§ 2.1043   Changes in certificated equipment.

   (a) Except as provided in paragraph (b)(3) of this section, changes to the
   basic frequency determining and stabilizing circuitry (including clock or
   data rates), frequency multiplication stages, basic modulator circuit or
   maximum power or field strength ratings shall not be performed without
   application  for  and  authorization  of a new grant of certification.
   Variations  in electrical or mechanical construction, other than these
   indicated items, are permitted provided the variations either do not affect
   the  characteristics  required to be reported to the Commission or the
   variations are made in compliance with the other provisions of this section.
   Changes to the software installed in a transmitter that do not affect the
   radio frequency emissions do not require any additional filings and may be
   made by parties other than the holder of the grant of certification.

   (b)  Three  classes  of permissive changes may be made in certificated
   equipment  without  requiring  a  new  application  for  and  grant of
   certification. None of the classes of changes shall result in a change in
   identification.

   (1)  A  Class  I permissive change includes those modifications in the
   equipment  which  do  not  degrade the characteristics reported by the
   manufacturer and accepted by the Commission when certification is granted.
   No filing is required for a Class I permissive change.

   (2) A Class II permissive change includes those modifications which degrade
   the performance characteristics as reported to the Commission at the time of
   the initial certification. Such degraded performance must still meet the
   minimum requirements of the applicable rules. When a Class II permissive
   change  is  made  by  the  grantee, the grantee shall provide complete
   information and the results of tests of the characteristics affected by such
   change. The modified equipment shall not be marketed under the existing
   grant  of  certification  prior  to acknowledgement that the change is
   acceptable.

   (3) A Class III permissive change includes modifications to the software of
   a  software defined radio transmitter that change the frequency range,
   modulation type or maximum output power (either radiated or conducted)
   outside the parameters previously approved, or that change the circumstances
   under which the transmitter operates in accordance with Commission rules.
   When a Class III permissive change is made, the grantee shall provide a
   description of the changes and test results showing that the equipment
   complies with the applicable rules with the new software loaded, including
   compliance  with the applicable RF exposure requirements. The modified
   software shall not be loaded into the equipment, and the equipment shall not
   be  marketed  with  the  modified software under the existing grant of
   certification, prior to acknowledgement that the change is acceptable. Class
   III changes are permitted only for equipment in which no Class II changes
   have been made from the originally approved device.

   Note to paragraph (b)(3): Any software change that degrades spurious and
   out-of-band  emissions  previously  reported  at  the  time of initial
   certification would be considered a change in frequency or modulation and
   would require a Class III permissive change or new equipment authorization
   application.

   (4) Class I and Class II permissive changes may only be made by the holder
   of the grant of certification, except as specified.

   (c) A grantee desiring to make a change other than a permissive change shall
   file  a  new application for certification accompanied by the required
   information as specified in this part and shall not market the modified
   device until the grant of certification has been issued. The grantee shall
   attach a description of the change(s) to be made and a statement indicating
   whether  the  change(s)  will be made in all units (including previous
   production) or will be made only in those units produced after the change is
   authorized.

   (d) A modification which results in a change in the identification of a
   device with or without change in circuitry requires a new application for,
   and  grant of certification. If the changes affect the characteristics
   required to be reported, a complete application shall be filed. If the
   characteristics required to be reported are not changed the abbreviated
   procedure of § 2.933 may be used.

   (e) Equipment that has been certificated or formerly type accepted for use
   in the Amateur Radio Service pursuant to the requirements of part 97 of this
   chapter  may be modified without regard to the conditions specified in
   paragraph (b) of this section, provided the following conditions are met:

   (1) Any person performing such modifications on equipment used under part 97
   of this chapter must possess a valid amateur radio operator license of the
   class required for the use of the equipment being modified.

   (2) Modifications made pursuant to this paragraph are limited to equipment
   used at licensed amateur radio stations.

   (3) Modifications specified or performed by equipment manufacturers or
   suppliers must be in accordance with the requirements set forth in paragraph
   (b) of this section.

   (4) Modifications specified or performed by licensees in the Amateur Radio
   Service on equipment other than that at specific licensed amateur radio
   stations must be in accordance with the requirements set forth in paragraph
   (b) of this section.

   (5) The station licensee shall be responsible for ensuring that modified
   equipment used at his station will comply with the applicable technical
   standards in part 97 of this chapter.

   (f) For equipment other than that operating under parts 15 or 18 of this
   chapter, when a Class II permissive change is made by other than the grantee
   of certification, the information and data specified in paragraph (b)(2) of
   this section shall be supplied by the person making the change. The modified
   equipment  shall  not  be  operated  under  an  authorization prior to
   acknowledgement that the change is acceptable.

   (g) The interconnection of a certificated or formerly type accepted AM
   broadcast stereophonic exciter-generator with a certificated or formerly
   type accepted AM broadcast transmitter in accordance with the manufacturer's
   instructions and upon completion of measurements showing that the modified
   transmitter meets the emission limitation requirements of § 73.44 is defined
   as a Class I permissive change for compliance with this section.

   (h) The interconnection of a multiplexing exciter with a certificated or
   formerly type accepted AM broadcast transmitter in accordance with the
   manufacturer's instructions without electrical or mechanical modification of
   the  transmitter  circuits  and  completion  of  equipment performance
   measurements  showing  the  transmitter  meets the minimum performance
   requirements applicable thereto is defined as a Class I permissive change
   for compliance with this section.

   (i) The addition of TV broadcast subcarrier generators to a certificated or
   formerly  type accepted TV broadcast transmitter or the addition of FM
   broadcast subcarrier generators to a type accepted FM broadcast transmitter,
   provided  the transmitter exciter is designed for subcarrier operation
   without  mechanical  or electrical alterations to the exciter or other
   transmitter circuits.

   (j) The addition of TV broadcast stereophonic generators to a certificated
   or formerly type accepted TV broadcast transmitter or the addition of FM
   broadcast  stereophonic  generators to a certificated or formerly type
   accepted FM broadcast transmitter, provided the transmitter exciter is
   designed for stereophonic sound operation without mechanical or electrical
   alterations to the exciter or other transmitter circuits.

   (k) The addition of subscription TV encoding equipment for which the FCC has
   granted advance approval under the provisions of § 2.1400 in subpart M and
   § 73.644(c)  of  part  73  to  a certificated or formerly type accepted
   transmitter is considered a Class I permissive change.

   (l) Notwithstanding the provisions of this section, broadcast licensees or
   permittees are permitted to modify certificated or formerly type accepted
   equipment pursuant to § 73.1690 of the FCC's rules.

   [ 63 FR 36600 , July 7, 1998, as amended at  66 FR 50840 , Oct. 5, 2001;  70 FR 23040 , May 4, 2005;  80 FR 33446 , June 12, 2015]

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