule Parts: Publication Date: 08/06/2009
Number: 178919
Keyword: Section 2.1043, Permissive Changes
First Category: Administrative Requirements
Second Category: Permissive Changes Part 2.1043
Third Category:
Question:
What are the Federal Communications Commission (FCC) guidelines for permissive changes?

Answer:
The below attached document (178919 D01 Permissive Change Policy v04r04) provides
guidelines for permissive changes.

Attachment List:
178919 D01 Permissive Change Policy v04r04
Federal Communications Commission
Office of Engineering and Technology
Laboratory Division

Permissive Change Policies

The permissive change rules in Section 2.1043 90 describe the modifications that may be made to an
RF device without filing for a new equipment authorization; define the three different types of
permissive changes; and identify when a permissive change (PC) filing with the Commission is
required. Note that changes to the basic frequency determining and stabilizing circuitry (including
clock and data rates), frequency multiplication stages, basic modulator circuit or maximum power or
field strength ratings will always require a new FCC ID and a new equipment authorization
application to the FCC.

This document defines general permissive change policies - other more specific policies may be
described in other interpretation documents. Permissive changes and policies are addressed in this
document as they apply to the following categories:
• Antenna changes
• Printed Circuit Board (PCB) and Hardware changes

90
Referenced from Sections 2.932, 2.907, etc.

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• Enclosure changes
• Software changes
• Miscellaneous changes
Related Notes:

1. When a device is modified, all proposed changes must be considered to determine the
type of filing required. For example, a software change to add additional frequencies
may be authorized by a permissive change; however, if the power in the new frequency
band increases, then Section 2.1043 requires a new equipment authorization filing.
2. When a Class II permissive change is filed for either EMC or RF exposure (RFE)
purposes, an EMC test report or RFE evaluation is required, regardless of whether EMC
or the RFE levels have degraded 91 .
3. Guidance for permissive change policies for Hearing Aid Compatibility (HAC) is
contained in a separate publication: 285076 Equipment Authorization Guidance for
Hearing Aid Compatibility.

1) Antenna Changes:
a) Part 15 equivalent-type antennas
i) A Part 15 certification application includes an antenna list and photos. 92 Lists of all
antennas are needed in the filing. The antenna type(s), gain, model number and
manufacturer are usually listed.
ii) Additional equivalent antennas from other manufactures may be substituted, and then
marketed without a Class II permissive change, with the following exceptions:
1. Subpart D Unlicensed Personal Communications Service Devices - the lowest gain
antenna is needed for detecting lowest energy above the noise floor in addition to the
highest gain of each type. The addition of a lower gain antenna will require a Class II
permissive change.
2. UNII devices - the lowest gain antenna in addition to the highest gain of each type are
needed because the lowest gain results in worst case Radar reception. The addition of
a lower gain antenna will require a Class II permissive change.
3. For Ultra Wide Band (UWB) devices, all antennas affect emissions so all antennas
need to be tested. The addition of an antenna will require a Class II permissive
change.
4. Transmitters subject to radiated power density limits and operating at or near the
maximum power density level may need to reduce EIRP with lower gain antennas.
This is for conditions when the radiated power density (V/m^2) is higher for lower

91
Degradation for EMC parameters:

• Any increase in the fundamental emission for output power rated devices is considered degradation. Section 2.1043 does not
allow an increase in maximum output power rating without application for equipment authorization under a new FCC ID.
• Spurious emissions - an increase of up to 3 dB from the original authorization is allowed, if the emission level is compliant.
92
Sections 15.204(c) (3), 2.1033 (b) (4), 2.1033 (b) (7): recall also that per section 15.204 (b) all part 15 intentional
radiators must be marketed with at least one antenna, except in certain situations such as where a filling has justified
professional installation (15.203)

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gain antennas with less antenna surface area operating at the same EIRP levels
require an evaluation to determine if a Class I or II is applicable.
5. For antennas operating in portable exposure conditions, see 5 b) (iii) below..
iii) Equivalent antennas must be of the same type (e.g. yagi, dish, etc.) and must be of equal
or less gain than an antenna previously authorized under the same FCC ID, and must
have similar in band and out of band characteristics (consult specification sheet for cutoff
frequencies).
b) New antenna types
i) Any new antenna type, or higher gain antenna requires a Class II permissive change
ii) Compliance with section 15.203 must be met. 93
c) Antenna replacement for licensed service transmitters.
i) Antenna changes may be made without an authorization request, if adherence to the grant
conditions for RFE compliance and applicable maximum ERP/EIRP rules is observed.
Otherwise, an equipment authorization application is required.
ii) An integral antenna requirement (e.g. GMRS, FRS transmitters, etc.) means that the
antenna is not user replaceable, or is not removable.

2) Printed Circuit Board (PCB) or hardware changes:


a) Changes described in Section 2.1043(a) that result in a non-electrically equivalent device
require a new FCC ID.
b) Versions of a device with different internal active hardware components (e.g. amplifiers and
crystals) that result in different radio parameters (e.g. output power, frequency) require
authorization under a different FCC ID for each version, because the versions are NOT
considered electrically identical. 94 For example, versions of a device with different internal
filter designs that operate on different frequencies must be filed under different FCC IDs.
c) Part substitution - electrically identical parts may be substituted. An initial evaluation of test
results will determine if a Class I or Class II application is required. A chip replacement of a
portion of the transmitter that performs some sub-function such as an amplifier chip,
oscillator chip or frequency determining chip may be considered a Class II permissive change
under the following conditions; however, replacement of a chip that constitutes a complete
transmitter will require a new FCC ID.
i) The new chip component is pin for pin compatible.

93
An end-user/operator may substitute a standard connector for a unique connector, but may no longer market the
device.
94
Electrically identical device considerations:

• For Part 95 devices (i.e. 95C) the FCC does not allow device designs that permit end users to change plug-in crystals. When the
plug-in crystal is only changed by the Original Equipment Manufacturer (OEM), the grantee may receive authorization for
multiple crystals under one FCC ID. Historically, this has not been considered a design change for Part 95 devices, as the change
involves exchanging one crystal for another. A permissive change request for a new crystal(s) is acceptable if the new crystal
does not cause the frequency range to exceed that granted in the original authorization. A new FCC ID is required if the new
crystal causes the device to exceed the frequency range approved in the original authorization. (note 5 continued on next page)
• If the transmitter PCB board and enclosure remains the same, external or internal mechanical passive filters for a transmitter may
be approved under one FCC identifier and/or can be added with a Class II permissive change even if the mechanical passive
filters result in different frequency bands of operation. If the change in these filters result in reduced frequency band from the
original grant and all emissions have not been degraded, a Class 1 change is acceptable.
• Part 74 and Part 90 wireless microphones - Minor differences in passive components (resistor or capacitor) for internal circuitry
is allowed in an original application for authorization, but not in a permissive change application

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ii) The new chip has the same basic function as the old chip, from an external perspective
(Internal circuitry may differ.).
iii) No change in radio parameters has occurred.
iv) The same conditions apply when a small area (approximately the same as the chip) of the
PCB is replaced with an equivalent chip.
d) Adding or subtracting an on-board amplifier component requires a new FCC ID.
e) A transmitter with and without an external amplifier may be authorized under one FCC ID, if
approved in the original authorization. Adding an external amplifier is not allowed with a
permissive change. A new equipment authorization application with a new FCC ID is
required to add an external amplifier.
f) Transmitters may not be modified and approved with a permissive change, if an internal
amplifier is added or subtracted. Transmitters with and without an internal amplifier require
two equipment authorization applications, with two FCC IDs.
g) Depopulated versions of a transmitter require authorization under separate FCC IDs for each
version.
h) Minor circuitry for non transmitter portions (such as receiver, peripheral circuits, or some
other digital function) can be depopulated, and may be approved under one FCC ID. For
example, a base station cordless phone with or without a digital display (for answering
machine function) may be approved under the same FCC ID. Significant depopulation
usually requires a separate FCC ID because the devices are not electrically identical. See
2.908 and 2.933(b) of the Rules.

3) Enclosure changes: For non-modular approved devices, only minor changes to an enclosure are
allowed with a permissive change. If the basic functionality and intended usage are not the same,
a new FCC ID is required. For example, approval of a desktop and tower computer under the
same FCC ID, or a laptop and desktop under the same FCC ID, is not permissible.

4) Software changes: Class I and Class II software changes for non-SDR approved devices - the
following software only changes are allowed:
a) Additional frequencies may be added to an approved device under the following conditions;
however, a new test report must be submitted for the new frequencies:
i) Additional frequencies are allowed with a Class II permissive change if:
1. No hardware changes have been made.
2. There is no increase in output power rating on new frequencies.
3. The Equipment Class remains the same. Changes that require a new Equipment Class
code require a new FCC ID, except for SDR approvals.
4. RF exposure changes must be addressed.
5. Only the Original Equipment Manufacturer may implement the new frequencies.
6. There are no other changes to the device that indicate a need for a new FCC ID.
ii) End user software implementation for new frequencies is not allowed unless the device
was approved as a software-defined radio. (Class III permissive change rules for software
defined radios are in Section 2.1043(b)(3)).
b) Adding new line items on the Form 731 is allowed under a Class II permissive change.
Additional data rates (both higher and lower rates) under existing modulations that are
consistent with a Form 731 line item/emission designator may be either a Class I or Class II,
depending on emissions. A Class II permissive change is required if degradation occurs; if no
degradation occurs a Class I permissive change is acceptable.
c) A Class II permissive change for a device with a decrease in output power, or with a different
field strength, is allowed under the following conditions:

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i) The maximum output power rating of the original authorization does not change.
ii) There is no design change that increases or decreases the output power. A decrease in the
power setting configuration is acceptable.
iii) In no case, may a power limit be exceeded.

5) Permissive changes and RF exposure considerations:


a) Class II permissive change filings should include RF exposure evaluation results for at least
the device and evaluation configurations corresponding to the highest RF exposure condition
reported in previous authorizations under the FCC ID.
b) For portable devices, RF exposure evaluation requirements for Class II permissive change
requests are based on the following:
i) Comparison of the highest measured SAR among all the configurations tested for each
operating condition (i.e. next to the ear and worn on the body) obtained for the original
authorization, to the highest SAR tested for the modified device under similar test
configurations.
ii) For each frequency band, if the highest measured SAR of the modified device for a
certain configuration (i.e. the head or body) is larger than the highest measured SAR for
the original device, under similar test configurations; then in the Class II permissive
change request SAR shall be addressed for the applicable operating configurations in
each frequency band.
iii) Changes in antenna, and/or key radiating or metallic structures for portable devices
require SAR evaluation to determine if a Class I or Class II permissive change is
required.
1. SAR is primarily dependent upon the near fields and RF current distributions on a
device; therefore, minor and simple metallic changes may cause relatively large
changes in SAR.
2. Antenna gain is normally considered a far field parameter (e.g. Sections 15.31(f) and
2.1053(a), OET Bulletin 65, Section 2.1); however, SAR is primarily dependent on
the near fields. SAR compliance considerations are separate from the Section 15.204
antenna gain provisions.
3. When adding an equivalent antenna for a part 15 device, i.e., identical antenna type
with the same or lower gain, with no other change to the transmitter and host device
configurations and the highest SAR measured for that antenna type in previous
certification(s) is less than 0.8 W/kg, SAR evaluation is not required to add an
equivalent antenna. Otherwise, SAR should be evaluated for the additional equivalent
antenna(s) according to the procedures required for the transmitter, antenna and host
device configurations.
c) Permissive change applications that include a change in exposure limits, or in device use
configurations, must abide by the following guidelines:
i) Class II permissive change applications may not be used to resolve unaddressed or
misrepresented exposure issues for device configurations in the original authorization.
For example, original cell phone handset applications usually include SAR compliance
information. A permissive change may not be used to amend an application if SAR was
inappropriately not included, or if the device was represented as being for only mobile,
not portable use.
ii) Examples of allowed permissive changes for devices having mobile and portable use
configurations (different exposure limits, i.e. MPE and SAR) include:

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1. Requesting authorization to add a mobile passive vehicle mount antenna to a portable


held-to-head, body-worn and hand-held device (Equipment Classes TNE, PCE, PCT,
TNT). The following application requirements apply:
a) Include a new grant line entry and radiated power, if applicable.
b) Include an MPE evaluation, if applicable.
c) Provide specific and separate grant remarks for mobile and portable usage
conditions.
2. Requesting authorization to add specific hosts or antennas for Limited Modular
Approval (LMA) devices (and include SAR evaluation, if applicable).

6) Miscellaneous changes:
a) A change to an unlicensed transmitter from non-modular to modular (single or limited single)
or the reverse, is permissible if the changes meet all the requirements permitted for a
permissive change (Section 2.1043), for a modular transmitter (Section 15.212) and all other
applicable rules.
b) A change to an unlicensed transmitter from single (non-limited) to a limited (single) module
or the reverse is permissible if the changes meet all the requirements permitted for a
permissive change (Section 2.1043), for a modular transmitter (Section 15.212) and all other
applicable rules.
c) Changes to licensed device are permitted under the conditions similar to (a) and (b) above as
long as the devices generally use general engineering practices and guidelines similar to
those for unlicensed transmitters to demonstrate compliance.
d) A change for a licensed or unlicensed transmitter from non-modular to split modular (split or
limited split) or the reverse, or modular (single or limited) to split modular (split or limited
split) or the reverse, requires a new FCCID.
e) A change from software defined radio (SDR) to a non-SDR or vice versa requires a new FCC
ID. A new modulation (e.g. EDGE) added by the grantee via software, that is not added to
units in the field, requires a Class II permissive change.
f) Disabling modulation (e.g. removing GSM): If a device has components on it that are
disabled by software or keyboard function, the change to the device may be approved under
the same FCC ID as the original. However, if the modulation function of a device is disabled
by having the parts removed, approval under a new FCC ID is required.
g) Change in FCC ID filings (Section 2.933) in conjunction with a permissive change filing
(Section 2.1043): Where both a permissive change and a change in FCC ID are required by
the grantee, the Section 2.933 change in FCC ID application (or applications in the case of
composite Equipment Class FCC IDs) must be processed first, followed by the Section
2.1043 permissive change filing(s).KDB 443999 – Interim Plans to Approve UNII Devices –
10/05/2009

Publication Number: 443999 Rule Parts: 15E Publication Date: 10/05/2009


Keyword: 15E, Dynamic Frequency Selection, DFS, DFS Approval
First Category: Radio Service Rules

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Second Category: Part 15 Intentional Radiators

Third Category: Unlicensed National Information Infrastructure (UNII) devices - 15.401


Question: What are the Commission's interim plans to approve UNII devices operating in the
5470 - 5725 MHz band with radar detection and DFS capabilities?

Answer:
The Commission is working to resolve interference to Terminal Doppler Weather Radar
(TDWR) systems used at airports that has occurred from some outdoor wireless systems
operating in the 5.4 GHz (5470 MHz - 5725 MHz) band. These wireless devices are required to
implement radar detection and DFS functions when operating as a master device and are subject
to Section 15.407 of our rules. We are working with the FAA and NTIA to develop long term
equipment authorization test procedures that will ensure that the devices comply with our rules
and also protect the TDWR operations. In the interim, the Commission will allow certification of
wireless master devices with radar detection function and with DFS capability, if they meet the
following conditions:
- devices are intended for indoor operations only;
- devices will not permit operations on channels which overlap the 5600 - 5650 MHz band;
- devices meet all the other requirements specified in Section 15.407 and no configuration
controls are provided to change the frequency of operations outside the grant of certification for
US operation.
All the devices operating in the 5.4 GHz band and subject to the DFS requirements must be
submitted to the Commission's Laboratory Division for pre-grant testing and equipment
authorization. The grantee must ensure that the applications subject to this interim procedure
must include appropriate attestations that the device is intended for indoor use (through a clear
indication in a manual or labels with the device) and must demonstrate through test reports that
the transmission is disabled in the 5600 - 5650 MHz band.
We are continuing to evaluate what additional measures may need to be taken to further ensure
against interference from 5 GHz outdoor wireless systems located near airports. While
manufacturers have an obligation to ensure that their equipment complies with FCC rules and
must take steps to ensure their devices do not cause harmful interference, Section 15.5 of the
Commission's rules also places an obligation on users of devices that operate under Part 15 to
avoid causing interference and correct any interference that may occur. It is incumbent on users
to cooperate with manufacturers to implement any changes necessary to facilitate compliance.
KDB 905462 – UNII Test Procedures - 04/17/2007

Publication Number: 905462 Rule Parts: Publication Date: 04/17/2007

Keyword: Section 15.401 UNII / DFS Test Procedures

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First Category: Radio Service Rules

Second Category: Part 15 Intentional Radiators

Third Category: Unlicensed National Information Infrastructure (UNII) devices - 15.401

Question: What is the test procedure for a UNII device with DFS capabilities?

Answer: The following link contains the test procedures for both Client / Master devices.
Client devices must be tested with an approved Master device.

Attachment List:

https://fjallfoss.fcc.gov/kdb/GetAttachment.html?id=21260

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Appendix III Compliance Reports

Under the terms of the Consent Decree that Motorola entered into with the FCC on April 14,
2010, compliance reports are due to be filed on the following dates:

• First Compliance Report Due Date Tuesday, July 13, 2010 [90 days
after the Effective Date]

• Second Compliance Report Due Date Thursday, April 14, 2011

• Final Compliance Report Due Date Monday, April 16, 2012 [April 14,
2012, is a Saturday]

The reports are to be sent by email to Chief, Spectrum Enforcement Division, Enforcement
Bureau, Federal Communications Commission, 445 12th Street, S.W. Washington, D.C. 20554,
with a copy submitted electronically to Linda Nagel at Linda.Nagel@fcc.gov and to Kathryn
Berthot at Kathy.Berthot@fcc.gov . The reports should be styled as a letter and must “include a
compliance certificate from the Compliance Officer stating that the Compliance Officer has
personal knowledge that Motorola has established operating procedures intended to ensure
compliance with this Consent Decree, together with an accompanying statement explaining the
basis for the Compliance Officer’s compliance certification.

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