1. US Regulatory Process FCC Equipment Authorization Program
Karen Rackley
Chief, Technical Rules Branch
Federal Communications Commission
Office of Engineering and Technology
Policy and Rules Division

2. About the FCC
The Federal Communications Commission (FCC) is an independent United States government agency, directly responsible to Congress.
The FCC was established by the Communications Act of 1934 and is charged with regulating interstate and international communications by radio, television, wire, satellite and cable.
The FCC's jurisdiction covers the 50 states, the District of Columbia, and U.S. possessions.
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US Regulatory Process

3. Organization
The FCC is directed by five Commissioners appointed by the President and confirmed by the Senate for 5-year terms, except when filling an unexpired term.
The President designates one of the Commissioners to serve as Chairperson.
None of the Commissioners can have a financial interest in any Commission-related business.
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US Regulatory Process

4. Office of Engineering and Technology
OET’s Mission
Manage the spectrum and provide technical leadership to create new opportunities for innovative, competitive technologies and services for the American public
FCC Laboratory
Columbia, MD
(40 km NE of DC)
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5. OET’s Principal Functions
Spectrum Management
Technical Research and Analysis
Network Reliability and Technology
Authorization of Service
Equipment Authorization
Experimental Licensing
Technical Education
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6. Federal Communications Commission
Federal Communications Commission (FCC) regulates the private sector telecommunications industry, in the public interest
Establishes technical regulations for transmitters and other equipment to minimize their potential for causing interference to radio services.
Administers an authorization program to ensure that equipment reaching the market complies with the technical requirements.
Section 302 of the Communications Act of 1934, as amended, authorizes the
Commission to make reasonable regulations, consistent with the public
interest, governing the interference potential of equipment that emits radio
frequency energy.
The purpose of this provision is to ensure that radio transmitters and other
electronic devices meet certain standards before they reach the market to control
interference to radio services.
The Commission carries out its responsibilities under Section 302 in two ways.
First, the Commission establishes technical regulations for transmitters and
other equipment to minimize their potential for causing interference to radio
services.
Second, the Commission administers and authorization program to ensure that
equipment reaching the market complies with the technical requirements.
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US Regulatory Process

7. FCC Regulations Title 47 of the Code of Federal Regulations
Transmitter specifications
Radio Services
EMC specifications
Telephone Terminal Equipment
Test Methods
Equipment Authorization Requirement
Marketing and Importation Rules
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US Regulatory Process

8. How are regulations made?
Administrative Procedures Act (APA- 5 USC 553)
Requires all US government agencies to give the public the opportunity to comment on any regulations that will affect them.
FCC Rule Making Process
Proposal
Comments
and Reply
Final Rule
(Report & Order)
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9. Standards for RF Equipment
Incidental Radiator
Unintentional Radiator
Intentional Radiator
Licensed Transmitters
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10. Incidental Radiators
Generate radio frequency energy during the course of its operation although the device is not intentionally designed to generate or emit radio frequency energy. (§15.13)
Manufacturers of these devices must employ good engineering practices to minimize the risk of harmful interference.
Examples:
DC motors
mechanical light switches
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US Regulatory Process

11. Unintentional Radiators
Part 15, Subpart B – Any device that intentionally generates RF energy, but does not intentionally radiate that energy
Examples:
Digital devices (computers, data processing equipment, etc.),
Radio receivers that tune between MHz,
TV interface devices (VCRs, cable terminal devices, etc.)
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12. Intentional Radiators
Part 15, Subpart C – Lists frequency bands and types of operation permitted.
Examples:
Cordless Telephones
Remote Switches, door controls, alarms
Wireless Local Area Network (WLAN)
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13. Licensed Radio Services
Transmitters that require either an individual license or a blanket authorization are subject to requirements of a specific radio service.
General Mobile Radio Services (non-cellular)
Personal Mobile Services
Broadcast Radio Services
Microwave Radio Services
Maritime and Aviation Radio Services
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US Regulatory Process

14. Telephone Terminal Regulations
47 CFR Part 68 – Telephone Terminal Equipment (TTE)
Public Switched Telephone Network (PSTN)
Private Line Interfaces
Analog Interfaces
Digital Interfaces
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15. Example – Spread Spectrum
A number of telecom products, such as cordless telephones, have taken advantage of Spread Spectrum
Spread spectrum technology was originally developed for military applications
FCC first established provisions for Part 15 unlicensed spread spectrum devices in 1985
Little activity in first few years
Then it started to grow!
Spread spectrum technology was originally developed for military applications because it resists jamming and is difficult to detect. We first established provisions for unlicensed spread spectrum devices in There was little activity for the first few years, but then it started to grow!
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US Regulatory Process

16. Equipment Authorization Program
The FCC currently has four equipment approval programs
Verification
Supplier Declaration of Conformity (SDoC) (Part 68)
Declaration of Conformity (DoC)
Certification
The product approval requirement is specified in the rule part under which equipment operates
All four programs involve the use of the private sector to varying degrees
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17. Equipment Authorization Program
Maximum
Certification
(Approved by FCC
or TCB)
The type of approval
is specified in the rules
for the particular
type of device
DoC
(Self-approval using
an accredited lab)
SDoC (Part 68)
(Self-approval
Database by ACTA)
Verification
(Self-approval)
Minimum
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18. Why Use the Private Sector?
Speed at which technology is changing and shorter product life cycles require faster product approvals
The private sector has the technical expertise and ability to certify equipment.
Increase the resources performing conformity assessment
Efficiencies in designing and approving product in the same geographic location
Reduce uncertainty and delay in obtaining certification
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US Regulatory Process

19. What is a TCB?
A Telecommunication Certification Body is a Certification Body that has been accredited to ISO/IEC Guide 65 by a recognized Accrediting Organization and designated by the FCC to approve equipment subject to certification.
A TCB has certain rights and responsibilities (equitable treatment of applicants, audit through sampling of equipment on market)
Foreign entities may become a TCB in accordance with the terms of a government-to-government Mutual Recognition Agreement/Arrangement.
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20. Certification Options
Test and Evaluate Product to Determine Compliance F C G R A N T
Submit Application to TCB
Label Product and Instructions in User Manual
Prepare Test Report and Application
Submit Application to FCC
Market Product
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21. Equipment Authorization Application Trend
Private Certification Bodies
FCC
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22. What is an MRA? Mutual Recognition Agreement/Arrangement (MRA)
Mutually agree to accept
test results and
product approvals
Use of harmonized technical standards is not part of an MRA
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23. United States and MRAs
The US Government has agreed to participate in three separate MRAs:
European Union MRA
Asian Pacific Economic Co-operation Tel MRA (APEC)
Inter-American Commission for Telecommunications (CITEL MRA)
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24. Identification of Players
Regulatory Authority (RA)
Federal Communications Commission (FCC)
Designating Authority (DA)
National Institute of Standards and Technology (NIST)
Accreditation Body (Phase 1)
National Voluntary Lab Accreditation Program (NVLAP) & American Association of Lab Accreditation (A2LA)
AB (Phase 2)
American National Standards Institute (ANSI)
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25. Summary Rulemaking process is open to all interested parties
Opportunity to appeal decisions made by the regulatory authority
Decisions are made by a five member independent Commission
Rules provide for flexibility and innovation
Use of the private sector:
Development of technical standards
Development of measurement procedures
Conformity Assessment
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26. Information On Line OET Info on line (Orders, Public Notices, etc.)
FCC Rules and Regulations
General FCC Information
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27. Questions and Answers
Thanks!
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US Regulatory Process