FCC新规新流程2017：SDOC and certification

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Approval GuideOverview

Radio Frequency (RF) devices are required to be properly authorized under 47 CFR part 2 prior to being marketed or imported into the United States.  The Office of Engineering and Technology (OET) administers the equipment authorization program under the authority delegated to it by the Commission.  This program is one of the principal ways the Commission ensures that RF devices used in the United States operate effectively without causing harmful interference and otherwise comply with the Commission’s rules.  All RF devices subject to equipment authorization must comply with the Commission’s technical requirements prior to importation or marketing.

Equipment that contains an RF device must be authorized in accordance with the appropriate procedures specified in 47 CFR part 2, subpart J as summarized below (with certain limited exceptions).  These requirements not only minimize the potential for harmful interference, but also ensure that the equipment complies with the rules that address other policy objectives – such as human RF exposure limits and hearing aid compatibility (HAC) with wireless handsets.

The Commission has two different approval procedures for equipment authorization – Certification and Supplier’s Declaration of Conformity (SDoC). The required procedure depends on the type of equipment being authorized as specified in the applicable rule part. In some instances, a device may have different functions resulting in the device being subject to more than one type of approval procedure.

Steps to Obtain an Equipment Authorization

The following steps summarize the process to obtain the required equipment authorization for your product (device):

Determine FCC rules that apply to your product.

Determine which Equipment Authorization Procedure(s) is
required for your product.

Perform compliance testing at an authorized testing laboratory.

Obtain the required approval.

Label product with the required information and
include compliance information in the user manual.
Maintain compliance information and records.

Ready to manufacture, import and market your product.

Modifications to approved products.

• Step 1 – Determine FCC Rules that Apply
  
  • Determine if device is a Radio Frequency (RF) device subject to the FCC rules.
  • Determine all applicable technical and administrative rules that apply to the device requiring an equipment authorization.
  • The technical requirements are generally specified in the applicable FCC rule parts and the administrative rules are specified in 47 CFR part 2, subpart J.
    
• Step 2 – Equipment Authorization Procedures
  [size=1em]If a device is subject to FCC rules, determine the specific type of equipment authorization that applies to the device.  Become familiar with all the basic marketing, equipment authorization, and importation rules. In some instances, a device may have different functions resulting in the device being subject to more than one type of approval procedure.
  
  
  • Determine the applicable equipment authorization procedure for your device.
    
    • Supplier’s Declaration of Conformity (SDoC)
    • Certification
      
• Step 3 – Compliance Testing
  [size=1em]Perform the required tests to ensure the device complies with the applicable technical requirements (as determined in step 1).
  [size=1em]The qualifications of the testing laboratory used to demonstrate compliance is based on the approval procedure you are required to use (as determined in step 2):
• Supplier’s Declaration of Conformity (SDoC)
  Equipment approved using SDoC is required to be tested, however, it is not necessary to use an FCC-recognized accredited testing laboratory. However, as minimum the testing laboratory used is required to maintain a record of the measurement facilities as specified in Section 2.948 and a record of the measurements made as specified in Section 2.938.
• Certification
  Equipment approved under the Certification procedure is required to be tested by an FCC-recognized accredited testing laboratory. [For a list of currently FCC-recognized accredited testing laboratory see https://apps.fcc.gov/oetcf/eas/reports/TestFirmSearch.cfm]
• Step 4 – Approval
  [size=1em]After the testing is complete and your device is found to be in compliance, finalize the approval process based on the applicable approval procedure:
  [size=1em]Supplier’s Declaration of Conformity (SDoC)
  
  
  • The responsible party, as specified in the rules, warrants that each unit of equipment complies with the applicable FCC rules.
  • The responsible party maintains all of the required documentation demonstrating compliance with the applicable FCC rules.
  • The responsible party prepares a compliance information statement to be supplied with the product at the time of marketing.
    
• [size=1em]Certification
  
  
  • The responsible party, typically the manufacturer, obtains an FCC Registration Number (FRN) for a device requiring Certification. The FRN is a 10-digit number used to identify the individual or organization doing business with the FCC. The same FRN will be used for future approvals.
  • After obtaining an FRN, the responsible party obtains a Grantee Code from the Commission by applying at the Grantee Registration website.  A grantee code is required the first time a party applies for certification, and can be used for all future approvals.
  • The responsible party files with a Telecommunication Certification Body (TCB) an application for a grant of certification.  An application for equipment authorization requires submission of information about the product, as listed in Section 2.1033. The applicant must submit the required information to a TCB for review as part of the certification process. [For a list of FCC recognized TCBs see https://apps.fcc.gov/oetcf/tcb/reports/TCBSearch.cfm]
  • The TCB reviews all of the supporting information and the evaluation results to determine if the product complies with the FCC requirements.
  • Once the TCB makes a decision to certify the product the supporting information is uploaded to the FCC Equipment Authorization Electronic System (EAS) – Database.
  • A grant of certification is issued by the TCB on the FCC Equipment Authorization Electronic System (EAS) – Database.
    
• Step 5 – Label/Manual/Record Retention
  

• 
  
  • Label the product and provide the required customer information.
  • For more information see Labeling Guidelines – KDB Publication 784748.
    
  • Maintain all documentation as part of the responsibility for the retention of records and ensure that the manufactured products are in compliance.
  • Section 2.938 – Requirements for the retention of records of equipment subject to FCC approval.
    
  Step 6 – Manufacture/Import/Market
  • When importing products into the United States, follow the FCC importation requirements.
  • Importation – Frequently Asked Questions.
  • Marketing of radio frequency devices prior to equipment authorization.
    
• [size=1em]NOTE – Determining all applicable technical and administrative rules requires a technical understanding of the electrical functions of the device and an understanding of the FCC rules.  For assistance, we recommend that you work with one of the FCC recognized accredited testing laboratories or TCBs.  Questions can also be submitted through the Knowledge Database (KDB).
  Step 7 - Modifications to approved products
  [size=1em]Changes to your product design may require an additional approval.  KDB Publication 178919 gives general guidance when making changes to a previously approved product. See the permissive change rules in Section 2.1043 for:
  
  
  • Modifications that may be made to an RF device without filing for a new equipment authorization;
  • Three different types of permissive changes; and
  • Identifies when a permissive change filing with the Commission is required.
    

Supporting Information

• FCC Rules
• Knowledge Database (KDB)
• Grantee Code Information – KDB Publication 204515
• Guidelines for labeling and User Information for RF devices – KDB Publication 784748
• FCC Registration Number (FRN) – CORES Home Page
• Directions to FCC Laboratory in Columbia, Maryland – KDB Publication 522082
  

Testing Laboratories

• Search for FCC recognized accredited testing laboratories
• Search for accreditation bodies
• Accredited Laboratory Roles and Responsibilities – KDB Publication 974614
• Accredited Testing Laboratory Technical Assessment Checklist – KDB Publication 853844
  

Telecommunications Certification Bodies (TCB)

• Search for Telecommunication Certification Bodies
• Telecommunication Certification Body Page
• Telecommunication Certification Body–Roles and Responsibilities – KDB Publication 641163
• TCB Technical Assessment Checklist – KDB Publication 668797
• TCB Designated to Approve Telephone Terminal Equipment (TTE - Part 68) - Scope C – KDB Publication 784838
  

Equipment Authorization Databases

• Certified equipment – Search database with the FCC ID Search tool
• Equipment Authorization Knowledge Database (KDB)
  

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SDOC certification说明

CERTIFICATION (47 CFR Section 2.907)

Certification is the most rigorous approval process for RF Devices with the greatest potential to cause harmful interference to radio services. It is an equipment authorization issued by an FCC-recognized Telecommunication Certification Body (TCB) based on an evaluation of the supporting documentation and test data submitted by the responsible party (e.g., the manufacturer or importer) to the TCB. Testing is performed by an FCC-recognized accredited testing laboratory. Information including the technical parameters and descriptive information for all certified equipment is posted on a Commission-maintained public database. In addition, equipment subject to approval using the Supplier’s Declaration of Conformity (SDoC) procedure can optionally use the Certification procedure.

SUPPLIER’S DECLARATION OF CONFORMITY (47 CFR Section 2.906)

Supplier’s Declaration of Conformity (DoC) is a procedure that requires the party responsible for compliance ensure that the equipment complies with the appropriate technical standards. The responsible party, who must be located in the United States, is not required to file an equipment authorization application with the Commission or a TCB. Equipment authorized under the SDoC procedure is not listed in a Commission database. However, the responsible party or any other party marketing the equipment must provide a test report and other information demonstrating compliance with the rules upon request by the Commission. The responsible party has the option to use the certification procedure in place of the SDoC procedure.

ONE OR BOTH PROCEDURES

The procedure that is applicable for equipment authorization, depends on the applicable FCC rule part(s) that apply to the radio frequency functions. Except when otherwise stated in a rule, an intentional radiator (transmitter) is required to be approved using the certification procedure. Unintentional radiators (digital circuitry) are approved using the SDoC procedure. Today for example, devices such as mobile phones; wireless local area networking equipment, notebook computers, and tablet computers are a combination of radio transmitters requiring approval using the certification procedure and unintentional digital circuity requiring use of the SDoC procedure.

Equipment that consists of only a radio transmitter (not a transceiver) – such as remote control transmitters; land mobile radio transmitters and wireless medical telemetry transmitters – are required to be approved using the certification procedure.

Equipment that only contains digital circuitry (does not contain a radio transmitter) – such as computer peripherals, microwave ovens consumer ISM equipment, switching power supplies, LED light bulbs, radio receivers and TV interface devices – are subject to approval using the SDoC procedure or may optionally use the certification procedure.

TRANSITION PERIOD

Radio frequency devices that would have been considered eligible for authorization under either the verification or Declaration of Conformity procedures that were in effect prior to November 2, 2017 may continue to be authorized until November 2, 2018 under the appropriate procedure in accordance with the requirements that were in effect immediately prior to November 2, 2017. For a copy of the 2016 rules that specified the verification and Declaration of Conformity procedures see: https://www.govinfo.gov/app/collection/cfr/2016/title47/chapterI

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§2.1074   Identification.

(a) Devices subject only to Supplier's Declaration of Conformity shall be uniquely identified by the party responsible for marketing or importing the equipment within the United States. However, the identification shall not be of a format which could be confused with the FCC Identifier required on certified equipment. The responsible party shall maintain adequate identification records to facilitate positive identification for each device.

(b) Devices subject to authorization under Supplier's Declaration of Conformity may be labeled with the following logo on a voluntary basis as a visual indication that the product complies with the applicable FCC requirements. The use of the logo on the device does not alleviate the requirement to provide the compliance information required by §2.1077.

                               
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[82 FR 50829, Nov. 2, 2017]

                               
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§2.1077   Compliance information.

(a) If a product must be tested and authorized under Supplier's Declaration of Conformity, a compliance information statement shall be supplied with the product at the time of marketing or importation, containing the following information:

(1) Identification of the product, e.g., name and model number;

(2) A compliance statement as applicable, e.g., for devices subject to part 15 of this chapter as specified in §15.19(a)(3) of this chapter, that the product complies with the rules; and

(3) The identification, by name, address and telephone number or Internet contact information, of the responsible party, as defined in §2.909. The responsible party for Supplier's Declaration of Conformity must be located within the United States.

(b) If a product is assembled from modular components (e.g., enclosures, power supplies and CPU boards) that, by themselves, are authorized under a Supplier's Declaration of Conformity and/or a grant of certification, and the assembled product is also subject to authorization under Supplier's Declaration of Conformity but, in accordance with the applicable regulations, does not require additional testing, the product shall be supplied, at the time of marketing or importation, with a compliance information statement containing the following information:

(1) Identification of the assembled product, e.g., name and model number.

(2) Identification of the modular components used in the assembly. A modular component authorized under Supplier's Declaration of Conformity shall be identified as specified in paragraph (a)(1) of this section. A modular component authorized under a grant of certification shall be identified by name and model number (if applicable) along with the FCC Identifier number.

(3) A statement that the product complies with part 15 of this chapter.

(4) The identification, by name, address and telephone number or Internet contact information, of the responsible party who assembled the product from modular components, as defined in §2.909. The responsible party for Supplier's Declaration of Conformity must be located within the United States.

(5) Copies of the compliance information statements for each modular component used in the system that is authorized under Supplier's Declaration of Conformity.

(c) The compliance information statement shall be included in the user's manual or as a separate sheet. In cases where the manual is provided only in a form other than paper, such as on a computer disk or over the Internet, the information required by this section may be included in the manual in that alternative form, provided the user can reasonably be expected to have the capability to access information in that form. The information may be provided electronically as permitted in §2.935.

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§2.906   Supplier's Declaration of Conformity.
(a) Supplier's Declaration of Conformity (SDoC) is a procedure where the responsible party, as defined in §2.909, makes measurements or completes other procedures found acceptable to the Commission to ensure that the equipment complies with the appropriate technical standards. Submittal to the Commission of a sample unit or representative data demonstrating compliance is not required unless specifically requested pursuant to §2.945.

(b) Supplier's Declaration of Conformity is applicable to all items subsequently marketed by the manufacturer, importer, or the responsible party that are identical, as defined in §2.908, to the sample tested and found acceptable by the manufacturer.

(c) The responsible party may, if it desires, apply for Certification of a device subject to the Supplier's Declaration of Conformity. In such cases, all rules governing certification will apply to that device.

[82 FR 50825, Nov. 2, 2017]

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§2.907   Certification.
(a) Certification is an equipment authorization approved by the Commission or issued by a Telecommunication Certification Body (TCB) and authorized under the authority of 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.

[39 FR 5919, Feb. 15, 1974, as amended at 39 FR 27802, Aug. 1, 1974; 63 FR 36597, July 7, 1998; 80 FR 33439, June 12, 2015]