Section 2.1033 - Application for certification(a) An application for certification shall be filed on FCC Form 731 with all questions answered. Items that do not apply shall be so noted.(b) Applications for equipment operating under Parts 11, 15 and 18 of the rules shall be accompanied by a technical report containing the following information: (1) The full name, mailing address and physical address (if different from mailing address), email address, and telephone number of:(i) The applicant for certification; and(ii) The applicant's agent for service of process in the United States for matters relating to the authorized equipment.(2) A written and signed certification that, as of, the filing date of the notice, the equipment to which the change applies is not prohibited from receiving an equipment authorization pursuant to § 2.903 ;(3) An affirmative or negative statement as to whether the applicant is identified on the Covered List, established pursuant to § 1.50002 of this chapter, as an entity producing covered communications equipment; and(4) The written and signed certifications required by § 2.911(d)(7) .(6) A copy of the installation and operating instructions to be furnished the user. A draft copy of the instructions may be submitted if the actual document is not available. The actual document shall be furnished to the FCC when it becomes available.(7) A brief description of the circuit functions of the device along with a statement describing how the device operates. This statement should contain a description of the ground system and antenna, if any, used with the device.(8) A block diagram showing the frequency of all oscillators in the device. The signal path and frequency shall be indicated at each block. The tuning range(s) and intermediate frequency(ies) shall be indicated at each block. A schematic diagram is also required for intentional radiators.(9) A report of measurements showing compliance with the pertinent FCC technical requirements. This report shall identify the test procedure used (e.g., specify the FCC test procedure, or industry test procedure that was used), the date the measurements were made, the location where the measurements were made, and the device that was tested (model and serial number, if available). The report shall include sample calculations showing how the measurement results were converted for comparison with the technical requirements.(10) A sufficient number of photographs to clearly show the exterior appearance, the construction, the component placement on the chassis, and the chassis assembly. The exterior views shall show the overall appearance, the antenna used with the device (if any), the controls available to the user, and the required identification label in sufficient detail so that the name and FCC identifier can be read. In lieu of a photograph of the label, a sample label (or facsimile thereof) may be submitted together with a sketch showing where this label will be placed on the equipment. Photographs shall be of size A4 (21 cm * 29.7 cm) or 8 * 10 inches (20.3 cm * 25.4 cm). Smaller photographs may be submitted provided they are sharp and clear, show the necessary detail, and are mounted on A4 (21 cm * 29.7 cm) or 8.5 * 11 inch (21.6 cm * 27.9 cm) paper. A sample label or facsimile together with the sketch showing the placement of this label shall be on the same size paper.(11) If the equipment for which certification is being sought must be tested with peripheral or accessory devices connected or installed, a brief description of those peripherals or accessories. The peripheral or accessory devices shall be unmodified, commercially available equipment.(12) For equipment subject to the provisions of part 15 of this chapter, the application shall indicate if the equipment is being authorized pursuant to the transition provisions in § 15.37 of this chapter.(13) Applications for the certification of scanning receivers shall include a statement describing the methods used to comply with the design requirements of all parts of § 15.121 of this chapter. The application must specifically include a statement assessing the vulnerability of the equipment to possible modification and describing the design features that prevent the modification of the equipment by the user to receive transmissions from the Cellular Radiotelephone Service. The application must also demonstrate compliance with the signal rejection requirement of § 15.121 of this chapter, including details on the measurement procedures used to demonstrate compliance.(14) Applications for certification of transmitters operating within the 59.0-64.0 GHz band under part 15 of this chapter shall also be accompanied by an exhibit demonstrating compliance with the provisions of § 15.255(g) of this chapter.(15) An application for certification of a software defined radio must include the information required by § 2.944 .(16) Applications for certification of U-NII devices in the 5.15-5.35 GHz and the 5.47-5.85 GHz bands must include a high level operational description of the security procedures that control the radio frequency operating parameters and ensure that unauthorized modifications cannot be made.(17) Contain at least one drawing or photograph showing the test set-up for each of the required types of tests applicable to the device for which certification is requested. 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.(c) Applications for equipment other than that operating under parts 15, 11 and 18 of this chapter shall be accompanied by a technical report containing the following information:(1) The full name, mailing address and physical address (if different from mailing address), email address, and telephone number of:(i) The applicant for certification; and(ii) The applicant's agent for service of process in the United States for matters relating to the authorized equipment.(2) A written and signed certification that, as of the filing date of the notice, the equipment to which the change applies is not prohibited from receiving an equipment authorization pursuant to § 2.903 .(3) An affirmative or negative statement as to whether the applicant is identified on the Covered List, established pursuant to § 1.50002 of this chapter, as an entity producing covered communications equipment.(4) The written and signed certifications required by § 2.911(d)(7) .(6) A copy of the installation and operating instructions to be furnished the user. A draft copy of the instructions may be submitted if the actual document is not available. The actual document shall be furnished to the FCC when it becomes available.(7) Type or types of emission.(9) Range of operating power values or specific operating power levels, and description of any means provided for variation of operating power.(10) Maximum power rating as defined in the applicable part(s) of the rules.(11) The dc voltages applied to and dc currents into the several elements of the final radio frequency amplifying device for normal operation over the power range.(12) Tune-up procedure over the power range, or at specific operating power levels.(13) A schematic diagram and a description of all circuitry and devices provided for determining and stabilizing frequency, for suppression of spurious radiation, for limiting modulation, and for limiting power.(14) A photograph or drawing of the equipment identification plate or label showing the information to be placed thereon.(15) Photographs (8" * 10") of the equipment of sufficient clarity to reveal equipment construction and layout, including meters, if any, and labels for controls and meters and sufficient views of the internal construction to define component placement and chassis assembly. Insofar as these requirements are met by photographs or drawings contained in instruction manuals supplied with the certification request, additional photographs are necessary only to complete the required showing.(16) For equipment employing digital modulation techniques, a detailed description of the modulation system to be used, including the response characteristics (frequency, phase and amplitude) of any filters provided, and a description of the modulating wavetrain, shall be submitted for the maximum rated conditions under which the equipment will be operated.(17) The data required by §§ 2.1046 through 2.1057 , inclusive, measured in accordance with the procedures set out in § 2.1041 .(18) The application for certification of an external radio frequency power amplifier under part 97 of this chapter need not be accompanied by the data required by paragraph (b)(14) of this section. In lieu thereof, measurements shall be submitted to show compliance with the technical specifications in subpart C of part 97 of this chapter and such information as required by § 2.1060 of this part.(19) An application for certification of an AM broadcast stereophonic exciter-generator intended for interfacing with existing certified, or formerly type accepted or notified transmitters must include measurements made on a complete stereophonic transmitter. The instruction book must include complete specifications and circuit requirements for interconnecting with existing transmitters. The instruction book must also provide a full description of the equipment and measurement procedures to monitor modulation and to verify that the combination of stereo exciter-generator and transmitter meet the emission limitations of § 73.44 .(20) Applications for certification required by § 25.129 of this chapter shall include any additional equipment test data required by that section.(21) An application for certification of a software defined radio must include the information required by § 2.944 .(22) Applications for certification of equipment operating under part 27 of this chapter, that a manufacturer is seeking to certify for operation in the: (i) 1755-1780 MHz, 2155-2180 MHz, or both bands shall include a statement indicating compliance with the pairing of 1710-1780 and 2110-2180 MHz specified in §§ 27.5(h) and 27.75 of this chapter.(ii) 1695-1710 MHz, 1755-1780 MHz, or both bands shall include a statement indicating compliance with § 27.77 of this chapter.(iii) 600 MHz band shall include a statement indicating compliance with § 27.75 of this chapter.(23) Before equipment operating under part 90 of this chapter and capable of operating on the 700 MHz interoperability channels (See § 90.531(b)(1) of this chapter) may be marketed or sold, the manufacturer thereof shall have a Compliance Assessment Program Supplier's Declaration of Compliance and Summary Test Report or, alternatively, a document detailing how the manufacturer determined that its equipment complies with § 90.548 of this chapter and that the equipment is interoperable across vendors. Submission of a 700 MHz narrowband radio for certification will constitute a representation by the manufacturer that the radio will be shown, by testing, to be interoperable across vendors before it is marketed or sold.(24) Contain at least one drawing or photograph showing the test set-up for each of the required types of tests applicable to the device for which certification is requested. 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.(d) Applications for certification of equipment operating under part 20 of this chapter, that a manufacturer is seeking to certify as hearing aid-compatible, as set forth in § 20.19 of this chapter, shall include a statement indicating compliance with the test requirements of § 20.19 of this chapter. The manufacturer of the equipment shall be responsible for maintaining the test results.(e) A single application may be filed for a composite system that incorporates devices subject to certification under multiple rule parts, however, the appropriate fee must be included for each device. Separate applications must be filed if different FCC Identifiers will be used for each device.(f) Radio frequency devices operating under the provisions of this part are subject to the radio frequency radiation exposure requirements specified in §§ 1.1307(b) , 1.1310 , 2.1091 , and 2.1093 of this chapter, as appropriate. Applications for equipment authorization of RF sources under this section must contain a statement confirming compliance with these requirements. Technical information showing the basis for this statement must be submitted to the Commission upon request.63 FR 36599, July 7, 1998, as amended at 63 FR 42278, Aug. 7, 1998; 64 FR 22561, Apr. 27, 1999; 67 FR 42734 , June 25, 2002; 68 FR 54175 , Sept. 16, 2003; 68 FR 68545 , Dec. 9, 2003; 69 FR 5709 , Feb. 6, 2004; 70 FR 23039 , May 4, 2005; 77 FR 41928 , July 17, 2012; 78 FR 59850 , Sept. 30, 2013; 79 FR 24578 , May 1, 2014; 79 FR 32410 , June 4, 2014; 79 FR 48536 , Aug. 15, 2014; 79 FR 71325 , Dec. 2, 2014; 80 FR 33446 , June 12, 2015; 81 FR 66832 , Sept. 29, 2016; 83 FR 30367 , June 28, 2018; 85 FR 18146 , Apr. 1, 2020; 86 FR 23625 , May 4, 2021; 88 FR 7624 , Feb. 6, 2023 81 FR 66832 , 9/29/2016; 83 FR 29710 , 7/26/2018; 83 FR 30367 , 7/30/2018; 85 FR 18146 , 6/1/2020; 86 FR 23625 , 6/3/2021; 88 FR 7624 , 2/6/2023 Effective Date Notes: 1. At 79 FR 71325, Dec. 2, 2014, §2.1033 was amended by adding paragraph(20). This paragraph contains information collection and recordkeeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
2. At 81 FR 66832, Sept. 29, 2016, §2.1033 was amended by revising paragraph (c)(20). This revision contains information collection and recordkeeping requirements and will not become effective until approval has been given by the Office of Management and Budget.