97-5349. Marketing and Equipment Authorizations  

  • [Federal Register Volume 62, Number 45 (Friday, March 7, 1997)]
    [Rules and Regulations]
    [Pages 10466-10473]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 97-5349]
    
    
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    FEDERAL COMMUNICATIONS COMMISSION
    
    47 CFR Part 2
    
    [ET Docket No. 94-45; FCC 97-31]
    
    
    Marketing and Equipment Authorizations
    
    AGENCY: Federal Communications Commission
    
    ACTION: Final rule
    
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    SUMMARY: By this Report and Order, the Commission amends its 
    regulations to consolidate and harmonize the marketing rules, as 
    proposed in the Notice of Proposed Rule Making in this proceeding. This 
    amendment permits radio frequency devices, prior to authorization or a 
    determination of compliance with the technical standards, to be 
    announced, advertised, displayed, and operated for compliance testing, 
    demonstrated at trade shows, or evaluated at the manufacturer's 
    facilities. In addition, non-consumer devices that have not been tested 
    or authorized can be offered for conditional sale or supplied to the 
    user for evaluation or compliance testing. The equipment authorizations 
    regulations are also amended to provide clarification, to resolve 
    inconsistencies, to remove unnecessary restrictions and obsolete 
    regulations, and to incorporate several interpretations. These 
    amendments will stimulate economic growth by permitting products to be 
    developed on a cooperative basis by manufacturers and retailers, and by 
    potentially decreasing the time for a product to reach the marketplace.
    
    EFFECTIVE DATE: April 7, 1997.
    
    FOR FURTHER INFORMATION CONTACT: John A. Reed, Office of Engineering 
    and Technology, (202) 418-2455.
    
    SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report 
    and Order in ET Docket No. 94-45, adopted February 3, 1997, and 
    released February 12, 1997.
        The complete text of this Report and Order is available for 
    inspection and copying during normal business hours in the FCC 
    Reference Center (Room 239), 1919 M Street, N.W., Washington, D.C., and 
    also may be purchased from the Commission's copy contractor, 
    International Transcription Services, Inc., (202) 857-3800, 2100 M 
    Street, NW, Suite 140, Washington, D.C. 20037.
    
    Summary of the Report and Order
    
        1. In the Report and Order, the Commission amended Part 2 of its 
    rules regarding the marketing and operation of radio frequency (RF) 
    devices.
    
    [[Page 10467]]
    
    Marketing includes the sale or lease, offer for sale or lease, 
    including advertising for sale or lease, and importation, shipment or 
    distribution for the purpose of sale or lease or offering for sale or 
    lease. Previously, the rules prohibited the marketing and operation of 
    an RF device unless it complies with all of the standards and the 
    equipment authorization procedures. Certain exceptions to these rules 
    were provided for verified digital devices and non-consumer ISM 
    products operated under Part 18 of the rules.
        2. The order harmonizes the marketing rules by permitting RF 
    devices, prior to authorization or a determination of compliance with 
    the technical standards, to be announced, advertised, displayed, and, 
    if compliant with any Commission license requirements, operated for 
    compliance testing, demonstrated at trade shows, or evaluated at the 
    manufacturer's facilities. In addition, non-consumer RF devices, i.e., 
    products employed at business, commercial, industrial, scientific or 
    medical sites, prior to testing or authorization, may be offered for 
    conditional sale or supplied to the user for evaluation or compliance 
    testing. As under the previous rules, no products may be marketed or 
    supplied to the general public prior to testing or authorization. 
    Further, these products must be designed with the intent of complying 
    with all applicable regulations.
        3. On its own motion, the Commission also adopted several 
    additional changes to the equipment authorization rules to resolve 
    inconsistencies, to provide clarification, to remove unnecessary 
    restrictions and obsolete regulations, and to incorporate several 
    interpretations. Specifically, the Commission amended the rules to 
    indicate, explicitly, that, as with any request for authorization, an 
    anti-drug abuse statement is required with requests for permissive 
    changes. In addition, the rules now state that proper labelling of a 
    product is a condition of the grant of equipment authorization and is 
    required prior to marketing. The Commission also clarified that a 
    product is considered to be ``electrically identical'' if no changes 
    are made to the product or if any changes to the product could be 
    treated as Class I permissive changes. Further, duplicative or outdated 
    regulations, e.g., references to type approval which is no longer 
    employed, were removed, and erroneous rule citations were corrected.
        4. The Commission amended its rules to state that any party that 
    modifies an authorized RF device becomes responsible for ensuring that 
    the modified product continues to comply with the appropriate standards 
    and must maintain whatever records are required to demonstrate such 
    compliance. In order to facilitate identification, the Commission also 
    stated that a product modified by someone other than the original 
    responsible party be labelled with the name, address and telephone 
    number of the new responsible party along with a statement that the 
    product has been modified. Alternatively, the party modifying the 
    equipment could obtain a new equipment authorization.
        5. Finally, the Commission amended the regulations regarding 
    authorization under the verification procedure to clarify what 
    information needs to be retained by the responsible party, to indicate 
    the time period within which requests by the Commission for product 
    samples must be submitted, and to identify the party that is 
    responsible for submitting those samples.
    
    Final Regulatory Flexibility Analysis
    
        6. As required by Section 603 of the Regulatory Flexibility Act, 5 
    U.S.C. 603 (``RFA''), an Initial Regulatory Flexibility Analysis 
    (``IRFA'') was incorporated into the Notice of Proposed Rule Making 
    (``NPRM''), in ET Docket No. 94-45.1 The Commission sought written 
    public comments on the proposals in the Notice, including the IRFA. The 
    Commission's Final Regulatory Flexibility Analysis (``FRFA'') in this 
    Report and Order conforms to the RFA, as amended by the Contract With 
    America Advancement Act of 1996 (CWAAA), Public Law 104-121, 110 Stat. 
    847 (1996).2
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        \1\ See 9 FCC Rcd 2702 (1994), 59 FR 31966, June 21, 1994.
        \2\ Subtitle II of the CWAAA is ``The Small Business Regulatory 
    Enforcement Fairness Act of 1996'' (SBREFA), codified at 5 U.S.C. 
    601 et seq.
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    7. Need For and Objective of the Rules
    
        Our objectives are to facilitate the marketing and early use of 
    radio frequency (RF) devices by permitting vendors, manufacturers, and 
    importers to market such devices prior to a demonstration of compliance 
    with applicable technical standards and equipment authorization 
    procedures, and to promote efficiency and equity in our rules by 
    requiring that any party that modifies an RF device be responsible for 
    ensuring compliance with applicable technical standards. This action 
    will also facilitate the retrieval of RF device test records by the 
    Commission, remove outdated regulations, and correct existing errors 
    and ambiguities in the rules.
    
    8. Summary of Significant Issues Raised by Public Comments in Response 
    to the IRFA
    
        No comments were submitted in direct response to the IRFA. However, 
    Alcatel Network Systems, Inc. (ANS), AT&T Corp., Computer and Business 
    Equipment Manufacturer's Association (CBEMA) and International Business 
    Machines Corp. (IBM) suggested changes to our proposed reporting and 
    record keeping requirements for modified RF devices. ANS and CBEMA 
    oppose the proposal that a party modifying equipment be required to 
    label the modified equipment with additional information, i.e., the 
    name, address and telephone number of the party performing the 
    modifications. AT&T, with support from ANS, CBEMA and IBM, requests 
    that the party modifying the equipment not be required to obtain and 
    retain the original equipment design drawings.
    
    9. Description and Estimate of the Number of Small Entities to Which 
    the Rules Will Apply
    
        For the purposes of this Order, the RFA defines a ``small 
    business'' to be the same as a ``small business concern'' under the 
    Small Business Act, 15 U.S.C. 632, unless the Commission has developed 
    one or more definitions that are appropriate to its activities.3 
    Under the Small Business Act, a ``small business concern'' is one that: 
    (1) is independently owned and operated; (2) is not dominant in its 
    field of operation; and (3) meets any additional criteria established 
    by the Small Business Administration (SBA).4 These new rules will 
    apply to computer manufacturers and other RF device manufacturers as 
    well as those entities that modify and market RF equipment.
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        \3\ See 5 U.S.C. 601(3) (incorporating by reference the 
    definition of ``small business concern'' in 5 U.S.C. 632).
        \4\ See 15 U.S.C. 632.
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        (a) Computer Manufacturers: According to SBA regulations, a 
    computer manufacturer must have 1,000 or fewer employees in order to 
    qualify as a small entity.5 Census Bureau data indicates that 
    there are 716 firms that manufacture electronic computers and of those, 
    659 have fewer than 500 employees and qualify as small entities.6 
    The remaining 57 firms have 500 or more employees; however, we are 
    unable to determine how many of those have fewer than 1,000 employees
    
    [[Page 10468]]
    
    and therefore also qualify as small entities under the SBA definition.
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        \5\ See 13 CFR 121.201, (SIC) code 3571.
        \6\ See U.S. Small Business Administration 1995 Economic Census 
    Industry and Enterprise Report, Table 3, SIC Code 3571, (Bureau of 
    the Census data adapted by the Office of Advocacy of the U.S. Small 
    Business Administration).
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        (b) RF Equipment Manufacturers: The Commission has not developed a 
    definition of small entities applicable to RF equipment manufacturers. 
    Therefore, we will utilize the SBA definition applicable to 
    manufacturers of Radio and Television Broadcasting and Communications 
    Equipment. According to the SBA's regulations, an RF equipment 
    manufacturer must have 750 or fewer employees in order to qualify as a 
    small business concern.7 Census Bureau data indicates that there 
    are 858 U.S. companies that manufacture radio and television 
    broadcasting and communications equipment, and that 778 of these firms 
    have fewer than 750 employees and would be classified as small 
    entities.8 The Census Bureau category is very broad, and specific 
    figures are not available as to how many of these firms are 
    manufacturers of RF devices. However, we believe that many of them may 
    qualify as small entities.
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        \7\ See 13 CFR 121.201, (SIC) Code 3663.
        \8\ See U.S. Dept. of Commerce, 1992 Census of Transportation, 
    Communications and Utilities (issued May 1995), SIC category 3663.
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        10. The Commission has not developed a definition of small entities 
    applicable to services which are related specifically to RF devices. 
    Therefore, the applicable definition of small entity is the definition 
    under the Small Business Administration (SBA) rules applicable to 
    Communications Services, Not Elsewhere Classified. This definition 
    provides that a small entity is expressed as one with $11.0 million or 
    less in annual receipts.9 The Census Bureau data indicates that of 
    the 848 firms in the ``Communications Services, Not Elsewhere 
    Classified'' category, 775 are small businesses.10 We estimate 
    that under this definition the majority of entities that market and 
    modify RF devices may be small entities.
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        \9\ See 13 CFR 121.201, Standard Industrial Classification (SIC) 
    Code 4899.
        \10\ See U.S. Small Business Administration 1995 Economic Census 
    Industry and Enterprise Report, Table 2D, SIC Code 3571, (Bureau of 
    the Census data adapted by the Office of Advocacy of the U.S. Small 
    Business Administration).
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    11. Description of Projected Reporting, Recordkeeping and Other 
    Compliance Requirements
    
        Our new rules transfer the responsibility for ensuring that a 
    modified RF device complies with our technical standards from the 
    vendor, manufacturer, or importer to the modifying party. However, 
    requirements to measure the equipment to show that it continues to 
    comply with these standards are consistent with the former rules. 
    Further, even under the former rules--while they were not clearly 
    defined--a party modifying an RF device was required to retain its 
    measurement data showing that the modified device complied with these 
    standards. A modifying party must also label the equipment with its 
    name, address and telephone number, unless it obtains a new 
    authorization for the modified equipment. The type of skills needed to 
    label equipment is usually clerical.
        12. Under our new rules greater flexibility will be provided to 
    vendors, manufacturers, and importers, thus decreasing the regulatory 
    burden on such entities. Further, when an RF device is modified, any 
    increased reporting and record keeping requirement imposed on the 
    modifying party will be offset by a decreased reporting requirement on 
    the vendor, manufacturer, or importer. Moreover, there is no 
    requirement that any RF device be modified. Therefore, to the extent 
    that a small entity chooses to modify an RF device, it is because that 
    entity believes the benefits of modifying the device outweigh its 
    costs, including reporting and record keeping requirements.
    
    13. Significant Alternatives and Steps Taken to Minimize Significant 
    Economic Impact on a Substantial Number of Small Entities Consistent 
    with Stated Objectives
    
        As proposed in the NPRM, any entity that remanufactures or 
    otherwise modifies an authorized RF device would be designated as 
    responsible for ensuring that the device continues to comply with our 
    applicable technical standards, and would be required to retain records 
    of its modification relative to the original design drawings. However, 
    after reviewing comments, we conclude that it is unnecessary for the 
    modifying party to obtain the original design drawings. Accordingly, in 
    this Report and Order, we are requiring only that the modifying party 
    retain records showing the changes made to the device, together with 
    test records demonstrating that the device continues to comply with the 
    applicable standards.11 We also are changing another proposal in 
    the NPRM by not requiring that a modified RF device be labelled with 
    the name, address, and telephone number of the modifying party, 
    provided the party performing the modifications obtains a new equipment 
    authorization. These changes will reduce the impact of our new 
    regulations on small entities.
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        \11\ See paras. 28-29 of this Report and Order.
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    14. Report to Congress
    
        The Commission shall send a copy of this Final Regulatory 
    Flexibility Analysis, along with this Report and Order, in a report to 
    Congress pursuant to the Small Business Regulatory Enforcement Fairness 
    Act of 1996, 5 U.S.C. 801(a)(1)(A).
    
    List of Subjects in 47 CFR Part 2
    
        Communications equipment, Radio, Reporting and recordkeeping 
    requirements.
    
    Federal Communications Commission.
    William F. Caton,
    Acting Secretary.
    
    Rule Changes
    
        Title 47 of the Code of Federal Regulations, Part 2, is amended as 
    follows:
    
    PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL 
    RULES AND REGULATIONS
    
        1. The authority citation for Part 2 continues to read as follows:
    
        Authority: Sections 4, 302, 303, and 307 of the Communications 
    Act of 1934, as amended, 47 U.S.C. Sections 154, 302, 303, and 307, 
    unless otherwise noted.
    
        2. Section 2.803 is revised to read as follows:
    
    
    Sec. 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 type acceptance, 
    certification, or notification, such device has been authorized by the 
    Commission in accordance with the rules in this chapter and is properly 
    identified and labelled as required by Sec. 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, labelling and identification requirements 
    specified in this chapter.
        (b) The provisions of paragraph (a) of this section do not prohibit 
    conditional sales contracts between manufacturers
    
    [[Page 10469]]
    
    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 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 labelled 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 
    labelled, 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.
        (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. 
    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.
        (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 labelled 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.
    
    [[Page 10470]]
    
        (h) The provisions in subpart K of this part continue to apply to 
    imported radio frequency devices.
    
    
    Sec. 2.805  [Removed]
    
        3. Section 2.805 is removed.
    
    
    Sec. 2.806  [Removed]
    
        4. Section 2.806 is removed.
        5. Section 2.807 is amended by revising the introductory paragraph 
    to read as follows:
    
    
    Sec. 2.807  Statutory exceptions.
    
        As provided by Section 302(c) of the Communications Act of 1934, as 
    amended, Sec. 2.803 shall not be applicable to:
    * * * * *
    
    
    Sec. 2.809  [Removed]
    
        6. Section 2.809 is removed.
        7. Section 2.811 is revised to read as follows:
    
    
    Sec. 2.811  Transmitters operated under part 73 of this chapter.
    
        Section 2.803(a) through (d) shall not be applicable to a 
    transmitter operated in any of the Radio Broadcast Services regulated 
    under part 73 of this chapter, provided the conditions set out in part 
    73 of this chapter for the acceptability of such transmitter for use 
    under licensing are met.
        8. Section 2.813 is revised to read as follows:
    
    
    Sec. 2.813  Transmitters operated in the Instructional Television Fixed 
    Service.
    
        Section 2.803(a) through (d) shall not be applicable to a 
    transmitter operated in the Instructional Television Fixed Service 
    regulated under part 74 of this chapter, provided the conditions in 
    Sec. 74.952 of this chapter for the acceptability of such transmitter 
    for licensing are met.
        9. Section 2.815 is amended by revising paragraphs (d) and (e) to 
    read as follows:
    
    
    Sec. 2.815  External radio frequency power amplifiers.
    
    * * * * *
        (d) The proscription in paragraph (b) of this section shall not 
    apply to the marketing, as defined in paragraph (b) of this section, by 
    a licensed amateur radio operator to another licensed amateur radio 
    operator of an external radio frequency power amplifier fabricated in 
    not more than one unit of the same model in a calendar year by that 
    operator provided the amplifier is for the amateur operator's personal 
    use at his licensed amateur radio station and the requirements of 
    Secs. 97.315 and 97.317 of this chapter are met.
        (e) The proscription in paragraph (c) of this section shall not 
    apply in the marketing, as defined in paragraph (c) of this section, by 
    a licensed amateur radio operator to another licensed amateur radio 
    operator of an external radio frequency power amplifier if the 
    amplifier is for the amateur operator's personal use at his licensed 
    amateur radio station and the requirements of Secs. 97.315 and 97.317 
    of this chapter are met.
    
    
    Sec. 2.901  [Amended]
    
        10. Section 2.901 is amended by removing the words in paragraphs 
    (a) and (b) ``type approval,''.
    
    
    Sec. 2.903  [Removed]
    
        11. Section 2.903 is removed.
        12. Section 2.909 is amended by adding a last sentence to 
    paragraphs (a) and (b) and by adding new paragraphs (c)(3) and (d) to 
    read as follows:
    
    
    Sec. 2.909  Responsible party.
    
    * * * * *
        (a) * * * 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 Sec. 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) * * * 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) * * *
        (3) 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 
    labelled, following the specifications in Sec. 2.925(d), with the 
    following: ``This product has been modified by [insert name, address 
    and telephone number of the party performing the modifications].''
        13. Section 2.913 is amended by revising paragraph (a) to read as 
    follows:
    
    
    Sec. 2.913  Submittal of equipment authorization application or 
    information to the Commission.
    
        (a) Unless otherwise directed, applications with fees attached for 
    the equipment authorization, pursuant to Sec. 1.1103 of this chapter, 
    must be submitted following the procedures described in Sec. 0.401(b) 
    of this chapter. The address for applications submitted by mail is: 
    Federal Communications Commission, Equipment Approval Services, P. O. 
    Box 358315, Pittsburgh, PA 15251-5315. If the applicant chooses to make 
    use of an air courier/package delivery service, the following address 
    must appear on the outside of the package/envelope: Federal 
    Communications Commission, c/o Mellon Bank, Three Mellon Bank Center, 
    525 William Penn Way, 27th floor, Room 153-2713, Pittsburgh, 
    Pennsylvania 15259-0001, Attention: Wholesale Lockbox Supervisor.
    * * * * *
    
    
    Sec. 2.915  [Amended]
    
        14. Section 2.915 is amended by removing the words ``type 
    approval,'' in paragraphs (a) introductory text and (c).
    
    
    Sec. 2.917  [Amended]
    
        15. Section 2.917 is amended by removing paragraph (d).
        16. Section 2.924 is revised to read as follows:
    
    
    Sec. 2.924  Marketing of electrically identical equipment having 
    multiple trade names and models or type numbers under the same FCC 
    Identifier.
    
        The grantee of an equipment authorization may market devices having 
    different model/type numbers or trade names without additional 
    authorization from the Commission, provided that such devices are 
    electrically identical and the equipment bears an FCC Identifier 
    validated by a grant of equipment authorization. A device will be 
    considered to be electrically identical if no changes are made to the 
    device authorized by the Commission, or if the changes made to the 
    device would be treated as class I permissive changes within the scope 
    of Secs. 2.1001(b)(1) and 2.1043(b)(1). Changes to the model number or 
    trade name by anyone other than the grantee, or under the authorization 
    of the grantee, shall be performed following the procedures in 
    Sec. 2.933.
        17. Section 2.925 is amended by removing paragraph (g) and by 
    revising paragraphs (b)(4), (d) introductory text and (f) to read as 
    follows:
    
    
    Sec. 2.925  Identification of equipment.
    
    * * * * *
        (b) * * *
    
    [[Page 10471]]
    
        (4) For a transceiver, the receiver portion of which is subject to 
    verification pursuant to Sec. 15.101 of this chapter, the FCC 
    Identifier required for the transmitter portion shall be preceded by 
    the term ``FCC ID''.
    * * * * *
        (d) In order to validate the grant of equipment authorization, the 
    nameplate or label shall be permanently affixed to the equipment and 
    shall be readily visible to the purchaser at the time of purchase.
    * * * * *
        (f) The term ``FCC ID'' and the coded identification assigned by 
    the Commission shall be in a size of type large enough to be readily 
    legible, consistent with the dimensions of the equipment and its 
    nameplate. However, the type size for the FCC Identifier is not 
    required to be larger than eight-point.
    
    
    Sec. 2.926  [Amended]
    
        18. Section 2.926 is amended by removing the reference in paragraph 
    (e) ``Sec. 15.69'' and adding in its place ``Sec. 15.101 of this 
    chapter''.
        19. Section 2.927 is amended by removing paragraph (d) and by 
    revising paragraphs (a) and (b) to read as follows:
    
    
    Sec. 2.927  Limitations on grants.
    
        (a) A grant of equipment authorization is valid only when the FCC 
    Identifier is permanently affixed on the device and remains effective 
    until revoked or withdrawn, rescinded, surrendered, or a termination 
    date is otherwise established by the Commission.
        (b) A grant of an equipment authorization signifies that the 
    Commission has determined that the equipment has been shown to be 
    capable of compliance with the applicable technical standards if no 
    unauthorized change is made in the equipment and if the equipment is 
    properly maintained and operated. The issuance of a grant of equipment 
    authorization shall not be construed as a finding by the Commission 
    with respect to matters not encompassed by the Commission's rules, 
    especially with respect to compliance with 18 U.S.C. 2512.
    * * * * *
        20. Section 2.929 is amended by revising paragraph (b)(1) and its 
    Note to read as follows:
    
    
    Sec. 2.929  Nonassignability of an equipment authorization.
    
    * * * * *
        (b) * * *
        (1) The equipment manufactured by such second party bears the 
    identical FCC Identifier as set out in the grant of the equipment 
    authorization.
    
        Note to paragraph (b)(1): Any change in the FCC Identifier desired 
    as a result of such production or marketing agreement will require the 
    filing of a new application for an equipment authorization as specified 
    in Sec. 2.933.
    * * * * *
        21. Section 2.931 is revised to read as follows:
    
    
    Sec. 2.931  Responsibility of the grantee.
    
        In accepting a grant of an equipment authorization, the grantee 
    warrants that each unit of equipment marketed under such grant and 
    bearing the identification specified in the grant will conform to the 
    unit that was measured and that the data (design and rated operational 
    characteristics) determined by the grantee for notification or filed 
    with the application for type acceptance or certification continues to 
    be representative of the equipment being produced under such grant 
    within the variation that can be expected due to quantity production 
    and testing on a statistical basis.
        22. Section 2.932 is amended by adding new paragraph (f) to read as 
    follows:
    
    
    Sec. 2.932  Modification of equipment.
    
    * * * * *
        (f) All requests for permissive changes submitted to the Commission 
    must be accompanied by the anti-drug abuse certification required under 
    Sec. 1.2002 of this chapter.
        23. Section 2.933 is amended by revising paragraphs (a), (b)(7) and 
    (c) to read as follows:
    
    
    Sec. 2.933  Change in identification of equipment.
    
        (a) A new application for equipment authorization shall be filed 
    whenever there is a change in the FCC Identifier for the equipment with 
    or without a change in design, circuitry or construction. However, a 
    change in the model/type number or trade name performed in accordance 
    with the provisions in Sec. 2.924 is not considered to be a change in 
    identification and does not require additional authorization from the 
    Commission.
        (b) * * *
        (7) In the case of certified equipment, the photographs required by 
    Sec. 2.1033(b)(7) showing the exterior appearance of the equipment, 
    including the operating controls available to the user and the 
    identification label. Photographs of the construction, the component 
    placement on the chassis, and the chassis assembly are not required to 
    be submitted unless specifically requested by the Commission.
        (c) If the change in the FCC Identifier also involves a change in 
    design or circuitry which falls outside the purview of a permissive 
    change described in Secs. 2.977, 2.1001 or 2.1043, a complete 
    application shall be filed pursuant to Sec. 2.911.
    
    
    Sec. 2.934  [Amended]
    
        24. Section 2.934 is amended by removing the reference 
    ``Sec. 2.910(b)'' and adding in its place ``Sec. 2.913(b)''.
        25. Section 2.936 is revised to read as follows:
    
    
    Sec. 2.936  FCC inspection.
    
        Upon reasonable request, each responsible party shall submit the 
    following to the Commission or shall make the following available for 
    inspection:
        (a) The records required by Secs. 2.938, 2.955, and 2.1075.
        (b) A sample unit of the equipment covered under an authorization.
        (c) The manufacturing plant and facilities.
        26. Section 2.938 is revised to read as follows:
    
    
    Sec. 2.938  Retention of records.
    
        (a) For each equipment subject to the Commission's equipment 
    authorization standards, the responsible party shall maintain the 
    records listed as follows:
        (1) A record of the original design drawings and specifications and 
    all changes that have been made that may affect compliance with the 
    standards and the requirements of Sec. 2.931.
        (2) A record of the procedures used for production inspection and 
    testing to ensure conformance with the standards and the requirements 
    of Sec. 2.931.
        (3) A record of the test results that demonstrate compliance with 
    the appropriate regulations in this chapter.
        (b) The provisions of paragraph (a) of this section shall also 
    apply to a manufacturer of equipment produced under the provisions of 
    Sec. 2.929(b). The retention of the records by the manufacturer under 
    these circumstances shall satisfy the grantee's responsibility under 
    paragraph (a) of this section.
        (c) The records listed in paragraph (a) of this section shall be 
    retained for one year for equipment subject to authorization under the 
    type acceptance or certification procedure, or for two years for 
    equipment subject to authorization under any other procedure, after the 
    manufacture of said equipment has been permanently discontinued, or 
    until the conclusion of an investigation or a proceeding if the 
    responsible party (or under paragraph (b) of this section the 
    manufacturer) is officially notified that an investigation
    
    [[Page 10472]]
    
    or any other administrative proceeding involving its equipment has been 
    instituted.
        (d) If radio frequency equipment is modified by any party other 
    than the original responsible party, and that party is not working 
    under the authorization of the original responsible party, the party 
    performing the modifications is not required to obtain the original 
    design drawings specified in paragraph (a)(1) of this section. However, 
    the party performing the modifications must maintain records showing 
    the changes made to the equipment along with the records required in 
    paragraphs (a)(3) of this section. A new equipment authorization may 
    also be required. See, for example, Secs. 2.909, 2.924, 2.933, and 
    2.1043.
        27. Section 2.941 is revised to read as follows:
    
    
    Sec. 2.941  Availability of information relating to grants.
    
        (a) Grants of equipment authorization, other than for receivers and 
    equipment authorized for use under parts 15 or 18 of this chapter, will 
    be publicly announced in a timely manner by the Commission. Information 
    about the authorization of a device using a particular FCC Identifier 
    may be obtained by contacting the Commission's Office of Engineering 
    and Technology Laboratory.
        (b) Information relating to equipment authorizations, such as data 
    submitted by the applicant in connection with an authorization 
    application, laboratory tests of the device, etc., shall be available 
    in accordance with Secs. 0.441 through 0.470 of this chapter.
        28. Section 2.953 is amended by revising the section heading and 
    paragraphs (a), (b) and (d) to read as follows:
    
    
    Sec. 2.953  Responsibility for compliance.
    
        (a) In verifying compliance, the responsible party, as defined in 
    Sec. 2.909 warrants that each unit of equipment marketed under the 
    verification procedure will be identical to the unit tested and found 
    acceptable with the standards and that the records maintained by the 
    responsible party continue to reflect the equipment being produced 
    under such verification within the variation that can be expected due 
    to quantity production and testing on a statistical basis.
        (b) The importer of equipment subject to verification may upon 
    receiving a written statement from the manufacturer that the equipment 
    complies with the appropriate technical standards rely on the 
    manufacturer or independent testing agency to verify compliance. The 
    test records required by Sec. 2.955 however should be in the English 
    language and made available to the Commission upon a reasonable 
    request, in accordance with Sec. 2.956.
    * * * * *
        (d) Verified equipment shall be reverified if any modification or 
    change adversely affects the emanation characteristics of the modified 
    equipment. The party designated in Sec. 2.909 bears responsibility for 
    continued compliance of subsequently produced equipment.
        29. Section 2.954 is revised to read as follows:
    
    
    Sec. 2.954  Identification.
    
        Devices subject only to verification shall be uniquely identified 
    by the person 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, notified or type accepted equipment. The importer or 
    manufacturer shall maintain adequate identification records to 
    facilitate positive identification for each verified device.
        30. Section 2.955 is amended by revising the introductory text of 
    paragraph (a) and paragraph (a)(3) to read as follows:
    
    
    Sec. 2.955  Retention of records.
    
        (a) For each equipment subject to verification, the responsible 
    party, as shown in Sec. 2.909 shall maintain the records listed as 
    follows:
    * * * * *
        (3) A record of the measurements made on an appropriate test site 
    that demonstrates compliance with the applicable regulations in this 
    chapter. The record shall:
        (i) Indicate the actual date all testing was performed;
        (ii) State the name of the test laboratory, company, or individual 
    performing the verification testing. The Commission may request 
    additional information regarding the test site, the test equipment or 
    the qualifications of the company or individual performing the 
    verification tests;
        (iii) Contain a description of how the device was actually tested, 
    identifying the measurement procedure and test equipment that was used;
        (iv) Contain a description of the equipment under test (EUT) and 
    support equipment connected to, or installed within, the EUT;
        (v) Identify the EUT and support equipment by trade name and model 
    number and, if appropriate, by FCC Identifier and serial number;
        (vi) Indicate the types and lengths of connecting cables used and 
    how they were arranged or moved during testing;
        (vii) Contain at least two drawings or photographs showing the test 
    set-up for the highest line conducted emission and showing the test 
    set-up for the highest radiated emission. These drawings or photographs 
    must show enough detail to confirm other information contained in the 
    test report. Any photographs used must be focused originals without 
    glare or dark spots and must clearly show the test configuration used;
        (viii) List all modifications, if any, made to the EUT by the 
    testing company or individual to achieve compliance with the 
    regulations in this chapter;
        (ix) Include all of the data required to show compliance with the 
    appropriate regulations in this chapter; and
        (x) Contain, on the test report, the signature of the individual 
    responsible for testing the product along with the name and signature 
    of an official of the responsible party, as designated in Sec. 2.909.
    * * * * *
        31. Section 2.956 is revised to read as follows:
    
    
    Sec. 2.956  FCC inspection and submission of equipment for testing.
    
        (a) Each responsible party shall upon receipt of reasonable 
    request:
        (1) Submit to the Commission the records required by Sec. 2.955.
        (2) Submit one or more sample units for measurements at the 
    Commission's Laboratory.
        (i) Shipping costs to the Commission's Laboratory and return shall 
    be borne by the responsible party.
        (ii) In the event the responsible party believes that shipment of 
    the sample to the Commission's Laboratory is impractical because of the 
    size or weight of the equipment, or the power requirement, or for any 
    other reason, the responsible party may submit a written explanation 
    why such shipment is impractical and should not be required.
        (b) Requests for the submission of the records in Sec. 2.955 or for 
    the submission of sample units are covered under the provisions of 
    Sec. 2.946.
    
    
    Sec. 2.957  [Removed]
    
        32. Section 2.957 is removed.
    
    
    Secs. 2.961, 2.963, 2.965, 2.967, 2.969  [Removed]
    
        33. The undesignated centerheading preceding Sec. 2.961 and 
    Sec. 2.961 are removed.
        34. Section 2.963 is removed.
        35. Section 2.965 is removed.
        36. Section 2.967 is removed.
        37. Section 2.969 is removed.
    
    [[Page 10473]]
    
        38. Section 2.975 is amended by revising paragraphs (b) and (g) to 
    read as follows:
    
    
    Sec. 2.975  Application for notification.
    
    * * * * *
        (b) The statement required in paragraph (a)(6) of this section 
    shall be signed pursuant to Sec. 2.911(c).
    * * * * *
        (g) The records of measurement data, measurement procedures, 
    photographs, circuit diagrams, etc. for a device subject to 
    notification shall be retained for two years after the manufacture of 
    said equipment has been permanently discontinued, or, if the 
    responsible party is officially notified that an investigation or any 
    other administrative proceeding involving the equipment has been 
    instituted prior to the expiration of such two year period, until the 
    conclusion of that investigation or proceeding.
    
    
    Sec. 2.979  [Removed]
    
        39. Section 2.979 is removed.
    
    
    Sec. 2.983  [Amended]
    
        40. Section 2.983 is amended by removing and reserving paragraph 
    (h) and by removing the reference ``subpart C of part 97'' in the last 
    sentence of paragraph (i) and adding in its place ``subpart D of part 
    97''.
    
    
    Sec. 2.1003  [Removed]
    
        41. Section 2.1003 is removed.
        42. Section 2.1005 is amended by revising paragraph (a), the 
    introductory text of paragraphs (c) and (c)(4) and paragraph (d) to 
    read as follows:
    
    
    Sec. 2.1005  Equipment for use in the Amateur Radio Service.
    
        (a) The general provisions of Secs. 2.981, 2.983, 2.991, 2.993, 
    2.997, 2.999, and 2.1001 shall apply to applications for, and grants 
    of, type acceptance for equipment operated under the requirements of 
    part 97 of this chapter, the Amateur Radio Service.
    * * * * *
        (c) Any supplier of an external radio frequency power amplifier kit 
    as defined by Sec. 97.3(a)(17) of this chapter shall comply with the 
    following requirements:
    * * * * *
        (4) The identification label required by Sec. 2.925 shall be 
    permanently affixed to the assembled unit and shall be of sufficient 
    size so as to be easily read. The following information shall be shown 
    on the label:
    * * * * *
        (d) Type acceptance of external radio frequency power amplifiers 
    and amplifier kits may be denied when denial serves the public 
    interest, convenience and necessity by preventing the use of these 
    amplifiers in services other than the Amateur Radio Service. Other uses 
    of these amplifiers, such as in the Citizens Band Radio Service, are 
    prohibited (Sec. 95.411 of this chapter). Examples of features which 
    may result in the denial of type acceptance are contained in 
    Sec. 97.317 of this chapter.
    
    
    Sec. 2.1033  [Amended]
    
        43. Section 2.1033 is amended by removing and reserving paragraph 
    (b)(10) and by removing the reference ``Sec. 15.257(e)'' in paragraph 
    (b)(11) and adding in its place ``Sec. 15.247(e)''.
    
    
    Sec. 2.1045  [Removed]
    
        44. Section 2.1045 is removed.
        45. Section 2.1300 is revised to read as follows:
    
    
    Sec. 2.1300  Cross reference.
    
        The general provisions of this part, Secs. 2.911, 2.923, 2.929, 
    2.935, 2.936, and 2.946 shall apply to applications for and grants of 
    registration for telephone terminal equipment pursuant to part 68 of 
    this chapter.
    [FR Doc. 97-5349 Filed 3-5-97; 8:45 am]
    BILLING CODE 6712-01-P
    
    
    

Document Information

Effective Date:
4/7/1997
Published:
03/07/1997
Department:
Federal Communications Commission
Entry Type:
Rule
Action:
Final rule
Document Number:
97-5349
Dates:
April 7, 1997.
Pages:
10466-10473 (8 pages)
Docket Numbers:
ET Docket No. 94-45, FCC 97-31
PDF File:
97-5349.pdf
CFR: (46)
47 CFR 2.1033(b)(7)
47 CFR 2.929(b)
47 CFR 1.2002
47 CFR 2.803
47 CFR 2.805
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