A Guide to applying for Canadian Radio Equipment listing through TUV SUD BABT as an FCB Scheme BABT 755. TUV SUD BABT 2016 Issue 9

Transcription

1 BABT 755 A Guide to applying for Canadian Radio Equipment listing through TUV SUD BABT as an FCB Scheme TUV SUD BABT is a Certification body of TÜV SÜD TUV SUD BABT 2016 Issue 9

2 Foreword This guide briefly explains the process and requirements for applications to TUV SUD BABT acting as an appointed FCB (or CAB) by Innovation, Science, and Economic Development. The scheme enables a manufacturer of product achieving listing to market the product within Canada. The scheme is operated under the TUV SUD BABT Certification Regulations and implements the Innovation, Science, and Economic Development requirements insofar as they apply to applications made to TUV SUD BABT. The current version of the TUV SUD BABT Certification Regulations may be found at If there is any discrepancy between requirements found in this document and those found on Innovation, Science, and Economic Development Web sites the assumption should be that the Innovation, Science, and Economic Development website is more accurate. All publications are available from: or TUV SUD BABT Octagon House Concorde Way Segensworth North Fareham Hampshire PO15 5RL United Kingdom Tel: +44 (0) Fax: +44 (0)

3 Page i of ii Contents 1 Introduction Scope Overview Definitions and Abbreviations Making an application Types of Application Who to apply to Formal Application Who can apply Application for a Canadian Company Number Documentation Requirements for Certification Application Form for Certification Application Form BABT Section A: Administrative Information Applicant Information Canadian Representative Details Other Contact Information Manufacturer Section B: Your Certification Requirements Type of Certification Related Regulatory Processes Section C: Product Details Product Name and details Brief description of the product ISED Code Hardware and Firmware Version Numbers... Error! Bookmark not defined Product Installation Category Radio Modules Number of Radiators/Transmitters Features Accessories Section D: Summary and Agreement Information on the Test Report Cover Sheet General Product Information Transmitter Details Radio Standard Specification, Issue number, and Issue Date Frequency Range RF Power Field Strength Measured Bandwidth Calculated Bandwidth Emission Designator Transmitter Spurious Attestation Information to accompany an application General Exhibit 1: Label General IC Number PMN (Product Marketing Name) HVIN (Hardware Version Identification Number) FVIN (Firmware Version Identification Number)... 8 i

4 Page ii of ii 7.6 Exhibit 2: Attestation Statement Exhibit 3: External Photos Exhibit 4: Block Diagram Exhibit 5: Schematics and Bill of Material (BOM) Exhibit 6: Technical Report Exhibit 7: Test Set-up Photographs Exhibit 8: Users Manual Exhibit 8A: Sales Literature Exhibit 9: Internal Photographs Exhibit 10: Tune up Information Exhibit 11: RF Exposure Exhibit 12: Operating Description Exhibit 12A: Antenna Details Exhibit 13: Cover Letters Correlation Of required information with type of application General Single New Certification New Family Certification Add New Product to Existing Certification... Error! Bookmark not defined Where Original Approval was progressed by another FCB or by IC Multiple Listing (Brandname) Class II, III, and IV Permissive Changes (Modification) Certificates and Records Market Surveillance Introduction Process Selection Action by Client and Testing Laboratory Action by Local Office Timeframes Modification and additions to Product Certification Introduction Class 1 Permissive Changes Class 2 Permissive changes (C2PC) Introduction Required Exhibits Where Original Approval was progressed by another FCB or by IC Class 3 Permissive Changes (C3PC) Introduction Required Exhibits Class 4 Permissive Changes (C4PC) Introduction Required Exhibits Transfers of Ownership Other Technical Changes Annex A Type of Radio Equipment and Applicable Standards... A-1 A.1 Type of Radio Equipment... A-1 Annex B Required Documentation Summary... B-1 Annex C Proforma Letters... C-1 C.1 Sample Agents Letter... C-1 C.2 Confidentiality request and release Letter... C-2 C.3 IC Modular Approval Letter... C-3 C.4 IC Canadian Representative Letter for Single Certifications... C-5 C.5 IC Canadian Representative Letter for Multiple Registrations... C-6 ii

5 1 Introduction 1.1 Scope A Guide to applying for Canadian Radio Equipment Certification through BABT Page 1 of 16 This guide explains the process and requirements to apply for Innovation, Science and Economic Development (ISED) Radio listing through TUV SUD BABT as an FCB. 1.2 Overview Radio Equipment, intended to be marketed in Canada is required to be reviewed for compliance with ISED requirements prior to entry to the market place. There are 2 categories of equipment which are defined Category 1 Equipment Category 2 Equipment All equipment detailed in either list must be tested to the appropriate standard. Equipment subject to standards listed under Category 1 requires independent approval by either ISED or a Certification Body (CB within Canada, or FCB outside Canada). Equipment subject to standards listed under Category 2 may be marketed after a self assessment by the manufacturer and appropriate marking. TUV SUD BABT have been appointed as a FCB by ISED and are authorised to approve equipment which is subject to an RSS standard found in the Category I Equipment Standards List. This may be found on the ISED Web site TUV SUD BABT is not currently appointed for products subject to BETS standards. Compliance must be demonstrated to applicable Canadian Standards. The product must be tested in an IC listed test lab and the resulting test report presented with accompanying information to either a FCB or to ISED itself. This guide explains the process wherein Approved Radio Equipment Listing may be obtained through TUV SUD BABT. New Technologies or Frequency Ranges Equipment using frequencies or modes outside the range of current standards or new Technologies requiring special test methods or relaxations from existing rules (Waivers) are outside the scope of all FCBs. Please contact us if you would like us to inquire with ISED regarding applications for approval of such equipment. Radio equipment imported only for demonstration or trial purposes does not require approval; however it may require a site licence. Please refer to ISED for advice on such equipment. 1.3 Definitions and Abbreviations Abbreviation FVIN HMN HVIN ISED PMN 2 Making an application 2.1 Types of Application Description Firmware Version Identification Number Host Marketing Name Hardware Version Identification Number. The Hardware Version Identification Number (HVIN) replaces the ISED Model Number in the previous RSP-100. Innovation, Science, and Economic Development, Canada [formerly Industry Canada] Product Marketing Name The following different types of application which may be made: Application for a Company Number Application for an original Radio Listing Application for a change to an Authorized product or details listed on the grant

6 Page 2 of 16 Details of each of these are included in subsequent sections. 2.2 Who to apply to The application is an order for TUV SUD BABT s certification services and should be made direct to your local TÜV SÜD office (find from: If you do not know your local office you may apply to the UK Office (details on the Application form) Formal Application We recommend that an application with a brief product description is made as soon as possible in the product verification process (i.e. during testing of the product). This will enable the Certification body to perform the required contract/order review and allocate a certificate project code. This applies to all types of applications 2.3 Who can apply Applications can be made by or on behalf of both manufacturers and suppliers of equipment. Optionally, the applicant may in addition authorise another party acting on behalf of the applicant in matters relating to the application. 3 Application for a Canadian Company Number Every company applying to Innovation, Science, and Economic Development requires a unique Company Number (CN). Since the Company Number forms a part of the Innovation, Science, and Economic Development Certification/Registration number which must be referenced on the product label it should be obtained in advance of the product registration application. There are 2 ways you may obtain a Company Number: Apply for the CN via your local TUV SUD office in advance of the first product application; or Obtain it directly from Innovation, Science, and Economic Development. Note: Only Innovation, Science, and Economic Development can allocate the number, no FCB has such authority. Company Number Innovation, Science, and Economic Development allocate a Company Number for each Company and company location; where a company has multiple locations the first 4 Digits remain the same and a new final two Alpha Characters are allocated for the additional location (First is A through Z then AA..AZ etc). The Company number associated with the product must reflect the number (including the Alpha part) of the location controlling the design and making the application

7 Page 3 of 16 Application Progress Flowchart of Application Progress Do you have an Industry Canada Company Number? No Obtain Company Code via BABT Yes BABT issue FCB Certificate Agree appropriate Type of Radio Equipment with BABT Has testing Occured? No BABT file Notification to Industry Canada Yes Is testing appropriate to Equipment type? Yes No Commission appropriate testing via TUV PS or other OATS listed lab Industry Canada add equipment to Approved Radio Equipment List Assemble required exhibits End Apply to BABT with exhibits in electronic format No BABT Review application and exhibits Satisfactory? Yes 4 Documentation Requirements for Certification An application for certification must include a number of documents. The following document or document groups are required: Application Form Test Report Cover sheet(s) Technical Documentation to accompany the application. The requirements for all these are described the following sections. 5 Application Form for Certification 5.1 Application Form BABT 756 You should use the TUV SUD BABT form 756 for making applications for Radio Equipment Approval. ISED Application Requirements RSP-100 defines the requirements for applications for ISED approval. Application form 756 and the supporting Test Report Cover Sheet when completed correctly meets these requirements. Additional Application Information: Refer to Exhibit 13 (Cover Letters) for additional information which may be required.

8 Page 4 of Section A: Administrative Information Applicant Information You should supply the Legal company name, address and contact details. Where the Address is not the same as that stored for the ISED Company number then the application should include a letter stating the relationship between the two addresses (Normally ISED require a separate Alpha suffix to the company number for each different location) Canadian Representative Details It is a requirement that you have a representative in Canada who ISED can request information and Market Surveillance samples. If the applicant is a Canadian company (per Section A of BABT756 application form), then a Canadian Representative is not required, since the applicant is based in Canada. Otherwise you must include a Letters from the Canadian representative accepting the responsibility with the each application. Example Letters are included in Annex B. The Canadian representative is required to have an ISED Company Number Other Contact Information Consultant /agent details (where you wish another party to be involved with this application) Manufacturer You must list the name of the company and location in which the final assembly of the product takes place. Please include Country Name, and International Phone code in the information. The manufacturer is required to have an ISED Company Number. 5.3 Section B: Your Certification Requirements Type of Certification Please specify which Type of Certification you require. Please refer also to ISED document RSP-100 for details of the individual types of Certification. Single New Certification: Where you have a single product (i.e. not a range of similar products) you should request a New Certification. Additionally where you are submitting the First product/hvin in a family in a separate application to others you should select this option Class II Permissive Change: Where you are making a Class II permissive change. Class 2 Changes are made for minor hardware modifications to a certified/registered product which affect the RF and/or Terminal characteristics without adding new frequency bands / technologies Note: Class I Permissive changes do not have to be advised to ISED Class III Permissive Change: Where you are making a Class III permissive change. Class 3 Changes are used for firmware changes affecting the RF or Terminal characteristics. New bands can be added if no HW changes Class IV Permissive Change: Where you are making a Class IV permissive change. Class IV Changes are used for module integration into hosts. Family Certification: Where you have a family of products which are nearly identical in design and construction then you may apply for family Certification. Each product must have a unique product number/hvin assigned. The following types of Family Certification may be requested New Family Certification Used for the first product for which certification is requested. Family to a Previous Certified Model Used to add additional products to an existing certification (whether the existing Certification was for a family or as a single certification). Multiple Listing (Brandname): You should select this option where you wish to list under your name and unique HVIN a certified radio equipment of an original equipment manufacturer. Note: Where the radio equipment is certified under a family certification you must confirm which family member(s) is/are being certified by you Related Regulatory Processes It is an ISED requirement that where a product is telecommunications terminal equipment the manufacturer must establish compliance to CS-03 and issue a Declaration of Conformity for the product. Where the product also includes a Radio Transmitter the manufacturer must not upload the D of C directly but must instead send it to the FCB (or ISED) to file in parallel with the Radio Approval Information.

9 Page 5 of 16 Please indicate whether your product is also telecommunications terminal equipment. If so please enclose the D of C with the application in the Exhibit 2 Attestations folder and do not up-load it directly to ISED. Note: ISED have an additional filing charge for a DoC. This additional charge will be included in the invoiced fee as TUV SUD are required to pay this at the time of filing 5.4 Section C: Product Details The following details are required: Product Marketing Name (PMN) and details You should supply the product marketing name under which the product will be marketed whether it is a final product or module. The product marketing name can be the same as the HVIN. These should match the names given on the product, in the User manual, and on the Test Report Cover sheet. If the Product Marketing Name is different please indicate this. PMN and HVIN can be the same for multiple products in family if FVIN is different (see modification of existing product) Hardware Version Identification Number (HVIN) You must provide details of the Hardware Version Number to be used. If there is no HVIN for to the RF hardware, then use the PMN or other existing identifier on the product/module. For Certain Products you must also provide the Firmware Version number. (see next section) Firmware Version Identification Number (FVIN) You must provide details of the Firmware Version Number to be used if available. IC is interested in the firmware number which affects the RF whether it s the overall product firmware or the radio firmware. FVIN must be provided when applicable. IC understands that some product don t need firmware management and manufacturer may never intend to change the firmware in a product and so firmware number is not tracked. In such case N/A can be entered as FVIN Brief description of the product This should be a brief description of the purpose and type of the product. For Multiple Listing applications the IC code of the original product should be listed under this section ISED Certification Number The Full ISED Certification Number comprises the Company Number which is allocated by ISED followed by the Unique Product Number. The Unique product number is allocated by the manufacturer and must be unique when used with the company code. It may be up to 8 characters long and may only include the Alpha-numeric Characters A-Z, and 0-9. No hyphens are allowed in the Unique product number Product Installation Category Please indicate the intended installation category for your application. This information is needed as different RF requirements apply according to Installation category Radio Modules Where you application is for a radio module to be used in host products please complete this section. Note additional requirements apply to Radio Modules. Where you only intend to install in certain hosts or types of host please indicate the host or type of host. For Limited Modular Approvals you must provide a list of the Hosts with their HMNs Number of Radiators/Transmitters For each transmitter to be approved under this IC code please list the type of radio (i.e. Bluetooth, RFID etc.); the ISED Type of Radio Equipment; the modulation types supported by that transmitter; Equipment Standards to which compliance will be shown; and the highest output power in Watts of that transmitter (where possible quote in conducted power, else please indicate if EIRP, ERP etc.). This is used to confirm the correct standards and configurations have been tested and submitted. Please ensure that each entry is completed in full as some entries are mandated in RSP-100 Appendix A.

10 Page 6 of 16 Use of Registered Trade names Where you wish to use a Registered Trade name associated with your product for which you are not the registered Name owner (e.g. Bluetooth ), you should ensure you have met all the criteria from the owner to make use of the Name. While TUV SUD BABT perform no independent check over your right to make use of the name we will revoke any Certificate where we are advised by a Trade name owner that you have infringed their conditions of use. Where you are submitting an Equipment Modification you must list ALL the transmitters in the product; however you must indicate which are the subject of the Modification request Features Please list any features which may have effect upon the regulated aspects Accessories Please list any accessories which may have effect upon the regulated aspects (e.g. Alternate Batteries, Headsets). 5.5 Section D: Summary and Agreement This must be completed by the applicant named in section A1 as this forms the contract between yourself and TUV SUD BABT. It furthermore includes certain statements required by ISED. Note: This may not be completed by an Agent unless accompanied by an appropriate authorisation letter and signed on your behalf. 6 Information on the Test Report Cover Sheet 6.1 General The application must be accompanied by one or more completed Test Report Cover Sheet/Performance Test Data sheets BABT Document BABT 758 is a pro forma Sheet which may be used for this purpose. Other equivalent sheets from Test Laboratories or applicants are also acceptable. For most applications a single page Test Report Cover sheet should be sufficient. However for multiple transmitter products, where OEM modules are being incorporated, or test data comes from more than one source, it may be more suitable to submit more than one sheet. Please take care to ensure the information is accurate as this document forms a major element in the notification to ISED following approval. 6.2 Product Information The following Product information shall be provided PMN: Product Marketing Name(s) This information must match the data on the product. For Family Certifications each PMN being included within the certification must be listed PMN can be the same as the HVIN, if the HVIN is also used for advertising of product to consumers ISED Company Number: The Applicants ISED Company Number HMN : Host Marketing Name: Only required for Limited Modular Approvals; else state n/a UPN: Unique Product Number HVIN : Hardware Version Identification Number All Used IC Test Lab Sites IC Company Number: This information must be provided for each different test report source. The ISED OATS registration ID used for the testing must be provided (Note: The alpha number may be replaced/supplemented by a numeric part where the Test Lab has (or had) more than one registered OATS facility. The details must match the information within the supporting Test Reports. FVIN: State if available, else state n/a SAR Test Lab Company Number o This information must be provided for each different SAR test report source. The ISED company number used for the SAR testing must be provided (Note: The alpha number may be replaced/supplemented by a numeric part where the Test Lab has (or had) more than one registered OATS facility. The details must match the information within the supporting Test Reports. Where SAR is not applicable, or no Company Number is available, state N/A.

11 Page 7 of Transmitter Details Radio Standard Specification, Issue number, and Issue Date This entry must list the full information for each Specification relevant to the product This information must represent the current standards applicable to the transmitters within the product Frequency Range This should include for each supported transmitter the reported range from the test report; this should match any declared range in the User Documentation. Note: where the signal is channelised, list the middle frequencies of the outside channels being used RF Power List the min and max output power for each transmitter. This relates to cases where equipment has different power setting levels. If the equipment supports multiple modulations list the powers for each modulation Field Strength State the highest Field Strength for each transmitter. If the equipment supports multiple modulations list the Field Strength for each modulation Measured Bandwidth State this for each Transmitter and Modulation Calculated Bandwidth State this for each Transmitter and Modulation Emission Designator Each relevant Emission Designator for each Transmitter and Modulation must be listed in full, Transmitter Spurious List the worst case for each transmitter and Modulation supported. 6.4 Attestation The Attestation must be signed by either the Applicant, or by a formally appointed Agent (Agent appointment letter is required). Please date the signature in dd/mmm/yyyy format (i.e. 23/Mar/2005 to avoid confusion between European and NA date conventions). 7 Information to accompany an application 7.1 General Please send all files electronically in Adobe Acrobat, PDF format with file size less than 3Mb. Due to the frequent commonality between applications for US and Canadian Approval the exhibit structure listed below uses the same numbering as for US applications with additional exhibit types for Canadian specific requirements. Please refer to the next section Correlation of required Information with type of Application for details of which exhibits are required for which types of application, and clarification of additional requirements. It is helpful if the number of files within a given Exhibit type is limited to the number necessary as each file reviewed has to be documented. For example please include photos (size permitting) in one file rather than supplying 6-8 individual files covering each face/pcb side, similarly Please supply a single File of all Schematics rather than separate files for each diagram 7.2 Exhibit 1: Label General You should provide a copy of the label (or labels), with information related to how and where it is fixed on the equipment. Where you use electronic labelling you should provide photographic evidence of the display of the labelling information. The label shall comply with the requirements of RSP-100. The Label/Display shall show: The IC Certification Number

12 Page 8 of 16 PMN { i.e. Product Marketing Name and HVIN (if different) } Where applicable FVIN In all cases, the PMN, FVIN, HVIN and ISED certification number text shall be clearly legible but are not required to be adjacent to each other. FVIN not required to be on external surface of device if displayed electronically For Family listings copies of each different label holding the information must be provided IC Number Format IC: XXXXXX-YYYYYYYYYYY where: The letters IC: indicate that this is an ISED s certification number, but they are not part of the certification number. XXXXXX-YYYYYYYYYYY is the ISED certification number. XXXXXX is the CN assigned by ISED Newly assigned CNs will be made up of five numeric characters (e.g ) whereas existing CNs may consist of up to five numeric characters followed by an alphabetic character (e.g. 21A or 15589J ). YYYYYYYYYYY is the Unique Product Number (UPN) assigned by the applicant, made up of a maximum of 11 alphanumeric characters. The CN and UPN are limited to capital alphabetic characters (A-Z) and numerals (0-9) only. The use of punctuation marks or other symbols, including wildcard characters, is not permitted 7.3 PMN (Product Marketing Name) This is the Product Marketing Name. 7.4 HVIN (Hardware Version Identification Number) This is the Hardware Version Identification Number. HVIN is not require to be right beside certification number on product label As long as it s displayed somewhere on the product external surface. 7.5 FVIN (Firmware Version Identification Number) When the FVIN is the only differentiation between different product versions (PMN and HVIN remain identical) listed in the REL within a family certification, the FVIN shall be displayed electronically or stored electronically and be easily retrievable. 7.6 Exhibit 2: Attestation Statement Where the product also supports one or more Telecommunications ports and is additionally Telecommunications Terminal Equipment then you should include the DoC in this exhibit. The DoC should include all the required wording as specified in Annex 1 of ISED document DC Exhibit 3: External Photos External photos are required for all original filings. External Photos Photographs should be provided for everything accessible to the customer (e.g. top, bottom, both sides, front and back). TUV SUD BABT advise that colour photographs are used. Where a digital camera is used we advise that the resolution be sufficient to view the results clearly. Finally due to uploading constraints we strongly recommend that both external and internal photographs are supplied in separate documents to each other and the test reports For Family Listings each external variation must be recorded in a photograph (e.g. 16 key product with a 9 key variant would need an additional front or top photo but may not need other additional photos). 7.8 Exhibit 4: Block Diagram For complex, or multiple transmitter products a top level Block Diagram should be provided Additionally for each transmitter a block diagram should be provided showing the signalling paths, frequency of oscillator, and any tuning ranges.

13 Page 9 of Exhibit 5: Schematics and Bill of Material (BOM) Schematics for each transmitter should be provided. A top level BOM, and a BOM for each should also be provided Exhibit 6: Technical Report The Technical Report must come from a test company listed with ISED. Please refer to RSS-Gen Clauses 3 and 4.1 for details of the requirements for Test Reports. Each test report should include Either a relevant ISED Certification Number Name and address of manufacturer and applicant Device PMN and HVIN Dated Measurements showing compliance with pertinent procedures Location of measurements Test Data signed by tester or person who supervised the tests Emission Designator for each different Modulation and frequency range supported by the device Details of the Gain and type of each Antenna tested with the device Standards identified Tested to applicable IC standards including a reference to current version and date of the Standard used List of test equipment and calibration dates Details of any non-standard test method used with a justification of validity Statement of power source for EUT (AC/DC Voltage AC frequency) Measurement facilities listed Calculations showing how results were converted Descriptions of peripherals or accessories connected or installed during test Where more than one variant is covered by the test report a clear statement of which variant was tested; and the applicability of the results to the other variants FCC and ISED Standards and test methods are largely aligned. Consequently test results obtained to appropriate FCC requirements may be used in support of applications for ISED approvals. Where the product was originally tested to FCC Standard at a laboratory which has registered its OATS facility with ISED then the test report to FCC standards may be submitted accompanied by either a supplementary Report, or a signed letter from an appropriate person within the test Laboratory detailing: A Reference to the appropriate ISED Standard including version and issue level Cross Reference Table covering all the applicable IC Standards requirements against the ISED Certification Number of the Product Any other IC requirements not sufficiently covered in the FCC report Exhibit 7: Test Set-up Photographs These must be supplied as appropriate but may be included within Test reports. Diagrams are permitted in place of photographs Exhibit 8: Users Manual/Product Literature A copy of the User Manual shall be provided. This should detail all accessories intended for use with the product. Furthermore it should, as applicable, contain the required notices detailed in the applicable RSS and ICES standards in both English and French. Examples include:- ICES-003: Section 8 License-exempt (unlicensed) equipment: RSS-GEN Section 8.3 & 8.4 RSS-102: RF Exposure/SAR safe usage/installation guidance if applicable Notices outlined in the particular RSS for the product Exceptionally where the user notifications are only available in one language (English or French) at the time of application the applicant shall provide a declaration in writing that the user notices and/or statements to the user of the product will be in both English and French when the product is for sale and/or lease in Canada Where required a copy of the installation and operating instructions must also be provided. Where this is in final draft this must be clearly identified and the final version must be supplied at a later date. This must contain some required wording and details of the intended use and installation rules.

14 Page 10 of Exhibit 8A: Sales Literature A copy (or draft) of the Sales Literature must be provided. This will be reviewed for accuracy with respect to the approved aspects of the product Exhibit 9: Internal Photographs Internal Photographs of the arrangement of PCBs and any antenna within the housing must be provided.for Family listings sufficient photos to cover each Family member must be provided. Internal photographs of both sides of each active PCB must be provided. These must be sufficiently clear to enable component values and identities to be seen. Refer to the note with Exhibit Exhibit 10: Tune up Information Where appropriate this shall contain the tune-up procedure over the power range or at specific operating levels Exhibit 11: RF Exposure/SAR All applications shall include two exhibits addressing RF exposure. The Application shall include a signed declaration of compliance to the requirements of RSS-102. For equipment where SAR/RF exposure evaluation has taken place the following wording must be used ATTESTATION: I attest that the information provided in the RF Technical Brief is correct; that a Technical Brief was prepared and the information it contains is correct; that the device evaluation was performed or supervised by me; that applicable measurement methods and evaluation methodologies have been followed and that the device meets the SAR and/or RF exposure limits of RSS-102. Signature: Date: NAME (Please print or type): TITLE (Please print or type): COMPANY (Please print or type): For equipment which is SAR/RF exempt the following wording must be used ATTESTATION: I attest that the information provided in the RF Exemption Letter is correct; that the device evaluation was performed or supervised by me; that applicable measurement methods and evaluation methodologies have been followed and that the device meets the SAR and/or RF exposure limits of RSS-102. Signature: Date: NAME (Please print or type): TITLE (Please print or type): COMPANY (Please print or type): The application shall also be accompanied by either: A complete RF Technical Brief cover sheet ( as required by RSS 102) ; A pro-forma RF Technical Brief cover sheet is available from the TUV SUD BABT web-site under Document number BABT 759. Where the transmitter is exempt from either SAR (Portable equipment) or RF exposure evaluation (Mobile equipment) according to RSS 102 clause 2.5 a signed letter from the applicant stating the particular exemption applicable to the transmitter; this shall include details of the transmitting frequencies, the highest measured output power, and the intended use ( General public or occupational). Note: There is no requirement to send a SAR or RF report to TUV SUD BABT. Where received we do not review these as the declaration is the responsibility of the applicant. Applications for Fixed locations shall either follow the above requirements or be individually licensed refer to TUV SUD BABT or ISED where the individual licensing route is applicable Exhibit 12: Operating Description Refer RSS 102 for full details of RF exposure requirements Where applicable you should provide a brief description of the circuit functions along with a statement describing how the device operates.

15 Page 11 of Exhibit 12A: Antenna Details You should provide details of all Antennas intended for use with the Equipment. The information shall include the Antenna identity (e.g. Manufacturer part number/ commercial identity), the Antenna type and the highest Gain (over the applicable frequencies). Photographs should be provided showing the visible construction of all antennas included within the certification, and the placement of the antenna [either within the device or external to it]. Note these photos may be supplied either a part of this exhibit or the External or Internal photos {as appropriate} For Family Listings with internal Antenna photographs of each differing internal arrangement shall be provided Exhibit 13: Cover Letters These letters must be on company headed paper (or an Agents Company Headed paper where an agent is appointed) and shall be addressed to TUV SUD BABT FCB. This exhibit only applies where appropriate. Letters with the following information should be considered: Agent letter: Where you have identified an agent (Consultant) who you wish to be involved with the application you must provide a letter of authorisation on company headed paper (or equivalent). {Note: To permit TUV SUD BABT to interface with your agent you must also identify this person in the TUV SUD BABT application form. Confidentiality Letter: Where you have identified in your application that you wish certain aspects of your application to be treated with confidentiality you will need to provide a description of the relevant parts with a justification for the confidentiality. This letter must be on company headed paper (or an Agents Company Headed paper where an agent is appointed). Permit to Publish Letter: Where you invoke confidentiality you must also permit the FCB to publish details of the product with ISED and may be combined with the Confidentiality Letter into a single document. Proformas of the above letters are included in this document in Annex B Module Manufacturers Permit to use Results Letter: Where you are including test data obtained by another company (e.g. where you are integrating another manufacturer s Radio Module into this equipment) you should include a letter from that company permitting use of those test results. This letter must be on the OEM company headed paper. Representative in Canada responsibility letter: It must be on the appropriate paper and signed by an appropriate person within the company of the representative. The Letter ( including any headers and footers must include : Company Name, Address,, Post/Zip Code, and phone and contact details), and where possible should list the ISED Company Number for the Representative Product Relationship Letter(s): o o o o Where testing has taken place on a product with a different name (e.g. A prototype name), IC number, or only under the FCC number then you should include a letter detailing the relationship of the tested product to the product name under which approval is being sought. This must include either a brief statement of the technical differences between the products or a statement that there are no differences. Where you are including test data obtained by another company you should include a letter from that company permitting use of their results to obtain your approval. For Family listings you should include a letter defining the relationship between each of the products requiring listings. This should include details of each PMN and brief details of the differences from the most fully configured product. Where you are including an already approved Radio Module into your product then a statement related to whether it has been modified, or used outside the original installation intent Products with multiple transmitters Where a product has more than one transmitter in the product then you must make a statement of which transmitters can transmit at the same time, and how the mechanism to inhibit simultaneous transmission operates Controlled Exposure: Where the Controlled use option is made for RF exposure then you should include a justification on why this applies and how it will be ensured

16 A Guide to applying for Canadian Radio Equipment Certification through BABT Page 12 of 16 Technical Descriptions: This could be used to clarification functionality to justify why tests do not apply, or otherwise assist the evaluation. You may submit any other letters which assist with the evaluation. 8 Correlation Of required information with type of application 8.1 General The above list of types of exhibit is not always required for all types of application. The following clarifies the required exhibits and some additional ones dependent upon the type of application. RSP-100 specifies most of the exhibits required for each type of application, TUV SUD BABT specify a few to clarify the evaluation. 8.2 Single New Certification For a single Application all the exhibits listed in the previous section are required plus the TUV SUD BABT Application and the Test Report Cover sheet. 8.3 New Family Certification For a New family all the exhibits required for a Single Application are required with the following additions/modifications All the HVINs and PMNs must be listed in the Application form (BABT 756) and Test Report Cover sheet (BABT 758); Where any difference between product versions is external then External photos of each product Where any difference between product versions is internal then internal photos covering all products Cover Letter describing the differences between the product versions with particular emphasis differences which could affect the regulated characteristics; Labels for each product version Where appropriate, testing covering each product version (e.g. Spurious Emissions). 8.4 Add New Product to Existing Certification The following exhibits are required A cover letter with the following o Details of the new PMNs; o Reference to the current family IC number; o Description of the differences between the new PMN(s) and the existing approved PMNs with particular emphasis on The radio frequency and RF output power The radio frequency circuitry The functional characteristics (insomuch as the effect regulated characteristics) o A Brief statement as to why the new product should qualify for family approval A completed BABT Application form (BABT 756) A completed Test Report Cover Sheet (BABT 758) Exhibit 1: Labels for the new product(s) Where there are external differences between approved PMN and the additional PMN(s) then full Exhibit 3: External Photos for the new PMNs Where the differences potentially affect any of the regulated characteristics then an Exhibit 6 test Report covering the appropriate testing Exhibits 8 (User Manual) and 8a (Sales Literature) where the introduction of the new PMN requires upissue of these documents [Note If the RF performance (e.g. SAR) or separation rules adversely change to those listed in the previous user manual then an up issued manual must be provided] Where there are internal differences between approved PMNs and the additional PMN(s) then full Exhibit 9: Internal Photos Exhibit 11 RF Exposure: Both the Declaration and RF Technical brief [BABT 759] ) should be completed (as appropriate) for the new PMN(s) Other Cover Letters o All the normal Cover letters (e.g. Agent letters and Confidentiality requests) should be included where required. TUV SUD BABT are unable to carry over any of these from original applications Where Original Approval was progressed by another FCB or by IC Where the original approval was progressed through a different FCB or through ISED the following exhibits should be enclosed:

17 A Guide to applying for Canadian Radio Equipment Certification through BABT Page 13 of 16 A copy of the Original (or latest) Approval Certificate for the product Additionally, TUV SUD BABT may request copies of appropriate exhibits from the original (or latest) completed approval application. You may either: Judge what is appropriate and enclose them with your application to TUV SUD BABT; or Discuss and agree the required list with TUV SUD BABT in advance of your TUV SUD BABT Application; or Submit the normal documentation and await any requests for further documentation. 8.5 Multiple Listing (Brandname) The following Exhibits are required: OEM Manufacturers Permit to use Results Letter: You should include a letter from that company including o The original IC certification number and PMN(s) included in this permission. o A statement permitting use of their test results o A statement that the supplied product will not differ from their product o The letter must be on the OEM company headed paper. A completed BABT Application form (BABT 756) A completed Test Report Cover Sheet (BABT 758) Exhibit 1: Label for the new PMN(s) Exhibits 8 (User Manual) Exhibit 11 RF Exposure : Both the Declaration and RF Technical brief [BABT 759] should be completed (as appropriate) for the new PMN(s) 8.6 Class II, III, and IV Permissive Changes (Modification) For details of these please refer the section Modifications and additions to Product Certification 9 Certificates and Records Certificates are issued in the name of the Applicant Company which is thereafter referred to as the holder. Certificates also include the address of the holder (or an alternate address where identified within the application), data necessary for identification of the product, the reference to the technical data presented to TUV SUD BABT and any conditions for its validity. TUV SUD BABT maintain records of all the details on a certificate; of each submission and the resulting evaluation for 10 years after the last significant file activity. You shall maintain a record of all complaints and remedial actions relative to the Certified Product. These shall be made available to TUV SUD BABT on request. TUV SUD BABT will forward complaints about certified clients within an appropriate period of time to the certified clients in question. 10 Market Surveillance 10.1 Introduction TUV SUD BABT are required to undertake Market surveillance on products for which we have recommended an Approval TUV SUD BABT are required to review the number of products with single new certifications and new family certifications and select 5% of them for surveillance. Different product versions of equipment covered under a unique IC certification number are counted as a single product. 1% of the products subject to SAR evaluation shall be selected for SAR Audit. They may be included in the overall sample Process Selection Several times a year TUV SUD BABT identifies products which will be subject to the Market Surveillance. The selection is made taking into consideration the obligations placed up us as an FCB and the selection criteria defined by ISED. TUV SUD BABT will then define the required documentation, and testing which will be required as a part of the Market

18 Page 14 of 16 Where your product has been selected you will be advised by the TUV SUD Office who processed your application for certification. Note: The nature of the selection is such that while we wish to be fair in our selection criteria we cannot guarantee that you will not be required to provide more than one set of samples in a year, or over consecutive years Action by Client and Testing Laboratory You will be required to send a sample of the product for the defined testing at either the original Test Laboratory where it was tested or at another Test Laboratory accredited for those tests. This must be a production sample and NOT any of the sample used for the type testing. If requested you are required to provide a test sample, even if the product has ceased production at the time of the request. ISED take measures against companies who either do not provide a requested sample, or otherwise fail to meet the obligations. The Test Laboratory shall also be required to take photographs of the marking, external features and all PCB Boards within the product. On receipt of the Test Report with photos you should send them to the local office who requested the tests Action by Local Office The Local Office will then commission a suitably qualified Engineer to compare the results with those obtained in r the original product tests. The results of this comparison will be advised to the TUV SUD BABT CB, and yourselves. Where there are no concerns this will complete the activity by yourselves.. If there are any concerns you will be requested to respond to them. The results and any response will be forwarded to ISED as a part of our Annual response Timeframes We have to make our responses to ISED in a timely manner. As such we will be requiring you to meet certain response times. If you are unable to meet these you must advise us with a clear justification. 11 Modification and additions to Product Certification 11.1 Introduction RSP-100 Clause 6 deals with changes to certified equipment. The following summarises the actions to be taken. Clause 5 covers the various types of Certification Class 1 Permissive Changes Class 1 Permissive Change qualification criteria:- Hardware modifications and/or firmware/software modifications which do not change the fundamental RF characteristics and do not degrade the unwanted emissions of the product. The modifications do not change external or internal mechanical characteristics significantly enough to require new photographs to identify the modified product. Class I modifications do not require notification to ISED unless HVIN or PMN are modified. However, for the Class I modifications, the certificate holder must ensure that the product continues to remain compliant as per the original attestation of RSS-102 on file with IC No filing is required for such changes Class 2 Permissive changes (C2PC) Introduction Class 2 Permissive Changes are changes made, for which the device is outside the scope of a C1PC, but still complies with IC requirements. Class 2 Permissive Change qualification criteria:- Hardware modifications to the certified product that do affect fundamental RF characteristics and/or do degrade the unwanted emissions of the product.