[Federal Register Volume 89, Number 146 (Tuesday, July 30, 2024)]
[Rules and Regulations]
[Pages 61242-61279]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-14148]
[[Page 61241]]
Vol. 89
Tuesday,
No. 146
July 30, 2024
Part II
Federal Communications Commission
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47 CFR Subchapter A
Cybersecurity Labeling for Internet of Things; Final Rule
Federal Register / Vol. 89 , No. 146 / Tuesday, July 30, 2024 / Rules
and Regulations
[[Page 61242]]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Subchapter A
[PSHSB: PS Docket No. 23-239; FR ID 210726]
Cybersecurity Labeling for Internet of Things
AGENCY: Federal Communications Commission.
ACTION: Final rule.
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SUMMARY: In this document, the Federal Communications Commission
(Commission or FCC) establishes a voluntary cybersecurity labeling
program for wireless consumer Internet of Things, or IoT, products. The
program will provide consumers with an easy-to-understand and quickly
recognizable FCC IoT Label that includes the U.S. Cyber Trust Mark and
a QR code linked to a dynamic, decentralized, publicly available
registry of more detailed cybersecurity information. This program will
help consumers make safer purchasing decisions, raise consumer
confidence regarding the cybersecurity of the IoT products they buy,
and encourage manufacturers to develop IoT products with security-by-
design principles in mind.
DATES:
Effective date: This rule is effective August 29, 2024.
Incorporation by reference: The incorporation by reference of
certain material listed in the rule is approved by the Director of the
Federal Register as of August 29, 2024.
Compliance date: Compliance with 47 CFR 8.208, 8.209, 8.212, 8.214,
8.215, 8.217, 8.218, 8.219, 8.220, 8.221, and 8.222 will not be
required until the Office of Management and Budget has completed review
under the Paperwork Reduction Act. The Commission will publish a
document in the Federal Register announcing that compliance date.
FOR FURTHER INFORMATION CONTACT: Zoe Li, Cybersecurity and
Communications Reliability Division, Public Safety and Homeland
Security Bureau, (202) 418-2490, or by email to [email protected].
For additional information concerning the Paperwork Reduction Act
information collection requirements contained in this document, contact
Nicole Ongele, Office of Managing Director, Performance and Program
Management, 202-418-2991, or by email to [email protected].
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report
and Order, PS Docket No. 23-239, adopted March 14, 2024, and released
March 15, 2024. The full text of this document is available by
downloading the text from the Commission's website at: https://docs.fcc.gov/public/attachments/FCC-24-26A1.pdf. When the FCC
Headquarters reopens to the public, the full text of this document will
also be available for public inspection and copying during regular
business hours in the FCC Reference Center, 45 L Street NE, Washington,
DC 20554. To request this document in accessible formats for people
with disabilities (e.g., Braille, large print, electronica files, audio
format, etc.) or to request reasonable accommodations (e.g., accessible
format documents, sign language interpreters, CART, etc.), send an
email to [email protected] or call the FCC's Consumer and Government
Affairs Bureau at (202) 418-0530 (voice), (202) 418-0432 (TTY).
Congressional Review Act: The Commission has determined, and the
Administrator of the Office of Information and Regulatory Affairs,
Office of Management and Budget, concurs, that this rule is non-major
under the Congressional Review Act, 5 U.S.C. 804(2). The Commission
will send a copy of the Order to Congress and the Government
Accountability Office pursuant to 5 U.S.C. 801(a)(1)(A).
Synopsis
1. With the Report and Order (Order), the Commission takes prompt
and decisive measures to strengthen the nation's cybersecurity posture
by adopting a voluntary cybersecurity labeling program for wireless IoT
products. The Commission's IoT Labeling Program will provide consumers
with an easy-to-understand and quickly recognizable FCC IoT Label that
includes the U.S. Government certification mark (referred to as the
U.S. Cyber Trust Mark) that provides assurances regarding the baseline
cybersecurity of an IoT product, together with a QR code that directs
consumers to a registry with specific information about the product.
Consumers who purchase an IoT product that bears the FCC IoT Label can
be assured that their product meets the minimum cybersecurity standards
of the IoT Labeling Program, which in turn will strengthen the chain of
connected IoT products in their own homes and as part of a larger
national IoT ecosystem. The Order will help consumers make better
purchasing decisions, raise consumer confidence with regard to the
cybersecurity of the IoT products they buy to use in their homes and
their lives, and encourage manufacturers of IoT products to develop
products with security-by-design principles in mind.
2. In the Order, we set forth the framework by which the IoT
Labeling Program will operate. We focus the IoT Labeling Program
initially on IoT ``products,'' which we define to include one or more
IoT devices and additional product components necessary to use the IoT
device beyond basic operational features. Recognizing that a successful
voluntary IoT Labeling Program will require close partnership and
collaboration between industry, the Federal Government, and other
stakeholders, we adopt an administrative framework for the IoT Labeling
Program that capitalizes on the existing public, private, and academic
sector work in this space, while ensuring the integrity of the IoT
Labeling Program through oversight by the Commission.
3. Voluntary IoT Labeling Program. We establish a voluntary IoT
Labeling Program for wireless consumer IoT products. While
participation is voluntary, those that choose to participate must
comply with the requirements of the IoT Labeling Program to receive
authority to utilize the FCC IoT Label bearing the Cyber Trust Mark.
The IoT Labeling Notice of Proposed Rulemaking (NPRM), 88 FR 58211
(August 25, 2023), sought comment on whether the proposed IoT Labeling
Program should be voluntary, reasoning that ``success of a
cybersecurity labeling program will be dependent upon a willing, close
partnership and collaboration between the federal government, industry,
and other stakeholders.'' The record shows substantial support for a
voluntary approach. The Custom Electronic Design & Installation
Association (CEDIA) suggests that IoT Labeling Program must be
voluntary ``for the program to gain momentum in the marketplace.'' AIM,
Inc. (AIM) suggests that the voluntary aspect of the IoT Labeling
Program ``will help drive adoption of the label by device producers.''
Further, commenters suggest that a voluntary program will ensure the
broadest reach, most efficiency, and widest access to a diversity of
IoT technologies. We agree that a voluntary program will help drive
adoption of the IoT Labeling Program, so that a willing, close
partnership can be achieved. We also agree with the record that
flexible, voluntary, risk-based best practices are the hallmarks of IoT
security as it exists today and as it is being developed around the
world. Additionally, we acknowledge the view that ``consumer labeling
is a difficult undertaking in any context,'' especially
[[Page 61243]]
in the evolving area of cybersecurity, and that the ``best approach is
to start the Program with something achievable and effective.'' We
concur that willing participation will allow the IoT Labeling Program
to be more easily achievable than requiring participation in a novel
program. With the added imprimatur of a U.S. Government certification
mark, the IoT Labeling Program will help distinguish products in the
marketplace that meet minimum requirements and provide options to
consumers.
4. We reject arguments that mandating participation in the IoT
Labeling Program is necessary. While we recognize that a voluntary IoT
Labeling Program may cause concern that smaller businesses with limited
resources may choose not to participate, we believe the strong
stakeholder engagement and collaboration that we expect to result from
willing participation, and which is vital to establishing this new
program, outweighs these risks. Further, while we acknowledge that, at
least in the near term, allowing the IoT Labeling Program to be
voluntary ``could limit its adoption and impact,'' we believe this risk
is outweighed by the benefits that a voluntary program will garner,
such as speed to market to hasten impact, efficiency of resources, and
the likelihood that consumer demand will drive widespread adoption over
time.
5. In adopting the IoT Labeling Program with the parameters
discussed in the Order, we are establishing a collaborative effort
between the Federal Government and relevant stakeholders in industry
and the private sector. We emphasize that the Order is intended to
provide the high-level programmatic structure that is reasonably
necessary to establish the IoT Labeling Program and create the
requirements necessary for oversight by the Commission, while
leveraging the extensive work, labeling schemes, processes and
relationships that have already been developed in the private sector.
We also note that there is further development to be done by the
private sector and other Federal agencies to implement the IoT Labeling
Program and, as discussed below, expects many of the details not
expressly addressed in the Order will be resolved through these
separate efforts and by the authorities the Commission delegates to the
Public Safety and Homeland Security Bureau (PSHSB or the Bureau).
A. Eligible Devices or Products
6. The Order initially establishes the IoT Labeling Program for
wireless consumer IoT products. We do not, however, foreclose the
possibility of expanding the IoT Labeling Program in the future.
7. The record supports adopting an IoT Labeling Program that
encompasses consumer-focused IoT products. We focus our IoT Labeling
Program initially on consumer IoT products, rather than enterprise or
industrial IoT products. Because medical devices regulated by the U.S.
Food and Drug Administration (FDA) already are subject to statutory and
regulatory cybersecurity requirements under other Federal laws more
specifically focused on such devices, we do not include such devices in
our IoT Labeling Program. In addition, we exclude from this program
motor vehicles \1\ and motor vehicle equipment (as defined in 49 U.S.C.
30102(8) given that the National Highway Traffic Safety Administration
(NHTSA) ``has the authority to promulgate motor vehicle safety
regulations on cybersecurity and has enforcement authority to secure
recalls of motor vehicles and motor vehicle equipment with a safety-
related defect, including one involving cybersecurity flaws.'' We also
exclude from our IoT Labeling program any communications equipment on
the Covered List that the Commission maintains pursuant to the Secure
and Trusted Communications Networks Act and equipment produced by
certain other entities as discussed below. Finally, our initial IoT
Labeling Program will focus on wireless consumer IoT devices consistent
with the core of our section 302 authority governing the interference
potential of devices that emit radio frequency energy--and thus we
exclude wired IoT devices at this time.
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\1\ Motor Vehicle ``means a vehicle driven or drawn by
mechanical power and manufactured primarily for use on public
streets, roads, and highways, but does not include a vehicle
operated only on a rail line.'' 49 U.S.C. 30102(7).
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8. Definition of IoT Devices. Although we focus our IoT Labeling
program on IoT ``products,'' to lay a foundation we must first address
the definition of IoT ``devices'' because this definition is a building
block of the IoT ``product'' definition. In this respect, we adopt the
modified version of the National Institute of Standards and Technology
(NIST) definition of ``IoT device'' that the Commission proposed in the
IoT Labeling NPRM. Specifically, the IoT Labeling NPRM proposed
defining an IoT device to include (1) an internet-connected device
capable of intentionally emitting radio frequency (RF) energy that has
at least one transducer (sensor or actuator) for interacting directly
with the physical world, coupled with (2) at least one network
interface (e.g., Wi-Fi, Bluetooth) for interfacing with the digital
world. This definition builds on NIST's definition by adding
``internet-connected'' as a requirement, because ``a key component of
IoT is the usage of standard internet protocols for functionality.''
The modified definition adopted in the Order also adds that a device
must be ``capable of intentionally emitting RF energy,'' because
aspects of the Commission's authority recognizes the particular risks
of harmful interference associated with such devices. It should be
noted that we direct the Label Administrator to collaborate with
Cybersecurity Label Administrators (CLAs) and other stakeholders (e.g.,
cyber experts from industry, government, and academia) as appropriate
and recommend within 45 days of publication of updates or changes to
NIST guidelines, or adoption by NIST of new guidelines, to the FCC any
appropriate modifications to the Labeling Program standards and testing
procedures to stay aligned with the NIST guidelines.
9. The record supports this reasoning. For example, Consumer
Reports states that ``[i]f you're going to sell a device where some of
the benefits come from having a cloud connection, an app, and
connectivity, then those must also be secured.'' Consumer Reports
provides further support for the Commission's reasoning by noting that
``connectivity may be so central to the functionality of the device
that it may no longer be able to operate safely [without it].'' TIC
Council Americas similarly ``agrees that `internet-connected' should be
included in the definition of IoT devices.'' We agree with these
arguments and adopt the modified IoT device definition requiring
``internet-connected'' device element to assure consumers that the
functionality of the IoT device or product displaying the Cyber Trust
Mark is reasonably secure as well. As noted by ioXt Alliance, including
``internet-connected'' in the definition of IoT makes ``sense if the
program focuses on IoT products instead of devices because not all IoT
devices are `internet-connected.' '' Because the IoT Labeling Program
will be focused on the broader category of IoT consumer products and
not devices, including ``internet-connected'' in the definition of IoT
device is further justified.
10. We disagree with commenters who argue the Commission should
adopt the NIST definition of a device without change. We acknowledge
that the record indicates some concern regarding the internet-connected
element of the Commission's proposed definition; however, we find these
concerns to be misplaced. TIC Council
[[Page 61244]]
Americas, for example, supports adding ``internet-connected'' to the
definition, but argues that ``there are devices that are able to
connect to non-internet connected networks, and that those devices
should not be excluded from the program.'' While we do not foreclose
the possibility of expanding the IoT Labeling Program to devices on
non-internet connected networks in the future, we focus initially on
the more common category of internet-connected consumer IoT products.
Others argue that ``internet-connected'' is too ``situational,'' with a
concern that the device might become ``disconnected from the internet
and, therefore, no longer be an `IoT device.' '' We do not agree that
``internet-connected device'' must be interpreted so narrowly as to
exclude from the IoT Labeling Program devices that may become
disconnected from the internet. ``internet-connected,'' in terms of the
IoT Labeling Program, applies to the functional capability of the
device; if the device is capable of being connected to the internet,
the fact that it may not be connected at any given point in time does
not exclude its eligibility for participation in the IoT Labeling
Program. Further, any potential concerns arising from requiring an IoT
device be ``internet-connected'' for inclusion in the IoT Labeling
Program are outweighed by the benefit of giving consumers further
assurance that the security of their IoT device or product extends to
the connected functionality that a consumer expects when making such a
purchase. In this respect, including ``internet-connected'' in the
definition of IoT device also recognizes the highest risk functional
component of an IoT device that distinguishes ``smart'' devices from
other devices a consumer may use, and allows the Cyber Trust Mark to
more effectively support consumer expectations.
11. The record also supports adding an RF energy-emitting element
to the IoT device definition, acknowledging the Commission's authority
under section 302 governing the interference potential of devices that
emit RF energy and can cause harmful interference to radio
communications. We reject the argument that limiting the definition to
RF-emitting devices may lead to marketplace confusion if a product does
not bear the Cyber Trust Mark due solely to its lack of RF energy
emissions. In the first instance, we note the need to launch an
achievable IoT Labeling Program consistent with the Commission's core
authority. We also note that the benefits that a focus on wireless
products will have in elevating the overall cybersecurity posture of
the IoT ecosystem, especially in view of the record indicating that the
majority of IoT devices are wireless, outweigh the risks associated
with concerns regarding marketplace confusion. In any case, there will
be a number of products--both wired and wireless--that do not bear the
Cyber Trust Mark while uptake occurs. We also anticipate that consumer
education in this space will help alleviate these concerns.
12. We further disagree with the view that the capability of a
device to emit RF radiation is ``unrelated to the general, far-ranging
cybersecurity concerns the Commission is confronting in this
proceeding.'' Instead, we agree with Comcast that interference caused
by a [distributed denial of service] attack raises ``the same policy
concerns and has the same practical effect as interference caused by
traditional means.'' The Electronic Privacy Information Center (EPIC)
explains how hackers exploit unpatched vulnerabilities to attack a
large number of wireless devices, and turning them into signal jammers
to take down mobile networks. The record thus bears out our view that
cybersecurity vulnerabilities in wireless IoT devices could cause
harmful interference to radio communications. Given Congress' direction
to the Commission in section 302 of the Act to guard against the
interference potential of wireless devices, requiring the element of
``emitting RF energy interference'' in the IoT device definition for
the initial iteration of the IoT Labeling Program focuses on that core
Commission authority without ruling out future action regarding wired
IoT devices. Further, while we acknowledge that devices that
unintentionally or incidentally emit RF radiation may also pose
interference potential, we find that a focus initially on
``intentional'' radiators provides the ability of a nascent program to
target products with the highest risk profile from among those that
emit RF energy.
13. Definition of IoT Products. We adopt the NIST definition of an
``IoT product.'' Specifically, the IoT Labeling NPRM's proposed
definition of IoT product is an ``IoT device and any additional product
components (e.g., backend, gateway, mobile app) that are necessary to
use the IoT device beyond basic operational features.'' The record
supports adopting the IoT product definition developed by NIST, with
Garmin International, Inc. (Garmin) noting that a fundamental purpose
of the IoT Labeling Program ``is to inform consumers regarding device
security as they evaluate potential IoT purchases. . . . [T]his purpose
is best achieved by focusing on `consumer IoT products' as defined by
NIST in NISTIR 8425.'' Additionally, Kaiser Permanente states that
adopting the NIST definition of IoT products will ``promote consistency
across federal agency programs and related industry norms and
requirements.'' Further, the Information Technology Industry Council
(ITI) explained that the ``Commission's implementation of the program
will be more successful if it aligns as closely as possible to the
definitions, processes and procedures already outlined by NIST.'' We
agree with these commenters, in that adopting NIST's IoT product
definition will allow for consistency in the treatment of programmatic
elements across the Federal Government, and allow the Commission to
appropriately leverage the work existing in this space to promote the
IoT Labeling Program's success. We also note that no commenters opposed
the NIST definition of IoT products. For purposes of the IoT Labeling
Program, when discussing IoT products and their ``components'' in the
Order, we are using the NISTIR 8425 scoping definition of
``components.'' We believe that this definition allows the IoT Labeling
Program to address the most relevant ``package'' components expected by
consumers to be securable when making purchasing decisions, and
encompasses the appropriate level of ``component'' pieces to address
the functionalities that generate the most salient cybersecurity
risks.\2\ This view is supported by the record, with Consumer
Technology Association (CTA) providing a proposed testing framework
where ``all individual components provided by the manufacturer should
be in scope for testing,'' including all components of the IoT product
``that are necessary for the device to function in a normal use case
scenario.''
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\2\ For purposes of the IoT Labeling Program, the NISTIR 8425
scoping definition of ``components'' falls into three main types:
Specialty networking/gateway hardware (e.g., a hub within the system
where the IoT device is used); Companion application software (e.g.,
a mobile app for communicating with the IoT device); and Backends
(e.g., a cloud service, or multiple services, that may store and/or
process data from the IoT device). See NISTIR 8425 at 2. Our use of
this scoping definition of ``components'' is intended only to apply
to the IoT Labeling program. We note that Commission rules use the
term ``components'' in a variety or contexts and different rule
provisions, and we are not intending to affect the use of that term
in those other contexts.
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14. IoT Devices vs. IoT Products. We find that the IoT Labeling
Program should apply to ``IoT products'' as defined above, rather than
being limited only to ``IoT devices.'' In the IoT Labeling NPRM, the
Commission noted
[[Page 61245]]
that it was important to ensure that the IoT Labeling Program ``would
be sufficiently inclusive to be of value to consumers.'' Since the
Commission's adoption of the IoT Labeling NPRM, NIST has provided
clarity in this realm by stating ``the cybersecurity technical and non-
technical outcomes defined in the NISTIR 8425 consumer profile apply to
IoT products and not just IoT devices.'' In addition, in reviewing the
record, we believe applying the IoT Labeling Program to IoT products
instead of IoT devices alone achieves these priorities because only by
addressing the full functionality of a consumer product (i.e., one or
more IoT devices and any additional product components (e.g., backend,
gateway, mobile app) that are necessary to use the IoT device, beyond
basic operational features) ``including data communications links to
components outside this scope but excluding those external components
and any external third-party components that are outside the
manufacturer's control'' will provide consumers the necessary scope to
satisfy the basic security expectation of the consumer and effectuate a
discernable increase in the cybersecurity posture of the IoT ecosystem
at large.
15. There is significant support in the record for an IoT product
focus for the IoT Labeling Program. As explained by UL Solutions,
applying the IoT Labeling Program to IoT products is necessary since
``most IoT devices sold to consumers cannot be meaningfully used
without additional components.'' The Cybersecurity Coalition further
supports this position by saying ``IoT devices are typically part of a
broader ecosystem of components that can have their own security
issues, requiring `IoT cybersecurity' to extend beyond individual
devices to be effective.'' ITI notes an IoT product focus benefits
consumers because it ``will appropriately capture the relevant devices/
components of the product that could be vulnerable to attack (and are
always included in an IoT product, as NIST points out).'' Applying the
IoT Labeling Program to IoT products further benefits consumers by
promoting consumer safety because it ``encourages manufacturers to
prioritize security across all components, ultimately leading to safer
and more reliable IoT experiences for consumers.'' Additionally, the
record indicates that ``the entire service which includes cloud
infrastructure as well as apps or other ways to control or manage the
device by the user, and not simply the physical device itself, is
critical for an assessment of safety and security.'' Further, focusing
on IoT products aligns not only with the technical requirements of
NISTIR 8425, but also ``emerging requirements in Europe and the UK
[United Kingdom], such as the EU [European Union] [Cyber Resilience
Act], and EU Directives on consumer protections EU 2019/770, 771.'' We
agree and will apply the IoT Labeling Program to consumer IoT products,
which provides for the greatest level of consumer benefit by
prioritizing cybersecurity across the entirety of the consumer product,
as compared to just the device, which is able to perform its full
functionality only when working in conjunction with other product
components.
16. We disagree with Samsung, CTIA--The Wireless Association
(CTIA), LG Electronics, and CTA, who advocate focusing on IoT devices
instead of IoT products. Samsung and CTIA argue that cybersecurity
standards for devices are more mature than standards for products, and
CTA argues that applying the FCC IoT Label to products would be more
complex than devices. LG Electronics expresses concern that expanding
to products ``would require device manufacturers to attest to the
security of product components that are outside of their control.'' We
do not agree that these rationales support limiting application of the
IoT Labeling Program only to devices, rather than products. First,
applying the IoT Labeling Program narrowly to IoT devices would run
counter to NIST's guidance and considerable work in this space, upon
which the Commission has relied for the basis for the IoT Labeling
Program proposal. NIST's Profile of the IoT Core Baseline for Consumer
IoT Products (NISTIR 8425), discussed above, provides fundamental IoT
guidelines and applies to the broader product category, and the more
recent NIST IoT Product Component Requirements Essay clearly states
that the outcomes listed in NISTIR 8425 apply to consumer IoT products
and not just IoT devices.
17. Further, regarding the notion that the IoT Labeling Program
should be focused on IoT devices because existing standards for IoT
devices are more readily available or achievable in the near term, we
counter that the record shows existing IoT device standards can be
leveraged to support assessing IoT products as well. As noted by
commenter ITI, existing IoT industry standards ``capture similar
baseline themes'' to the NIST criteria. In view of these similarities,
the IoT Labeling Program can leverage these existing standards for IoT
devices as building blocks, and tailor them in view of the IoT products
being assessed. Accordingly, the need to realize the benefits of a
product-level label weigh in favor of taking a small amount of time to
get to product-based standards by leveraging existing device standards.
18. We also reject the argument that because ``cybersecurity
frameworks and testing programs have been developed to focus on device-
level--rather than product-level--assessment'' that a device-level IoT
Labeling Program is the appropriate outcome. We note, for example, that
ITI recommends recognizing IoT security assessments from our
international partners, such as IoT assessments under the Cybersecurity
Labelling Scheme (CLS) by Singapore's Cyber Security Agency, which
assesses the overall IoT product, and not just a single device included
in the IoT product. In this regard, the ability to recognize
international efficiencies for IoT Labeling Program participants would
be hindered by limiting the Cyber Trust Mark to the device level, as
Singapore's CLS (and other evolving international standards) focus on
product-level assessments.
19. Finally, applying the IoT Labeling Program to products enhances
value to consumers without requiring manufacturers to be responsible
for products or devices that are outside of their control. The record
shows that a consumer's expectation of security extends to the entire
IoT product they purchase. This consumer expectation is evidenced in
the record by ITI, clarifying that ``because consumers purchase,
interact with, and view IoT merchandise not as component parts but as
complete physical product . . . Consumers are primarily concerned with
the entire physical product they are purchasing.'' Additionally, as
noted by UL Solutions, ``most IoT devices sold to consumers cannot be
meaningfully used without additional components.'' In view of this
need, a manufacturer seeking authority to affix the FCC IoT Label is
expected to secure the whole IoT product, including the product's
internal communication links connecting the different parts of the
product to each other as well as the product's communication links that
connect the IoT product to the outside world. We do not require
manufacturers to be responsible for third-party products or devices
(including apps) that are outside of their control; \2\
[[Page 61246]]
however, where a manufacturer allows third-party apps, for example, to
connect to and they allow that application to control their IoT
product, such manufacturer is responsible for the security of that
connection link and the app if such app resides on the IoT product.
Further, we agree with CTIA that if ``a [p]roduct [c]omponent also
support[s] other IoT Products through alternative features and
interfaces, these alternative features and interfaces may, through
risk-assessment, be considered as separate from and not part of the IoT
Product for purposes of authorization.'' Moreover, NIST enumerates the
dangers of an IoT device-only focus, establishing that the ``additional
product components have access to the IoT device and the data it
creates and uses-making them potential attack vectors that could impact
the IoT device, customer, and others,'' and that ``these additional
components can introduce new or unique risks to the IoT product.''
Consumer expectations that the FCC IoT Label would apply to the
entirety of the product purchased is further highlighted by Consumer
Reports, explaining that ``If everything is sold within a box, then
everything in the box should be approved to use the mark.'' Consumer
Reports also notes that ``[i]f the labeling programs were only to
address the physical device and not other system components, consumers
would likely be deceived as to the scope and efficacy of the program.''
The record is adamant that the ``Cyber Trust Mark must be trusted by
consumers to be successful.'' In view of the record, securing only a
portion of an IoT product by just assessing a single IoT device
included in the IoT product, instead of assessing the devices and
components that comprise the IoT product holistically, could deceive
consumers and go against consumer expectation that the technology being
brought into their homes is reasonably secure. We weigh heavily the
likelihood for consumer confusion should the device-only approach be
taken, and accordingly we apply this consumer IoT Labeling Program to
IoT products and not just IoT devices.
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\2\ To further clarify, nothing in this item prohibits
manufacturers from allowing product owners from installing the
software of their choice, from disabling security features, or from
replacing or modifying components of a product, including the
firmware and software. An IoT manufacturer cannot be held
responsible for the owner's decision to make such changes, just as a
traditional product manufacturer cannot be responsible for the
actions of a consumer who modifies the core mechanisms of a product
and thereby risks rendering it unsafe. However, we reiterate that in
order to be authorized to use the FCC IoT Label, manufacturers must
meet the requirements of the program.
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20. In sum, although there are relative advantages and
disadvantages with either a narrow focus on IoT devices or a broader
focus on IoT products, on balance we are persuaded to focus our initial
IoT Labeling Program on IoT products. As explained above, we find
commenters' concerns about encompassing full IoT products in our IoT
Labeling Program to be overstated. At the same time, we see significant
shortcomings with a narrower focus just on IoT devices. Weighing the
totality of these considerations, we are persuaded that targeting the
IoT Labeling Program on IoT products is the best approach at this time.
21. Consumer IoT Products vs. Enterprise IoT Products. The IoT
Labeling Program applies to the labeling of consumer IoT products that
are intended for consumer use, and does not include products that are
primarily intended to be used in manufacturing, healthcare, industrial
control, or other enterprise applications. While we do not foreclose
expansion of the IoT Labeling Program at a later date, this initial
scope will provide value to consumers most efficiently and expediently,
without added complexity from the enterprise environment.
22. The record supports the IoT Labeling Program having a consumer
IoT focus, with support provided by UL Solutions, the Cybersecurity
Coalition, and the Connectivity Standards Alliance (CSA), among others.
The FDA also suggests that IoT outside of the consumer scope may need
``[g]reater and more tailored controls,'' suggesting that different
considerations might attend IoT with a purpose outside of that in the
routine consumer realm. Additionally, commenters highlight the
differing security needs of consumer and enterprise products. For
example, UL Solutions notes that ``IoT products intended for commercial
or industrial settings are exposed to different types of threats than
consumer products and often carry higher risk if breach, which
necessitates different requirements.'' CSA also highlights that
``[e]nterprise device security approaches are often customized and vary
based on the specific needs of the business.'' We agree that applying
the IoT Labeling Program to consumer IoT products will reduce
complexity, which will bolster the likelihood of success when starting
the new IoT Labeling Program.
23. The International Speech and Communication Association (ISCA)
supports including enterprise IoT, stating that a broader scope will
ensure the IoT Labeling Program remains flexible to the extent that the
boundary between consumer and enterprise IoT is blurring. Further, ISCA
and Abhishek Bhattacharyya note that attackers have more to gain from
targeting enterprise settings. While there are considerable threat
vectors and vulnerabilities associated with all classes of IoT
products,\3\ we agree with Everything Set, Inc., that focusing the IoT
Labeling Program on household use of IoT products will be more useful
and have greater impact, given that enterprises tend to have more time,
resources, and expertise to devote to network security. They note
further that many small- and medium-sized businesses also buy consumer
devices, so a consumer-focused Cyber Trust Mark would be of utility to
them, as well. We believe in the near term that a consumer focus will
provide the most initial impact, and create a level of recognition and
trust in the Cyber Trust Mark itself as the IoT Labeling Program
progresses that could be leveraged to enterprise IoT at a later time,
and we therefore defer consideration of the IoT Labeling Program's
expansion.
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\3\ There are many types IoT devices and products, which may be
divided into various categories or classes based on their purpose,
application, and functionality. These classes of IoT devices and
products include smart home (e.g., smart thermostats, smart lights,
smart locks, smart cameras), wearables (e.g., fitness trackers,
smart watches), and Healthcare (e.g., remote patient monitoring
devices, smart medical equipment). It is worth noting that not all
IoT devices or products are created equal, in terms of features,
security and the level of risk they present. Additionally, from
security standpoint, an IoT product that is appropriate for consumer
or home use may not be suitable for industrial or enterprise
environment. These differences suggest the need for different
security standards that distinguish between low-risk, medium-risk
and high-risk applications. Our approach to identifying the specific
cybersecurity standards to apply enables us to appropriately account
for that in the case of particular wireless consumer products (or
categories of such products) in our initial implementation of the
IoT Labeling Program.
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24. Exclusion of Certain Devices/Products. As an initial matter, we
exclude from the IoT Labeling Program medical devices regulated by the
U.S. Food and Drug Administration (FDA). The Center for Devices and
Radiological Health (within the FDA) expresses concern that the
Commission's labeling IoT Labeling Program may lack controls and
minimum criteria that it believes are necessary for IoT medical
devices. In addition, the FDA is concerned that including medical
devices in the IoT Labeling Program may cause consumer confusion and
``potentially creates conflict where product manufacturers attempt to
both qualify for the Cyber Trust Mark and comply with existing
statutory and regulatory cybersecurity requirements under other federal
laws, such as the Federal Food, Drug, and Cosmetic Act (FD&C Act).''
These considerations persuade us to exclude FDA-regulated medical
devices from our IoT Labeling Program, consistent with commenters'
recommendations. In
[[Page 61247]]
addition, we exclude from this program motor vehicles and motor vehicle
equipment given that the National Highway Traffic Safety Administration
(NHTSA) ``has the authority to promulgate motor vehicle safety
regulations on cybersecurity and has enforcement authority to secure
recalls of motor vehicles and motor vehicle equipment with a safety-
related defect, including one involving cybersecurity flaws.''
25. Exclusion of Devices/Products Produced by Certain Entities. We
adopt the following measures to promote national security in connection
with the IoT Labeling Program. The IoT Labeling NPRM proposed to
exclude from the IoT Labeling Program (1) any communications equipment
on the Covered List maintained by the Commission pursuant to section 2
of the Secure and Trusted Communications Networks Act (STCNA); (2) any
IoT device produced by an entity identified on the Covered List (i.e.,
an entity named or any of its subsidiaries or affiliates) as producing
``covered'' equipment; and (3) any device or product from a company
named on certain other lists maintained by other Federal agencies that
represent the findings of a national security review. We now adopt all
of these prohibitions as they relate to our decision to focus the IoT
Labeling Program on consumer IoT products. Thus, any communications
equipment identified on the Covered List, now or in the future, will be
ineligible for the IoT Labeling Program, and any such product will be
denied approval to use the Cyber Trust Mark. Furthermore, any
additional products produced by an entity identified on the Covered
List as producing ``covered'' equipment, or any product containing
devices or product components produced by such an entity, will be
ineligible for the IoT Labeling Program; this would include products
that may not fit within the definition of ``communications equipment''
under STCNA. Only entities identified on the Covered List as producers
of ``covered'' equipment--not those on the Covered List only because of
their ``covered'' services--are subject to this prohibition. In
addition, we adopt the proposal that IoT devices or products containing
devices manufactured by companies named on the Department of Commerce's
Entity List, named on the Department of Defense's List of Chinese
Military Companies, or suspended or debarred from receiving Federal
procurements or financial awards, including those published as
ineligible for award on the General Service Administration's System for
Award Management, will not be authorized to display the FCC IoT Label
or participate in the IoT Labeling Program. Further, we exclude from
the IoT Labeling Program any products containing devices produced or
manufactured by these entities. We conclude that inclusion on these
lists represents a determination by an agency charged with making
national security determinations that a company's products lack the
indicia of trustworthiness that the Cyber Trust Mark is intended to
represent. Our action here thus supports and reinforces the steps we
have taken in other proceedings to safeguard consumers and
communications networks from equipment that poses an unacceptable risk
to national security and that other Federal agencies have taken to
identify potential concerns that could seriously jeopardize the
national security and law enforcement interests of the United States.
26. With the exception of China's comments raising the same World
Trade Organization (WTO) issue we rejected in the Report and Order
applying the Covered List to the FCC equipment authorization program,
the record overwhelmingly supports excluding from the IoT Labeling
Program these products and devices produced by companies identified on
the Covered List. Additionally, USTelecom, CTIA, CTA, Cybersecurity
Coalition and Consumer Reports specifically support excluding from the
IoT Labeling Program IoT devices that are manufactured by companies on
the Covered List, but also urge the Commission to restrict any
equipment manufactured by companies on additional Federal restricted
lists, including those otherwise banned from Federal procurement.
Consumer Reports agrees with excluding systems that include components
included on the Covered List or similar lists from the IoT Labeling
Program. Each of these lists represent the determination by relevant
Federal agencies that the entities on the list may pose a national
security threat within their respective areas, and as such we find that
we cannot separately sanction their products as trustworthy via the IoT
Labeling Program. While each list is designed to support specific
prohibitions, their use here only excludes their contents from a
voluntary program representing U.S. Government assessment of their
security and does not prohibit any other use. Insofar as the FCC IoT
Label reflects the FCC's signal to consumers about cybersecurity, it is
reasonable for the FCC to take a cautious approach especially for those
products for which relevant Federal agencies have expressed other
security concerns.
27. Applicant Declaration Under Penalty of Perjury. To implement
the Commission's goal of ensuring the Cyber Trust Mark is not affixed
to products that pose a risk to national security or a risk to public
safety, we require applicants seeking authorization to use the FCC IoT
Label to provide a declaration under penalty of perjury that all of the
following are true and correct:
(i) The product for which the applicant seeks to use the FCC IoT
Label through cybersecurity certification meets all the requirements of
the IoT Labeling Program.
(ii) The applicant is not identified as an entity producing covered
communications equipment on the Covered List, established pursuant to
Sec. 1.50002 of the Commission's rules.
(iii) The product is not comprised of ``covered'' equipment on the
Covered List.
(iv) The product is not produced by any entity, its affiliates, or
subsidiaries identified on the Department of Commerce's Entity List, or
the Department of Defense's List of Chinese Military Companies.
(v) The product is not owned or controlled by or affiliated with
any person or entity that has been suspended or debarred from receiving
Federal procurements or financial awards, to include all entities and
individuals published as ineligible for award on the General Service
Administration's System for Award Management.
(vi) The applicant has taken every reasonable measure to create a
securable product.
(vii) The applicant will, until the support period end date
disclosed in the registry, diligently identify critical vulnerabilities
in our products and promptly issue software updates correcting them,
unless such updates are not reasonably needed to protect against
security failures.
(viii) The applicant will not elsewhere disclaim or otherwise
attempt to limit the substantive or procedural enforceability of this
declaration or of any other representations and commitments made on the
FCC IoT Label or made for purposes of acquiring or maintaining
authorization to use it.
28. If any applicant fails to make any of the above disclosures
within 20 days after being notified of its noncompliance, such failure
would result in termination of any improperly granted authorization to
use the Label, and/or subject the applicant to other
[[Page 61248]]
enforcement measures. The applicant is required to update its
declaration, or withdraw a not-yet granted application, if any of the
applicant's circumstances impacting the declarations materially change
while the application is pending.
29. Wireless Consumer IoT Devices vs. Wired Consumer IoT Devices.
The Order adopts the IoT Labeling NPRM's proposal that the IoT Labeling
Program apply initially to wireless consumer IoT devices. This is
consistent with the IoT Labeling NPRM proposal to focus the scope of
the IoT Labeling Program on intentional radiators that generate and
emit RF energy by radiation or induction and exclude wired-only IoT
devices, noting such devices are encompassed by the Commission's
section 302 authority governing the interference potential of devices
that emit RF energy and can cause harmful interference. We find that
this distinction is appropriate, both because of the Commission's
interest in keeping the scope of the IoT Labeling Program clear and
manageable during its debut and because there is support in the record
for wireless intentional radiators as most prevalent types of consumer
IoT devices contemplated in the IoT Labeling NPRM. While we recognize
that there are other types of RF devices--both unintentional and
incidental radiators--that are subject to our jurisdiction, we are not
including them in our IoT Labeling Program at this time.
30. We acknowledge there is substantial support in the record for
including wired IoT consumer products within the scope of the IoT
Labeling Program. Consumer Reports recommends including both wired and
wireless IoT within the scope of the IoT Labeling Program, pointing out
that wired IoT devices or products are vulnerable to cybersecurity
threats just as wireless IoT devices or products are. Consumer Reports
also points out that ``while wireless devices are the majority of IoT
devices, there are still almost 700 million wired IoT devices globally,
and they are expected to grow by a 10% [compound annual growth rate]
through 2027 according to IoT Analytics `State of IoT--Spring 2023
Report.' '' T[Uuml]V S[Uuml]D also encourages the Commission to cover
both wired and wireless devices within the scope of the IoT Labeling
Program, and AIM emphasizes the importance of the security of both
wired and wireless IoT to the cybersecurity ecosystem. CTA further
states that the Commission should not define the scope of the IoT
Labeling Program in such a way as to exclude wired IoT products. The
Association of Home Appliance Manufacturers (AHAM) points out that both
wired and wireless IoT are included in the NIST definition.
31. While we agree that wired IoT products are susceptible to
cyberattacks and similarly pose security risks to consumers and others,
we find it to be in the public interest for the IoT Labeling Program to
start with wireless consumer IoT products in view of the record
indicating that ``wireless devices are the majority of IoT devices,''
which would indicate that a focus on this product segment will have a
substantial impact on the overall IoT market. The record also supports
this approach, with Keysight Technologies, Inc. concurring that ``the
program should include consumer RF IoT products initially.'' Further,
we do not agree with arguments that there may be an unintended
perception that ``[c]reating a program that would only certify wireless
IoT devices would send an improper message that only wireless IoT
devices are secure.'' Instead, we believe that beginning with wireless
IoT products is both feasible and can be adopted with more speed,
providing more prompt benefit in the marketplace. Further, a more
limited scope will streamline the initial rollout of the IoT Labeling
Program, provide focus to the additional tasks necessary to stand up
the program, and lay the groundwork for expansion, and we do not
foreclose consideration including wired IoT products in the future. As
such and as discussed below, we also defer consideration of our legal
authority to consider wired products at this time.
B. Oversight and Management of the IoT Labeling Program
32. Based on the comments filed regarding oversight and management
of the IoT Labeling Program, the Commission finds it is in the public
interest to continue to foster public-private collaboration, including
with regard to the management and administration of the IoT Labeling
Program, while ensuring the Commission retains ultimate control and
oversight of the IoT Labeling Program. In this respect, providing a
broad, unifying government oversight framework for existing private
labeling schemes and other private efforts in this context will allow
current participants in this ecosystem to capitalize on their existing
investments and relationships in a way that not only promotes the
overall effectiveness of the FCC's IoT Labeling Program and increases
the security of the IoT ecosystem.
33. The Commission adopts the IoT Labeling NPRM proposal that the
IoT Labeling Program be comprised of a single ``program owner''
responsible for the overall management and oversight of the IoT
Labeling Program, with administrative support from one or more third-
party administrators. NIST's white paper recommends one ``scheme
owner'' responsible for managing the labeling program, determining its
structure and management, and performing oversight to ensure the
program is functioning consistently in keeping with overall objectives.
We agree that it is appropriate for a single entity to perform these
functions and find that the Commission will be the program owner of the
IoT Labeling Program, and as such retains ultimate control over the
program, and determines the program's structure. CSA highlights support
in the record for having the Commission as the program owner, arguing
that ``[p]lacing the regulatory authority in the hands of the
Commission and providing government-backed endorsement may strengthen
trust with Consumers.'' However, the NIST Cybersecurity White Paper
also recommends the ``scheme owner'' be responsible for defining the
conformity assessment requirements, developing the label and associated
information, and conducting consumer outreach and education.
34. While the Commission as program owner will oversee the elements
of the program, the program will be supported by Cybersecurity Label
Administrators (Label Administrators or CLAs) who will manage certain
aspects of the program and authorize use the FCC IoT Label as well as a
Lead Administrator selected by the Bureau from among the CLAs, which
will undertake additional duties including acting as the point of
contact between the CLAs and the Commission. In addition, the
Commission believes it is appropriate for a Lead Administrator, in
collaboration with the CLAs and other stakeholders, to identify or
develop, and recommend to the Commission for approval, the IoT specific
standards and testing procedures, procedures for post-market
surveillance, as well as design and placement of the label. The Lead
Administrator will also be responsible for developing, in coordination
with stakeholders, a consumer education plan and submitting the plan to
the Bureau and engaging in consumer education. Each of these duties are
discussed in depth below. The Cybersecurity Coalition recommends the
Commission utilize a single administrator, rather than multiple
administrators ``to reduce the likelihood of conflict among
administrators and simplify engagement with
[[Page 61249]]
manufacturers, consumers, and government agencies.'' CTA, on the other
hand, contemplates multiple administrators, suggesting that the
Commission may consider leveraging ``a consortium of scheme owners[ ]
to ensure that the IoT Labeling Program is administered and issues are
adjudicated in an effective, objective, and timely fashion.'' We agree
with CTA's reasoning, while also acknowledging the Cybersecurity
Coalition's concern regarding potential conflict. Accordingly, the
Bureau will select a Lead Administrator from among the CLA applicants
to address conflicts.
35. As an initial matter, we have looked to the structure of, and
experiences with, the Commission's equipment authorization program and
rules in developing the IoT Labeling Program, as proposed and discussed
in the IoT Labeling NPRM. We emphasize, however, that the IoT Labeling
Program is new and distinct, and it will operate under its own rules
and with new authorities specifically delegated to PSHSB. This is
consistent with the record developed in the proceeding, in which many
commenters urged the Commission to keep the equipment authorization and
IoT Labeling programs separate. In addition, several commenters
addressed whether obtaining a valid equipment authorization should be a
pre-requisite for obtaining the Cyber Trust Mark, or whether obtaining
approval to use the Cyber Trust Mark would be required as a condition
for applying for an equipment authorization. We emphasize that our IoT
Labeling Program is voluntary, and parties are required to follow the
Commission's equipment authorization program regardless of whether or
not they choose to participate in the IoT Labeling Program. We also
clarify that there is no requirement to complete the equipment
authorization process before qualifying for the Cyber Trust Mark;
however, our existing part 2 rules will continue to prohibit the
marketing of a device that does not have a valid equipment
authorization.
36. We conclude that it is in the public interest and supported in
the record to adopt the IoT Labeling Program structure recommended by
NIST, with the modifications discussed above regarding third-party
administrators that are overseen by the Commission as the program
owner. This and the following paragraph preview the remaining roles and
responsibilities for the IoT Labeling Program, which will be developed
in depth in the remaining sections of the Order. The Commission also
will be responsible for coordinating mutual recognition of the Cyber
Trust Mark with international partners, coordinating with the Lead
Administrator, Federal partners, industry, and other stakeholders on
consumer education programs, and performing oversight to ensure the IoT
Labeling Program is functioning properly. In addition, the Commission
will specify the data to be included in a consumer-friendly registry
that provides additional information about the security of the products
approved to use the Cyber Trust Mark and is accessible through the QR
Code that is required to accompany the Cyber Trust Mark. Further, the
Commission will own and maintain the registration for the Cyber Trust
Mark, which may only be used when the product has been appropriately
tested and complies with the Commission's IoT Labeling Program
requirements.
37. The Commission will approve qualified Cybersecurity Label
Administrators (Label Administrators or CLAs) to manage certain aspects
of the labeling program and be authorized by the Commission to license
the Cyber Trust Mark to manufacturers whose products are in compliance
with the Commission's IoT cybersecurity labeling rules. The Commission
will also select a Lead Administrator, which will be responsible for
carrying out additional administrative responsibilities, including but
not limited to reviewing applications and recognizing qualified and
accredited Cybersecurity Testing Laboratories (CyberLABs) and engaging
in consumer education regarding the Cyber Trust Mark. The Lead
Administrator will also collaborate with cyber experts from industry,
government, academia, and other relevant sectors if needed to identify,
develop, and maintain consumer IoT cybersecurity technical and
conformity assessment standards that are based on NIST standards and
guidance, that will be submitted to PSHSB for consideration and
approval, and, subject to any required public notice and comment,
adopted into the Commission's rules. The standards and testing
procedures developed or identified in collaboration with CLAs and other
stakeholders and submitted by the Lead Administrator for consideration
by the Commission will, in turn, be used by accredited \4\ testing labs
recognized by the Lead Administrator--whether CyberLABs,\5\ a CLA-run
lab, or a testing lab internal to a company (in-house testing lab) for
product testing.
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\4\ The organization(s) accrediting the prospective Label
Administrators and testing labs must meet the requirements and
conditions in ISO/IEC 17011. See 47 CFR 8.910(b)(1) ISO/IEC
17011:2004(E), ``Conformity assessment--General requirements for
accreditation bodies accrediting conformity assessment bodies,''
First Edition, 2004-09-01, IBR approved for Sec. Sec. 8.217(e) and
8.218(b).
\5\ There appeared to be some confusion in the record with the
Commission's use of the term Cybersecurity Labeling Authorization
Bodies. Specifically, the ANSI National Accreditation Board (ANAB)
recommended the Commission reconsider the use of the term
``CyberLAB'' as the ``implication that such organizations are
laboratories could create market confusion.'' ANAB Reply at 2. We
disagree that the term CyberLAB may be confusing because these
organizations are, in fact, laboratories/testing bodies that will be
testing products to determine compliance with applicable standards.
The CyberLABs, however, are not ``certification bodies.'' Rather,
the entity that will be authorizing an applicant to use the Cyber
Trust Mark on their product is the CLA, as described below. To
ensure there is no confusion, the Commission has changed the term
from Cybersecurity Labeling ``Authorization Bodies'' as these terms
are reserved for accreditation bodies, to Cybersecurity Testing
Laboratories, reflecting that the function of these labs is for
testing and generating reports, and not certifying or issuing a
label. We continue to use the short-form term ``CyberLAB'' to refer
to these testing labs.
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38. Retaining key overarching functions within the Commission as
discussed above will ensure the effective administration and oversight
of this government program and protect the integrity of the FCC-owned
Cyber Trust Mark, while perpetuating, where appropriate, the relevant
efforts of the private sector that meet the goals and requirements of
the program. We also agree with CSA that program ownership by the
Commission will increase consumer confidence in the Cyber Trust Mark.
In addition, the clear high-level oversight functions retained for the
Commission ensures the Commission has meaningful decision-making
control. Here, while the CLA(s) will recommend standards and testing
procedures to be approved by the Commission as well as manage the day-
to-day administrative functions assigned, the Commission will
ultimately review, consider, and exercise judgment on whether the
requirements are appropriate to support the Commission's program, and
on how the program is ultimately administered.
39. We adopt the IoT Labeling NPRM's proposal that one or more
qualified third-party administrators (Cybersecurity Labeling
Administrators or CLAs) be designated by the Commission to manage
certain aspects of the labeling program and be authorized to certify
the application of the FCC IoT Label by manufacturers whose products
are found to be in compliance with the Commission's IoT cybersecurity
labeling rules and regulations. The record supports the Commission's
adoption of a labeling program that is supported by CLAs.
[[Page 61250]]
According to TIC Council Americas, involving independent third-party
administrators who verify that labeled products meet the program
requirements will bring trust, consistency, and an impartial level
playing field to the Cyber Trust Mark. The Cybersecurity Coalition,
Widelity, and CSA highlight that utilizing experienced third-party
administrators will allow the program to run more efficiently and will
provide ``the required expertise for the administration of the
program.'' CTA and other commenters also assert that the IoT Labeling
Program will be best served if the Commission ``leverage[s] the unique
expertise and existing certification infrastructure offered by well-
regarded industry organizations.'' AHAM says that ``[g]iven the volume
and increasing numbers of IoT products on the market, [the] FCC needs
to give manufacturers as many options as possible as far as obtaining
the Cyber Trust mark'' and that ``third parties will play an important
role in any successful program.''
40. CTA supports assigning certain responsibilities to one or more
independent, (i.e., neutral) third-party administrators which it refers
to as ``Authorized Scheme Owners.'' However, the Commission disagrees
with this descriptor insofar as some commenters are confused as to
whether the ``scheme owner'' is the entity ultimately responsible for
the program, or a third-party entity responsible for certain program
administration functions or specified tasks under the ultimate
direction of the Commission. To avoid confusion, the Commission refers
to these third-party administrators as CLAs. These CLAs are neutral
third parties independent of the applicant and within the context of a
program overseen by the Commission.
41. We believe that authorizing one or more CLAs to handle the
routine administration of the program will help to ensure a timely and
consistent rollout of the program. In particular, several private
entities have already implemented robust IoT cybersecurity labeling
programs with established business processes in place to receive
applications from IoT manufacturers and conduct conformity/standards
testing against widely accepted cybersecurity guidelines (e.g., NIST
guidelines) or proprietary product profiles based on the NIST criteria.
We anticipate a large number of entities will seek grants of
authorization to use the FCC IoT Label and we are concerned that if we
were to adopt a program limited to a single administrator, there may be
bottlenecking delays in the processing of applications and a single
administrator could result in a single point of failure in the program.
Allowing multiple CLAs to execute the role of day-to-day administration
of the program will provide for the simultaneous processing of a
significant number of applications, provide redundancy of structure,
and potentially foster competition in this space to better serve those
seeking access to the label. In addition, leveraging the expertise of
multiple existing program managers and using pre-existing systems and
processes that meet our program specifications will minimize
administrative delay, while promoting an efficient and timely rollout
of the Cyber Trust Mark. This will also ensure that the Commission
effectively utilizes the expertise of those entities who have made
investments in their own cybersecurity labeling programs and have
experience working with manufacturers and IoT conformity and standards
testing, expediting the ability to provide consumers with a simple way
to understand the relative security of the products and devices they
purchase under a government-backed standard.
42. We recognize, however, that there is a need for a common
interface between the CLAs and the Commission to facilitate ease of
engagement and to conduct other initial tasks associated with the
launch of the program. We delegate authority to PSHSB to review CLA
applications, review CLA applications that also request consideration
for Lead Administrator, select the Lead Administrator and manage
changes in the Lead Administrator.
43. Lead Administrator Duties. The Lead Administrator will
undertake the following duties in addition to the CLA duties outlined
below:
a. interface with the Commission on behalf of the CLAs, including
but not limited to submitting to the Bureau all complaints alleging a
product bearing the FCC IoT Label does not meet the requirements of the
Commission's labeling program;
b. conduct stakeholder outreach as appropriate;
c. accept, review, and approve or deny applications from labs
seeking recognition as a lab authorized to perform the conformity
testing necessary to support an application for authority to affix the
FCC IoT Label,\6\ and maintain a publicly available list of Lead
Administrator-recognized labs and a list of labs that have lost their
recognition;
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\6\ If the Lead Administrator, in addition to its administrative
duties, intends to offer lab testing service (CLA-run lab), it must
submit an application with PSHSB seeking FCC recognition as a lab
authorized to perform conformity testing to support an application
for authority to affix the FCC IoT Label. The Lead Administrator is
not authorized to recognize its own cybersecurity testing lab. If
approved by PSHSB, the Lead Administrator will add the name of its
lab to the list of recognized labs.
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d. within 90 days of release of the Public Notice announcing the
Lead Administrator selection, the Lead Administrator shall, in
collaboration with stakeholders (e.g., cyber experts from industry,
government, and academia) as appropriate:
i. submit to the Bureau recommendations identifying and/or
developing the technical standards and testing procedures for the
Commission to consider with regard to at least one class of IoT
products eligible for the IoT Labeling Program. The Bureau will
evaluate the recommendations, and if the Bureau approves of the
recommendations, subject to any required public notice and comment,
incorporate them by reference into the Commission's rules;
ii. submit to the Bureau a recommendation on how often a given
class of IoT products must renew their request for authority to bear
the FCC IoT Label, which may be dependent on the type of product, and
that such a recommendation be submitted in connection with the relevant
standards recommendations for an IoT product or class of IoT products;
The Bureau will evaluate the recommendations, and if the Bureau
approves of the recommendations, subject to any required public notice
and comment, incorporate them by reference into the Commission's rules;
iii. submit to the Bureau recommendations on the design of the FCC
IoT Label, including but not limited to labeling design and placement
(e.g., size and white spaces, product packaging.) The Bureau will
evaluate the recommendations, and if the Bureau approves of the
recommendations, subject to any required public notice and comment,
incorporate them by reference into the Commission's rules; and
iv. submit to the Bureau recommendations with regard to updates to
the registry including whether the registry should be in additional
languages, and if so, to recommend specific languages for inclusion;
v. submit to the Bureau recommendations on the design of the FCC
IoT Label, including but not limited to labeling design and placement
(e.g., size and white spaces, product packaging, whether to include
[[Page 61251]]
the product support end date and other security and privacy information
on the label.) The Bureau will evaluate the recommendations, and if the
Bureau approves of the recommendations, subject to any required public
notice and comment, incorporate them by reference into the Commission's
rules.
e. The Lead Administrator shall, in collaboration with CLAs and
other stakeholders (e.g., cyber experts from industry, government, and
academia) as appropriate recommend within 45 days of publication of
updates or changes to NIST guidelines, or adoption by NIST of new
guidelines, to the FCC any appropriate modifications to the Labeling
Program standards and testing procedures to stay aligned with the NIST
guidelines;
f. submit to the Commission reports on CLAs' post-market
surveillance activities and findings in the format and by the date
specified by PSHSB;
g. develop in collaboration with stakeholders a consumer education
campaign, submit the plan to the PSHSB, and participate in consumer
education;
h. receive complaints about the Labeling Program, including but not
limited to consumer complaints about the registry and coordinate with
manufacturers to resolve any technical problems associated with
consumers accessing the information in the registry;
i. facilitate coordination between CLAs; and
j. submit to the Commission any other reports upon request of the
Commission or as required by Commission rule.
44. Cybersecurity Label Administrator Duties. CLA(s) are
responsible for various administrative duties, including:
a. receive and evaluate applications and supporting data requesting
authority to use the FCC IoT Label on the product subject to the
application;
b. grant an application only if it meets all of the Commission's
requirements to use the FCC IoT Label and authorize (i.e., certify) the
applicant to use the FCC IoT Label on the product subject to the
application;
c. ensure that manufacturers make all required information
accessible by the IoT registry;
d. participate in consumer education campaign in coordination with
the Lead Administrator;
e. perform post-market surveillance activities, such as audits, in
accordance with ISO/IEC 17065 and submit periodic reports to the Lead
Administrator of their post-market surveillance activities and findings
in the format and by the date specified by PSHSB; and
f. receive complaints alleging an IoT product does not support the
cybersecurity criteria conveyed by the Cyber Trust Mark and refer these
complaints to the Lead Administrator which will notify PSHSB.\7\
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\7\ This process does not foreclose the ability of consumers to
file an informal complaint in accordance with the Commission's
rules. See 47 CFR 1.716 through 1.719. In the event an informal
complaint is filed with the Commission, the complaint will be
forwarded to the Lead Administrator for investigation and/or
referral to the issuing CLA.
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45. The record supports the use of CLAs to support a variety of
tasks within the program's construct. ioXt Alliance supports utilizing
CLAs for evaluating and certifying products for the Cyber Trust Mark.
CTA supports utilizing CLAs to conduct program operations. The
Cybersecurity Coalition and Kaiser Permanente also support utilizing
CLAs for managing the day-to-day operations of the IoT Labeling
Program. CSA argues that, ``the day-to-day administration of the Cyber
Trust Mark Program should be managed by a Third-Party Administrator,
serving as the entity that grants permission to use the Program
trademark to applicants.'' In addition, ITI recommends that it should
be the responsibility of the CLA to review or audit self-attestations
and that ``third-party administrators can and should play a key role in
administering conformity assessment schemes.'' CSA and CTIA further
recommend adopting the IoT Labeling NPRM's proposal that a third-party
administrator evaluate, accredit, or recognize the CyberLABs, and CSA
also ``recommends that the Commission hire a third-party administrator
to operate the IoT Registry.'' Finally, ioXt Alliance recommends that
third-party administrators should also ``vet companies and products
during the certification process'' to determine which products pose a
threat to national security, based on Commission guidance. ioXt
Alliance also notes in its comments that the ``label design and
associated information should be informed by the expertise of
manufacturers and third-party administrators.''
46. Subject to Commission oversight, and consistent with
recommendations in the record, the CLAs will evaluate and grant or deny
requests for authority to use the FCC IoT Label on consumer IoT
products in accordance with the IoT Labeling Program. Each
administrator will be responsible for certifying that the consumer IoT
products for which it authorizes a manufacturer to apply the FCC IoT
Label are tested by an accredited testing lab, which as discussed
further below may be a CyberLAB, the applicant's own in-house lab, or a
CLA-run lab, and that the testing report demonstrates the product
conforms to all Commission IoT labeling rules. The CLA will track each
application it receives requesting authority to use the FCC IoT Label,
and the disposition of all applications, including date of filing, date
of acceptance as complete, the date and reason application is returned
to applicant, and date of grant or denial. The CLAs will review each
application they receive to ensure the application and supporting
documents are provided and are sufficient to show the product conforms
to all Commission rules and that it includes a compliance test report
generated by an accredited and Lead Administrator-recognized testing
lab (e.g., third-party lab (CyberLAB), applicant's in-house testing
lab, or CLA-run lab). If the application is deficient, it will not be
granted until all necessary conditions are satisfied. If the
application is complete and meets all of the Commission's requirements,
the CLA will issue a cybersecurity labeling authorization (i.e.,
cybersecurity certification) approving the applicant to affix the FCC
IoT Label to the identified product.
47. In addition to its role as a CLA, the Lead Administrator must
collaborate with CLAs and other stakeholders (e.g., cyber experts from
industry, government, and academia) as appropriate to develop or
identify, and maintain, consumer IoT cybersecurity technical and
conformity assessment standards to be met for each class of IoT product
seeking authority to affix the FCC IoT Label on their product, which
the Lead Administrator will submit to PSHSB for consideration and
approval and, subject to any required public notice and comment,
adoption into its rules. Adopting standards through consensus is
supported by the record in this proceeding.\8\ The Information
Technology Industry Counsel (ITI) supports the Commission retaining
ownership of the IoT Labeling Program and authorizing the ``various
industry-led, consensus standards, which can be used to gain approval
for the Cyber Trust Mark.'' ITI also notes that using industry-led,
consensus standards will also limit the likelihood of legal challenges.
UL Standards & Engagement
[[Page 61252]]
agrees that the FCC should use a ``voluntary consensus-based standards
development process'' to create and update standards for the IoT
Labeling Program. The U.S. Chamber of Commerce also supports a
consensus-based approach urging the Commission ``to track closely with
public-private developments in IoT cybersecurity as well as industry-
driven initiatives, such as the C2 Consensus on IoT Device Security
Baseline Capabilities (C2 Consensus) and CTIA's cybersecurity
certification program for IoT devices.'' The Council to Secure the
Digital Economy (CSDE), which is ``composed of USTelecom, the Consumer
Technology Association (CTA), and 13 global information and
communications technology (ICT) companies--has also already convened
technical experts from 19 leading organizations throughout the ICT
sector to develop and advance industry consensus on baseline security
capabilities for new devices,'' including the C2 Consensus document,
which provides guidance to the public and private sectors on IoT
devices security. We agree with these recommendations that the
Commission adopt standards following recommendations based on an
industry-led consensus process, leveraging standards work already in
process or completed, which will provide for the swift development and
implementation of the IoT Labeling Program.
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\8\ As below, we emphasize the importance of leveraging existing
expertise in this space, and as such adopt as a criterion for
consideration in selecting the lead administrator the ability to
convene and develop consensus among stakeholders.
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48. The Lead Administrator is to base the recommended technical
standards and testing procedures on the NISTIR 8425, Profile of the IoT
Core Baseline for Consumer IoT Products. As noted by ITI, there is ``a
suite of existing standards that might be leveraged to ensure that the
outcomes NIST outlines can be met.'' In addition, NIST's IoT Product
Component Requirements Essay provides a summary of standards and
guidance that NIST has initially identified as applicable to IoT
devices and IoT product components, that the Lead Administrator may
determine are applicable to the IoT Labeling Program. The Lead
Administrator should evaluate and leverage existing work for efficiency
and speed to market where appropriate in making its recommendations to
the Commission.
49. The Lead Administrator in collaboration with stakeholders as
appropriate will identify or develop IoT cybersecurity standards (or
packages of standards) and testing procedures that they determine can
be used to test that a product meets the NISTIR 8425 criteria for each
class of products identified by the working group. The Lead
Administrator will submit to the Bureau recommendations on a rolling
basis as they are identified, but shall submit the initial set of
recommendations no later than 90-days after release of the Public
Notice selecting the Lead Administrator. We specify a timeframe here to
ensure timeliness of initial standards and prompt launch of the
program. Noting the work already ongoing on these issues, we also find
such a timeframe to be reasonably achievable. The proposed standards
(or packages of standards) and testing procedures must be approved by
the Commission prior to implementation. The Commission delegates
authority to PSHSB to evaluate and (after any required public notice
and comment) approve (or not approve) the technical standards and
testing procedures proposed by the Lead Administrator for use in the
IoT Labeling Program and incorporate the approved standards and testing
procedures by reference into the Commission's rules. The Commission
further directs the Bureau to ensure the standards and testing
procedures are relevant and appropriate to support the Commission's IoT
Labeling Program.
50. Selecting CLAs. Each entity seeking authority to act as a CLA
must file an application with the Commission for consideration by
PSHSB,\9\ which includes a description of its organization structure,
an explanation of how it will avoid personal and organizational
conflict when processing applications, a description of its processes
for evaluating applications seeking authority to use the FCC IoT Label,
and a demonstration of expertise that will be necessary to effectively
serve as a CLA including, but not limited to:
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\9\ This approach necessitates a mechanism for the Commission to
recognize administrators, and we accordingly adopt a rule doing so.
See 47 CFR 8.219. We model our approach on analogous elements of our
equipment authorization rules, with which the Commission and
industry have substantial experience, and which have proven workable
in practice. See 47 CFR 2.949. We delegate to PSHSB and OMD
authority to take any necessary steps, including adoption of
additional procedures and any applicable fees (pursuant to any
required public notice and comment), as necessary to ensure
compliance with the Communications Act with respect to any rules
adopted here that contemplate the filing of applications directly
with the Commission. 47 U.S.C. 158(c).
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1. Cybersecurity expertise and capabilities in addition to industry
knowledge of IoT and IoT labeling requirements.
2. Expert knowledge of NIST's cybersecurity guidance, including but
not limited to NIST's recommended criteria and labeling program
approaches for cybersecurity labeling of consumer IoT products.
3. Expert knowledge of FCC rules and procedures associated with
product compliance testing and certification.
4. Knowledge of Federal law and guidance governing the security and
privacy of agency information systems.
5. Demonstration of ability to securely handle large volumes of
information and demonstration of internal security practices.
6. Accreditation pursuant to all the requirements associated with
ISO/IEC 17065 with the appropriate scope.\10\ We recognize that CLAs
cannot obtain accreditation to the FCC scope until after the Commission
adopts standards and testing procedures. As such, the Commission will
accept and conditionally approve CLA applications from entities that
meet the other FCC program requirements and commit to obtain ISO/IEC
17065 accreditation with the appropriate scope within six (6) months of
the effective date by the adopted standards and testing procedures. CLA
approval to authorize use of the FCC IoT Label will be finalized upon
receipt and demonstration to the Commission of ISO/IEC 17065
accreditation with the appropriate scope.\11\
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\10\ The scope of CLA's ISO/IEC 17065 certification includes
certifying IoT products and devices for compliance with FCC
cybersecurity standards.
\11\ Consistent with standard practice for accreditation, the
organization accrediting the CLAs must be recognized by the Bureau
to perform such accreditation based on International Standard ISO/
IEC 17011.
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7. Demonstrate implementation of controls to eliminate actual or
potential conflicts of interests (including both personal and
organizational), particularly with regard to commercially sensitive
information, to include but not limited to, remaining impartial and
unbiased and prevent them from giving preferential treatment to certain
applications (e.g., application line jumping) and from implementing
heightened scrutiny of applications from entities not members or
otherwise aligned with the CLA.
8. That the applicant is not owned or controlled by or affiliated
with any entity identified on the Commission's Covered List or is
otherwise prohibited from participating in the IoT Labeling Program. We
will dismiss all CLA applications from an entity (company) identified
on the Commission's Covered List, the Department of Commerce's Entity
List, and the Department of Defense's List of Chinese Military
Companies.
9. That the applicant is not owned or controlled by or affiliated
with any person or entity that has been suspended or debarred from
receiving
[[Page 61253]]
Federal procurements or financial awards, to include all entities and
individuals published as ineligible for award on the General Service
Administration's System for Award Management.
10. In addition to completing the CLA application information,
entities seeking to be the Lead Administrator will submit a description
of how they will execute the duties of the Lead Administrator,
including:
a. their previous experience in IoT cybersecurity;
b. what role, if any, they have played in IoT labeling;
c. their capacity to execute the Lead Administrator duties outlined
in the Order;
d. how they would engage and collaborate with stakeholders to
identify or develop the Bureau recommendations discussed in the Order;
e. a proposed consumer education campaign; and
f. additional information the applicant believes demonstrates why
they should be the Lead Administrator.
51. For items #7 and #8, we note that the record raises national
security considerations when selecting a Label Administrator. For
example, CTIA urges that the Commission ``exclude all entities on the
Covered List (not just those included on the list for producing
equipment), all entities on the other lists identified in the IoT
Labeling NPRM, as well as entities that are otherwise banned from
federal procurement.'' CTIA explains that these broad exclusions for
program participation are necessary because of ``the unique nature of
the proposed labeling program--namely that it is both government-
administered and voluntary--counsels in favor of painting with a broad
brush on national security-based exclusions.'' We agree with the
commenters in the record, and consistent with our reasoning herein
addressing the exclusion of certain products that would raise potential
national security concerns, we also prohibit entities owned or
controlled by or affiliated with entities that produce equipment found
on the Covered List, as well as entities specified on the other lists
referenced above or those suspended or debarred from receiving Federal
procurements or financial awards from being a CLA in view of national
security considerations and to insure the integrity of the IoT Labeling
Program. Each of these lists represent the determination of relevant
Federal agencies that the entities on the list may pose a national
security threat within their respective areas, and as such we find that
it is not in the public interest to permit these entities to provide
assurances to the American public that products meet minimum
cybersecurity standards. Importantly, we are only excluding the
entities of the lists from a voluntary program under which the FCC
approves their capability to oversee cybersecurity certification
testing for purposes of the IoT Label. Insofar as the FCC IoT Label
reflects the FCC's signal to consumers about cybersecurity, it is
reasonable for us to take a cautious approach when approving entities
to conduct the underlying product evaluations when relevant Federal
agencies have expressed security concerns with the entity.
52. NCTA--The Internet & Television Association (NCTA) also
suggests that ``any `foreign entity of concern' as defined by the CHIPS
Act should be ineligible for certification or recognition as a
CyberLAB.'' Further, ioXt Alliance recommends that the Commission
``establish rules to ensure CyberLABs are not subject to undue
influence by foreign adversaries.'' We agree that it would be
problematic for the U.S. to rely on the determination of entities
controlled or affiliated with ``foreign adversaries'' as to the
security of products approved to use the Cyber Trust Mark, and
therefore the FCC will not recognize for purposes of the IoT Labeling
Program any applicant that is an entity, its affiliate, or subsidiary
owned or controlled by a ``foreign adversary'' country. A ``foreign
adversary'' country is defined in the Department of Commerce's rule, 15
CFR 7.4, and includes China (including Hong Kong), Cuba, Iran, North
Korea, Russia, and Maduro Regime. We do not otherwise see a basis to
preclude other foreign entities from serving as CLAs, but at this
preliminary stage of establishing the IoT Labeling Program--where no
international agreements are yet in place in this regard, and oversight
details continue to be effectuated--we defer action in this regard. We
delegate authority to PSHSB, in consultation with the Office of
International Affairs (OIA), to evaluate and (after any appropriate
public notice and comment) establish qualification criteria for any
entity outside the United States to be approved to act as a CLA once
any appropriate international agreements or other appropriate
prerequisites are in place.
53. We decline to require that a CLA be a non-profit. The
Cybersecurity Coalition recommends that the CLA be a non-profit entity,
but did not elaborate on why, focusing their comments on having a
neutral, independent third-party that followed consistent pricing
guidelines and had industry experience and strong security practices.
Researchers from the Northeastern University's College of Engineering
similarly agreed that the Label Administrator should be a non-profit
while emphasizing that the CLA should not have conflicts of interest.
We decline, however, to require that the CLA be a non-profit
organization, recognizing that there may be well-qualified companies
that may be for-profit organizations or non-profit organizations that
possess the other relevant qualifications. We agree with what appear to
be the underlying concerns of the record, that the CLA be neutral, have
the knowledge outlined above (e.g., knowledge regarding FCC rules, IoT
cybersecurity standards and testing procedures), and be free of
conflicts. However, we believe that a company that satisfies the above
requirements could carry out the CLA duties without being a non-profit
organization. Moreover, expanding the pool of potential participants
should increase the likelihood that a reasonable number of qualified
entities apply to fulfill the specified roles. In addition, the record
did not highlight reasons why a for-profit company would be incapable
of fulfilling the role of label administrator.
54. Termination of CLA Authority. To address national security
concerns, the authority of CLAs to grant applications to use the FCC
IoT Label under the IoT Labeling Program will automatically terminate
if the CLA subsequently becomes owned or controlled by or affiliated
with an entity that produces equipment found on the Covered List, or
otherwise added to any exclusionary list identified in this item as
precluding authorization as a CLA. In addition, a CLA's authority may
also be terminated for failure to uphold the required competencies or
accreditations enumerated above. We delegate authority to PSHSB, to
determine if a CLA's authority is to be terminated in the latter
circumstance, and to terminate such authorization.\12\ PSHSB, may
identify such CLA deficiencies itself or receive notice from other
entities, including other agencies, consumers,
[[Page 61254]]
and industry, that products granted authorization by a CLA do not
accurately reflect the security posture of the product. Products
authorized to use the FCC IoT Label by a disqualified CLA will be
subject to the disqualification procedures described further below.
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\12\ Because of the public safety importance of a CLA having the
requisite qualifications and adhering to our rules when evaluating
requests to use the FCC IoT Label, this process should proceed
appropriately expeditiously to minimize any periods of time where a
CLA continues to operate in that capacity once concerns have come to
PSHSB's attention. In particular, PSHSB shall provide notice to the
CLA that the Bureau proposes to terminate the CLA's authority and
provide the CLA a reasonable opportunity to respond (not more than
20 days) before reaching a decision on possible termination. PSHSB
may suspend the CLA's ability to issues labeling authorizations
during the pendency of such consideration if appropriate.
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55. CLA Application Filing Window. We delegate authority to the
Bureau to issue a Public Notice opening the initial filing window to
receive applications from entities seeking authority to be recognized
as a CLA (and Lead Administrator) under the IoT Labeling Program with
instructions on how to apply and further details on the qualifications
required of CLA applicants as well as the decision criteria used to
select applicants. We also delegate to the Bureau authority to open
additional filing windows or otherwise accept additional applications
for authority to be recognized by the Bureau as a CLA when and as the
Bureau determines it is necessary. Interested parties must establish
they meet the requirements established in the Order. The Commission
notes that it may refer applications to the U.S. Committee for the
Assessment of Foreign Participation in the U.S. Telecommunications
Sector (Team Telecom) for their review and consideration of national
security and law-enforcement risks. We further delegate authority to
PSHSB in coordination with the Office of the Managing Director (OMD)
(specifically Office of the Chief Information Officer) and, to the
extent necessary, the Office of General Counsel (OGC) (specifically the
Senior Agency Official for Privacy), to receive and review each
application for compliance with the criteria established in the Order.
We also delegate to PSHSB authority to adopt additional criteria and
administrative procedures necessary to efficiently select one or more
independent, non-governmental entities, to act as CLA(s) and Lead
Administrator. The Lead Administrator must provide equitable
recommendations to the Commission to encourage the broadest possible
participation of CLAs within the parameters of the FCC's rules.\13\ We
also delegate to PSHSB authority to adopt additional criteria and
procedures in the event the Lead Administrator must be replaced or
chooses to withdraw from its responsibilities.\14\ We delegate
authority to PSHSB to release a Public Notice announcing the CLA(s)
selected by the Bureau and next steps for each entity, including but
not limited the execution of appropriate documentation governing the
details of the CLA's responsibilities. Moreover, we delegate to PSHSB
and OMD authority to take any necessary steps, including adoption of
additional procedures and any applicable fees after selection of the
CLAs, if necessary to ensure compliance with the Communications Act or
applicable government-wide statutes that are implicated by the IoT
Labeling Program. Finally, we also delegate authority to PSHSB and OMD,
in consultation with OGC, to take any additional actions necessary to
preserve the Commission's rights to the Cyber Trust Mark under
trademark and other applicable laws. Only entities who have followed
the procedures required by PSHSB and OMD and executed relevant required
documentation will be authorized by the Commission to accept and grant
applications authorizing the use of the FCC IoT Label, which includes
the Cyber Trust Mark and QR Code.
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\13\ We also agree with CTA in highlighting the importance of
PSHSB's involvement in matters where the Lead Administrator and CLAs
may share vested interests.
\14\ We recognize the potential raised by ioXt Alliance for
anticompetitive preferences in recommendations made to the Bureau if
a CLA is chosen as Lead Administrator.
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C. CyberLABs, CLA-Run Labs, and In-House Testing Labs
56. The Commission envisioned the role of CyberLABs as assessing
IoT devices or products for compliance against IoT security standards,
once developed. The Commission sought comment on whether the Commission
or one of the authorized label administrators would evaluate, accredit,
or recognize the CyberLABs, noting that it was seeking to ensure that
CyberLABs have the necessary expertise and resources to properly test
and assess whether IoT devices and products are in compliance with the
IoT security standards. To become accredited and FCC-recognized for the
proposed IoT Labeling Program, the Commission proposed the submission
of applications demonstrating the applicant CyberLAB met the following
requirements:
Qualifications: The CyberLAB has technical expertise in
cybersecurity testing and conformity assessment of IoT devices and
products.
Resources: The CyberLAB has the necessary equipment,
facilities, and personnel to conduct cybersecurity testing and
conformity assessment of IoT devices and products.
Procedures: The CyberLAB has documented procedures for
conformity assessment.
Continued competence: Once accredited and recognized,
CyberLABs would be periodically audited and reviewed to ensure they
continue to comply with the IoT security standards and testing
procedures.
57. We adopt our proposal to accept CyberLABs, in-house labs, and
CLA-run labs, to test and assess IoT products for compliance with the
consumer IoT standards that are established pursuant to the process
described above to actualize the outcome of the NIST criteria. Rather
than having the Commission or CLA evaluate or accredit a lab, however,
we are persuaded that it is appropriate to recognize testing labs that
have been accredited to ISO/IEC 17025 standards to conduct compliance
testing that would support an application for authority to affix the
FCC IoT Label. Consistent with standard practice for accreditation, the
organization accrediting the testing labs must be recognized by the
Bureau to perform such accreditation based on International Standard
ISO/IEC 17011. We recognize that labs cannot be accredited or
recognized in the context of this IoT Labeling Program until after the
IoT cybersecurity standards have been approved by the Commission and
incorporated into the Commission's rules. We delegate authority to
PSHSB to publish a Public Notice, subject to any required notice and
comment, outlining the specific standards CyberLABs, in-house labs, and
CLA-run labs must meet to be recognized as qualified to conduct
conformity testing to support applications seeking authority to use the
FCC IoT Label. We also find it to be in the public interest for the
Lead Administrator to review and recognize labs that meet these
accreditation requirements and make a list of recognized labs publicly
available.\15\
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\15\ To enable the Lead Administrator to compile a reliable and
verifiable list, we require accredited CyberLABs to submit certain
information to the Lead Administrator: (1) Laboratory name, location
of test site(s), mailing address and contact information; (2) Name
of accrediting organization; (3) Scope of laboratory accreditation;
(4) Date of expiration of accreditation; (5) Designation number; (6)
FCC Registration Number (FRN); (7) A statement as to whether or not
the laboratory performs testing on a contract basis; (8) For
laboratories outside the United States, details of the arrangement
under which the accreditation of the laboratory is recognized; and
(9) Other information as requested by the Commission.
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58. The Order agrees with CTIA that entities specializing in
testing and certification will be valuable to program participants, and
that such entities are likely to have the resources and expertise to
evaluate IoT products in accordance with a standard. CTIA also notes,
``a third-party certification model will help to lend credibility to
the program'' because CyberLABs can focus on the assessment aspects of
the program in a way that helps ensure the
[[Page 61255]]
integrity of the IoT Labeling Program. The Order also agrees with CTA
that leveraging accredited industry bodies to perform conformity
assessments will ``speed the establishment of the program and increase
the program's ultimate quality.''
59. We agree with CSA's argument that the Commission should adopt a
model where CyberLABs must be ISO/IEC 17025 accredited. CSA notes its
confusion as to whether CyberLABs were intended to be ``certification
bodies'' as defined by ISO/IEC 17065 or ``evaluation laboratories'' as
defined by ISO/IEC 17025. We clarify that the proposal as envisioned by
the IoT Labeling NPRM and adopted here is for CyberLABs, in-house labs,
and CLA-run labs to function as a body responsible for assessing the
security of IoT products (i.e., testing lab). CSA proposes that such
bodies hold ISO/IEC 17025 accreditations, as this model has been the
basis for mutual recognition agreements in the cybersecurity industry,
and we agree.
60. We note the objection of LG Electronics, which asserts that
``[t]he CyberLAB concept described in the NPRM would almost certainly
create a testing bottleneck'' that would slow the process, and deter
participation in the IoT Labeling Program. Instead, LG Electronics
argues, self-certification is required to avoid these problems,
although LG Electronics concedes that some compliance certification is
required to participate in the IoT Labeling Program. As a nascent
program, and as discussed above in connection with the envisioned
process, we do not find it appropriate to adopt at this time a labeling
path that does not include some level of laboratory testing in
combination with an application to a CLA to ensure the product bearing
the FCC IoT Label complies with the IoT Labeling Program's
requirements. However, we recognize the benefits of time, efficiency
and cost-savings associated with in-house testing and will allow the
option for applicants to use an in-house testing labs, provided the lab
is ISO/IEC 17025 accredited.
61. CyberLABs' Programmatic Role. CyberLABs will receive requests
for conformance testing from manufacturers seeking to use the FCC IoT
Label and will assess and test the products using the cybersecurity
standards developed by industry and approved by the Commission and
provide the applicant with a report of their findings. There was
confusion in the record with how the term CyberLAB is to be applied.
The Commission clarifies that the CyberLABs are laboratories whose role
is limited to conducting compliance tests and generating reports.
CyberLABs are not, in the organizational structure adopted in the
Order, either certifying products or issuing authorization to use the
FCC IoT Label. While the IoT Labeling NPRM defined a CyberLAB as an
``authorization body'' we remove that reference here as the term
``authorization body'' might be seen as referring to certification
bodies, not laboratories. The role of CyberLABs is to conduct the
required tests and generate test reports for use by the applicant in
seeking CLA authorization to use the FCC IoT Label.
62. In-House Testing Lab. We also adopt an option for manufacturers
to use an accredited and Lead Administrator-recognized in-house testing
lab to perform the cybersecurity conformity testing for their IoT
products, provided the in-house lab meets the same vigorous standards
as the CyberLABs. In the IoT Labeling NPRM, the Commission sought
comment on whether there is an avenue for ``a comprehensive review that
an IoT device or product compl[ies] with the IoT security standards.''
We received significant support in the record for an in-house testing
option. Samsung argues that, to encourage widespread adoption, the
Commission must allow manufacturers an option to perform in-house
testing to receive the label. The Cybersecurity Coalition urges the
Commission to allow for in-house testing. We agree that an in-house
testing option, for some manufacturers, will be more cost-effective,
encourage participation in the IoT Labeling Program, and when combined
with the filing of an application with a CLA can assure quality and
trust in the IoT Labeling Program. However, we do require that in-house
labs meet the same accreditation and recognition requirements as
CyberLABs. In this respect, consumers may be assured that the label
achieved on an in-house basis meets the same standards as those tested
elsewhere, promoting consistency and reliance on the IoT Labeling
Program generally. We also expect that ensuring a common baseline
testing standard will ultimately aid in the ability to gain
international recognition of the Cyber Trust Mark.
63. CLA-Run Testing Lab. We also recognize that CLAs may also have,
or seek to have, their own in-house labs conduct conformity testing for
applicants seeking certification to use the Mark. The Commission finds
no need to limit the number of potential testing facilities by
prohibiting CLA-run labs from also being considered recognized labs.
Applicants who wish to do so, may file an application with an
authorized CLA and request the services of the CLA's accredited and
Lead Administrator-recognized lab. Again, the Commission requires CLA
labs to meet the same accreditation and recognition requirements as
CyberLABs. Only after a lab has been accredited by a recognized
accreditation body may the lab file an application with the Lead
Administrator seeking to be recognized as an approved cybersecurity
testing lab.\16\ As explained by the American Association for
Laboratory Accreditation (A2LA), ``[a]ccreditation is a means of
determining the technical competence of conformity assessment
organizations such as laboratories using qualified, third-party
accreditation bodies. It assures federal government agencies as well as
private sector organizations that assessments conducted by
accreditation bodies are objective and reliable and that one can have
confidence in the data generated by the accredited testing
laboratory.'' Recognizing that, whether an IoT product is evaluated by
a CyberLAB, CLA-run lab, or an in-house lab there is a need to ensure
equal rigor in the process, this requirement applies to in-house
testing labs and third-party testing labs (CyberLABs and CLA-run labs).
For ease of understanding, when we refer to CyberLABs below, we are
including CyberLABs, in-house testing labs, and CLA-run labs.
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\16\ This approach necessitates a mechanism for the Commission
to recognize lab accreditation bodies, and we accordingly adopt a
rule doing so. See 47 CFR 8.218. We model our approach on analogous
elements of our equipment authorization rules, with which the
Commission and industry have substantial experience, and which have
proven workable in practice. See 47 CFR 2.949. We delegate to PSHSB
and OMD authority to take any necessary steps, including adoption of
additional procedures and any applicable fees (pursuant to any
required public notice and comment), as necessary to ensure
compliance with the Communications Act with respect to any rules
adopted here that contemplate the filing of applications directly
with the Commission. 47 U.S.C 158(c).
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64. In order to achieve recognition by the Lead Administrator, all
labs seeking recognition under the Commission's IoT Labeling Program
must submit evidence of accreditation in the form of an attestation
from an accreditation body that the prospective lab has demonstrated:
1. Technical expertise in cybersecurity testing and conformity
assessment of IoT devices and products. Compliance with all
requirements associated with ISO/IEC 17025. If we determine that other
ISO standards or other relevant requirements are missing, the
Commission will provide guidance to industry on how they may be
addressed.
[[Page 61256]]
2. Knowledge of FCC rules and procedures associated with IoT
cybersecurity compliance testing and certification.
3. Necessary equipment, facilities, and personnel to conduct
cybersecurity testing and conformity assessment of IoT devices and
products.
4. Documented procedures for IoT cybersecurity conformity
assessment.
5. Demonstrated implementation of controls to eliminate actual or
potential conflicts of interests (including both personal and
organizational), particularly with regard to commercially sensitive
information.
6. That the applicant is not owned or controlled by or affiliated
with any entity that produces equipment on the FCC Covered List or is
otherwise prohibited from participating in the IoT Labeling Program. We
will dismiss all applications from a company named on the Department of
Commerce's Entity List, the Department of Defense's List of Chinese
Military Companies.
7. That the applicant is not owned or controlled by or affiliated
with any person or entity that has been suspended or debarred from
receiving Federal procurements or financial awards, to include all
entities and individuals published as ineligible for award on the
General Service Administration's System for Award Management.
65. Once accredited and recognized, the lab will be periodically
audited and reviewed by the Lead Administrator to ensure they continue
to comply with the IoT security standards and testing procedures.
66. Concerning items #6 and #7, national security considerations
must be considered when allowing testing labs to participate because of
``the unique nature of the proposed labeling program.'' As recommended
in the record and consistent with our exclusions as to eligible
products and eligibility to serve as a third-party administrator, all
entities owned or controlled by or affiliated with entities that
produce equipment found on the Covered List, as well as entities
specified on the other U.S. Government exclusionary lists referenced
above are prohibited from serving as a CyberLAB. Each of these lists
represent the determination of relevant Federal agencies that the
entities on the list may pose a national security threat within their
respective areas, and as such we find that we cannot give U.S.
Government endorsement to their security testing while claiming they
pose such a threat. Insofar as the label reflects the FCC's signal to
consumers about cybersecurity, it is reasonable for the FCC to take a
cautious approach especially for those products for which relevant
Federal agencies have expressed other security concerns with the
testing lab.
67. NCTA also suggests also suggests that ``any `foreign entity of
concern' as defined by the CHIPS Act should be ineligible for
certification or recognition as a CyberLAB.'' Further, ioXt Alliance
recommends that the Commission ``establish rules to ensure CyberLABs
are not subject to undue influence by foreign adversaries.'' We agree
that it would be problematic for the U.S. to rely on the determination
of entities controlled or affiliated with ``foreign adversaries'' as to
the security of products approved to use the Cyber Trust Mark, and
therefore the Lead Administrator will not recognize for purposes of the
IoT Labeling Program any testing lab that is an entity, its affiliate,
or subsidiary owned or controlled by a ``foreign adversary'' country. A
``foreign adversary'' country is defined in the Department of
Commerce's rule, 15 CFR 7.4, and includes China (including Hong Kong),
Cuba, Iran, North Korea, Russia, and Maduro Regime. Because of the role
CLAs will play in the labeling program, we find that the concerns
related to entities identified as ``foreign adversaries'' are equally
applicable to entities acting as CLAs as they are testing labs. To
avoid these issues, the record suggests requiring testing labs certify
compliance with the Commission's rules, including the rules pertaining
to the Covered List. Accordingly, we find it appropriate that each
testing lab must certify to the truth and accuracy of all information
included in its recognition application and immediately update the
information if the information changes.
68. The Order notes that Garmin advocates even stricter measures on
the testing labs, suggesting that the labs be ``located in the U.S.''
We decline to require physical location within the U.S. to avoid
``unnecessarily limiting the pool of legitimate CyberLABs approved to
conduct testing and conformity assessment for the Mark.'' Further, the
record indicates that this stricter approach ``would vastly diminish
manufacturers' abilities to select and access evaluation labs, conduct
proper risk management and promote competition and diversity in the lab
market.'' Such a restriction might also unduly limit the ability of
legitimate foreign corporations that do not raise national security
concerns to participate in the IoT Labeling Program to the detriment of
the goal of elevating the cybersecurity posture of those IoT devices
sold in the U.S. and to promote international recognition of the Cyber
Trust Mark. We delegate authority to the Bureau to adopt any additional
criteria or procedures necessary with respect to labs located outside
of the United States.
69. Terminating CyberLAB Testing Authority. To address national
security concerns, the CyberLAB recognition afforded to entities under
this IoT Labeling Program will be automatically terminated for entities
that subsequently become affiliated with an entity that is owned or
controlled by or affiliated with entities that produce equipment placed
on the Covered List, or that are otherwise added to any exclusionary
list identified in this item as precluding authorization as a CyberLAB.
CyberLAB testing authority may also be terminated for failure to uphold
the required competencies or accreditations enumerated above. We
delegate authority to the Bureau to determine when a CyberLAB's
authority is to be terminated, and to terminate such authorization.\17\
The Bureau may identify such deficiencies itself or receive notice from
other entities, including other agencies, consumers, and industry, that
products tested by a CyberLAB do not accurately reflect the security
posture of the product. Products authorized to use the FCC IoT Label by
a disqualified CyberLAB will be subject to the disqualification
procedures described further below.
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\17\ Because of the public safety importance of a CyberLAB
having the requisite qualifications and adhering to our rules when
evaluating requests to use the FCC IoT Label, this process should
proceed appropriately expeditiously to minimize any periods of time
where a CyberLAB continues to operate in that capacity once concerns
have come to PSHSB's attention. In particular, PSHSB shall provide
notice to the CyberLAB that the Bureau proposes to terminate the
CyberLAB's authority and provide the CyberLAB a reasonable
opportunity to respond (not more than 20 days) before reaching a
decision on possible termination. PSHSB may suspend the CLA's
ability conduct product testing during the pendency of such
consideration if appropriate.
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70. Fees. To fulfill their role, as envisioned by the IoT Labeling
NPRM, we authorize CyberLABs to charge reasonable fees to conduct the
tasks adopted in the Order. The IoT Labeling NPRM proposed a fee
calculation methodology adopted by the Commission in the 2020
Application Fee Report and Order, 86 FR 15026 (March 19, 2021), and
sought comment on whether any oversight is needed by the Commission
over such charges. We did not receive any comments on the suitability
of the approach proposed in the IoT Labeling NPRM or detailed comments
about the degree of oversight the Commission should conduct over
[[Page 61257]]
the charges. We recognize the Cybersecurity Coalition's comments that
high fees would deter participation in the IoT Labeling Program. We
anticipate that there will be multiple CyberLABs authorized through the
approach adopted in the Order, and we believe that market competition
will ensure fees are reasonable, competitive, and accessible while
covering the costs incurred by the CyberLABs in performing their
designated tasks. We believe this addresses the concerns raised by the
Cybersecurity Coalition and renders the approach proposed in the IoT
Labeling NPRM unnecessary. The National Association of Manufacturers
(NAM) rightly indicates, however, that the fee structure for CyberLABs
will necessitate ``robust protections to ensure that CyberLABs focus on
the underlying mission of protecting the public rather than boosting
their revenues.'' We delegate to the Bureau, in connection with OMD, to
review and reconsider if necessary whether the level and structure of
the fees should be regulated by the Commission.
D. Two-Step Process for Obtaining Authority To Use the FCC IoT Label
71. The Commission adopts a two-step process for a manufacturer
seeking authority to use the FCC IoT Label, which includes (1) product
testing by an accredited and Lead Administrator-recognized lab (e.g.,
CyberLAB, CLA lab, or an in-house lab) and (2) product label
certification by a CLA. In the context of this IoT Labeling Program and
as discussed in detail below, we find that in order to ensure the
integrity of this nascent program, that the FCC IoT Label certification
process will include a two-step process involving (1) the use of an
accredited and Lead Administrator-recognized laboratory (CyberLAB, CLA
lab, or in-house lab) to test the IoT product for compliance to FCC
rules and generate a test report; and (2) an application to an FCC-
recognized CLA (i.e., an accredited certification body) to certify the
product as fully compliant with all relevant FCC IoT Labeling Program
rules.
72. The record is split on the processes the Commission should
adopt for manufacturers to follow when seeking to use the FCC IoT
Label, specifically with regard to whether it is necessary for a third-
party to review and verify the product meets all of the IoT Labeling
Program requirements, including product testing, or if the manufacturer
should be afforded the opportunity to ``self-declare'' compliance and
affix the FCC IoT Label without third-party verification.
73. UL Solutions, T[Uuml]V S[Uuml]D, and TIC Council Americas
recommend that the Commission require all applications to be supported
by conformity testing conducted by an accredited lab (e.g., ISO/IEC
17025 accredited), and submitted to a third-party for verification of
compliance with the Commission's program requirements. Others argue the
Commission should accept a declaration of conformity or self-
certification, while others recommend the Commission enter into
agreements with each manufacturer to allow the manufacturer to conduct
internal conformity testing of its products and self-certify compliance
with the Commission's program requirements resulting in approval to use
the Cyber Trust Mark without third-party involvement. CTA, for example,
contemplates a ``Manufacturer Self-Attestation Process'' where
manufacturers apply to the Commission for access to a ``Mark Self-
Attestation License Agreement'' between the manufacturer and the FCC.
Under this process, the manufacturer provides documentation showing how
it complies with the NIST Criteria and if the Commission agrees with
the documentation, the parties execute the agreement. The license
agreement will identify the limits of the manufacturer's license
authority, which may be corporate-wide, on a divisional basis, or for a
specific product line.
74. To ensure the Cyber Trust Mark retains the highest level of
integrity and consumer trust, we agree with commenters who caution
against allowing testing by entities that are not accredited and
recognized. We also agree with Garmin and AHAM, who recommend third-
party verification of the information contained in a manufacturer's
application to use the Cyber Trust Mark. UL Solutions notes that while
the Commission's equipment authorization process allows some products
that pose a low risk of RF interference to be approved via a Supplier's
Declaration of Conformity (SDoC), there is no clear line to be drawn
between low risk and high risk connected products when ``IoT devices
are significant targets for an ever- growing number of cybersecurity
attacks.'' In addition, UL Solutions points to the investigation
conducted by the Government Accountability Office (GAO) into the ENERGY
STAR program's initial reliance a supplier's declaration of conformity,
which GAO found to be unreliable because GAO was able to obtain UL
certification with blatantly non-conforming products.
75. The Commission disagrees with commenters who believe the IoT
Labeling Program should offer different methods of conformity
assessment based on varying levels of risk and potential impact on
consumers because doing so adds an unnecessary and significant layer of
complexity to the process. The Commission recognizes the view of
Keysight, the National Electronic Manufacturers Association (NEMA),
AIM, Whirlpool, AHAM, Consumer Reports, Garmin, NAM, ITI, and TIC
Council Americas, who support self-attestation as an efficient and cost
effective methodology for applicants to conduct conformity assessments.
However, the Commission agrees with A2LA, which urges caution with
self-attestations of conformity ``due to the bias inherent in self-
declaration.'' We also take into serious consideration the 2010 GAO
Report that found the ENERGY STAR program in effect at that time, which
was ``primarily a self-certification program relying on corporate
honesty and industry self-policing to protect the integrity of the
Energy Star label,'' failed to require upfront third-party validation
of manufacturers' self-reported claims of compliance with the program
requirements, which resulted in the certification of bogus products as
ENERGY STAR compliant. ENERGY STAR has since changed the manner in
which it certifies products as ENERGY STAR compliant, stating that in
order ``[t]o ensure consumer confidence in the ENERGY STAR label and to
protect the investment of ENERGY STAR partners, the U.S. Environmental
Protection Agency (EPA) requires all ENERGY STAR products to be third-
party certified. Products are tested in an EPA-recognized laboratory
and reviewed by an EPA-recognized certification body before they can
carry the label.''
76. As such, in light of the nascent nature of the IoT Labeling
Program, lessons learned in the ENERGY STAR context, and the need to
ensure that the Cyber Trust Mark garners sufficient trust by consumers
to be viewed as providing accurate information and manufacturer
participation, we find that allowing a path to ``self-attestation'' is
not appropriate at this time. While such a path may provide for prompt
time to market for the Cyber Trust Mark itself, the concerns regarding
the Mark's integrity at this initial stage counsel against ``self
attestation.'' Moreover, we anticipate that the benefits and level of
efficiency afforded manufacturers by the ability to use in-house labs
will mitigate the additional process associated with certification by a
CLA, as discussed below.
77. We intend for the Cyber Trust Mark to serve as a reliable and
trusted
[[Page 61258]]
way for consumers to quickly identify those products that meet the
Commission's program requirements. To achieve this, the Commission must
adopt sufficient controls over the IoT Labeling Program to ensure only
those products that meet the Commission's requirements bear the Cyber
Trust Mark. The Commission's second step of requiring an application be
submitted to a CLA is a significant and important control to ensure
that an independent disinterested third-party outside the
manufacturer's control has reviewed the manufacturer's product
application and supporting test report and verified that the product
complies with the Commission's program requirements.
78. The second step of the application process is particularly
important because, as discussed above, the Commission allows the first
step (testing) to be completed by an accredited and recognized
CyberLAB, a CLA lab, or the manufacturer's in-house lab. Requiring the
manufacturer to submit an application with a CLA is an important
control, particularly to ensure that all products, including those
products whose conformity testing is conducted, and reports are
generated, by the manufacturer's in-house lab, are subject to third-
party scrutiny and oversight. As such, the Commission requires all
entities seeking to use the FCC IoT Label must submit an application
for authority to a CLA to use the FCC IoT Label that is supported by
the appropriate report detailing the conformity testing conducted by a
lab that is both accredited and Lead Administrator-recognized
(CyberLAB, CLA lab, or manufacturer's in-house lab). Only entities who
have received prior authorization from a CLA (i.e., cybersecurity
certification) are authorized to use the FCC IoT Label, which will
ensure the IoT Labeling Program retains its integrity.\18\ We further
recognize that the CLA may charge a reasonable fee to cover the cost of
reviewing the application and the costs of conducting the other tasks
the CLA would perform. Once the IoT Labeling Program is established, we
may revisit the issue of whether to adopt additional pathways to
obtaining authority to use the FCC IoT Label.
---------------------------------------------------------------------------
\18\ In addition to the discussion in the text, we adopt certain
rules to support the administration and integrity of the IoT
Labeling Program, including governing the designation of agents for
service of process and governing required signatures. See 47 CFR
8.208(i), (k). We model our approach on analogous elements of our
equipment authorization rules, with which the Commission and
industry have substantial experience, and which have proven workable
in practice. See 47 CFR 2.911(d)(7), (f).
---------------------------------------------------------------------------
79. The IoT Labeling NPRM sought comment on whether and how one or
more third-party administrators should be utilized to manage the IoT
Labeling Program, and whether the Commission should designate one or
more administrators to authorize use of the label. Kaiser Permanente
argues that the Commission should maintain ownership of the application
process, as well as oversight and supervision of third parties
administering the IoT Labeling Program. Garmin notes that the
application process described in the IoT Labeling NPRM is unclear and
worries that third-party involvement would require enormous effort, and
cautioned that sharing sensitive information with a third-party
administrator itself raises security concerns. However, the record was
silent with respect to details about an application process. We agree
that oversight and supervision of the IoT Labeling Program, including
intaking applications, will require effort but believe a CLA is in the
best position to streamline that process and, as noted, ensure the
integrity of the process. We will require the CLA to have the ability
to securely handle large volumes of information, which we believe
should alleviate Garmin's concern. We outline the application process
to use the FCC IoT Label below.
80. Before being able to display the Cyber Trust Mark, the
applicant must determine their product is an eligible product under our
rules; have their product tested by an accredited and Lead
Administrator-recognized CyberLAB, CLA Lab, or manufacturer's in-house
lab; obtain a report of conformity and compliance from the lab; and
submit an application for authority to use the FCC IoT Label to an FCC-
recognized CLA in accordance with their procedures. Using the CLAs'
filing processes, entities seeking authority to use the FCC IoT Label
will file an application to be developed by the Bureau. Each
application must include a report of conformity issued by an accredited
CyberLAB, accredited CLA lab, or accredited in-house lab whose testing
and reporting is comparative in rigor to that completed by a CyberLAB.
The CLA will review the application and supporting documentation to
ensure it is complete and in compliance with the Commission's rules and
will either grant or deny the application. If an application is
granted, the CLA will provide the applicant with notification of the
grant and authority to affix the FCC IoT Label to the product granted
authorization.
81. Applications that do not meet the Commission's IoT Labeling
Program will be denied by the CLA. If an application is denied, the CLA
will provide the applicant with notification of the denial and an
explanation of why it was denied. An applicant may only re-submit an
application for a denied product if the CLA-identified deficiencies
have been corrected. The applicant must indicate on its application
that it is re-submitting the application after it was denied, the name
of the CLA that denied the application, and the CLA's explanation of
why it was denied. Failure to disclose the denial of an application for
the same or substantially similar product will result in denial of the
application for that product and the FCC will take other regulatory
and/or legal action it deems appropriate.
82. Grant or denial of an application for authority to use the FCC
IoT Label will be made by the CLA in the first instance. The CLA will
return incomplete applications to the applicant or otherwise contact
the applicant regarding the incomplete application, as soon as
possible.
83. We delegate authority to the Bureau to issue a Public Notice
after any necessary notice and public comment and after completing any
process required under the Paperwork Reduction Act, providing further
details on how to apply for authority to use the FCC IoT Label,
including but not limited to informational elements of the application,
additional details on filing requirements (e.g., description or
photograph of the label and how/where it will be affixed to the
product), and how to request confidential treatment of submitted
information. As the Commission anticipated in the NPRM, CLAs may charge
reasonable fees for their services and to cover the costs of performing
the administrative duties. The IoT Labeling NPRM proposed to follow the
fee calculation methodology adopted by the Commission in the 2020
Application Fee Report and Order and requested comment on the proposal
and any changes. We did not receive any comments on the suitability of
this approach. We recognize the Cybersecurity Coalition's comments that
high fees would deter participation in the IoT Labeling Program. We
anticipate that there will be multiple administrators authorized
through the approach adopted in the Order, and we believe that market
competition will ensure fees are reasonable, competitive, and
accessible while covering the costs incurred by the CLA in performing
their designated tasks. We believe this addresses the concerns raised
by the Cybersecurity Coalition and renders the approach proposed in the
IoT Labeling NPRM unnecessary. We therefore reject
[[Page 61259]]
the NPRM's proposal. To the extent that the Lead Administrator may
incur costs in performing its duties on behalf of the program as a
whole, we expect these costs to be shared among CLAs as a whole.\19\ We
delegate to the Bureau, in connection with OMD, to consider these
issues and provide guidance to the CLAs and Lead Administrator to
ensure the fees do not become onerous, as indicated by the record.
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\19\ We recognize that many of the duties of the Lead
Administrator benefit all the CLAs and the program as a whole, and
we do not suggest that the costs associated with the duties of the
Lead Administrator as described in the Order to be an exhaustive
list of the shared costs we expect to be shared among CLAs as a
whole.
---------------------------------------------------------------------------
84. Seeking Review of CLA Decision. Any party aggrieved by an
action taken by a CLA must first seek review from the CLA, which must
be filed with the CLA within 60 days from the date of the CLA's
decision. A party aggrieved by an action taken by a CLA may, after
seeking review by the CLA, seek review from the Commission. A request
for Commission review must be filed with the Commission within 60 days
from the date the CLA issues a decision on the party's request for
review. In all cases of requests for review, the request for review
shall be deemed filed on the postmark date. If the postmark date cannot
be determined, the applicant must file a sworn affidavit stating the
date that the request for review was mailed. Parties must adhere to the
time periods for filing oppositions and replies set forth in 47 CFR
1.45.
85. We delegate authority to PSHSB to consider and act upon
requests for review of CLA decisions. Requests for review that raise
novel questions of fact, law, or policy will be considered by the full
Commission. An affected party may seek review of a decision issued
under delegated authority pursuant to the rules set forth in part 1 of
the Commission's rules. The Bureau will conduct de novo review of
requests for review of decisions issued by a CLA. The Commission will
conduct de novo review of requests for review of decisions by the CLA
that involve novel questions of fact, law, or policy; provided,
however, that the Commission will not conduct de novo review of
decisions issued by the Bureau under delegated authority. The Bureau
will, within 45 days, take action in response to a request for review
of CLA decision that is properly before it. The Bureau may extend the
time period for taking action on a request for review of a CLA decision
for a period of up to 90 days. The Commission may also at any time,
extend the time period for taking action of a request for review of a
CLA decision pending before the Bureau. The Commission will issue a
written decision in response to a request for review of a CLA decision
that involves novel questions of fact, law, or policy within 45 days.
The Commission may extend the time period for taking action on the
request for review of a CLA decision. The Bureau also may extend action
on a request for review of an CLA decision for a period of up to ninety
days. While a party seeks review of a CLA decision, they are not
authorized to use the FCC IoT Label until the Commission issues a final
decision authorizing their use of the FCC IoT Label.
E. Consumer IoT Product Cybersecurity Criteria and Standards
86. Technical Criteria for Consumer IoT Products. We adopt the IoT
Labeling NPRM proposal that the NIST Core Baseline serve as the basis
of the IoT Labeling Program. The NIST Core Baseline is based on
product-focused cybersecurity capabilities (also referred to by NIST as
``Outcomes'') rather than specific requirements, which NIST asserts
provide the flexibility needed due to the diverse marketplace of IoT
products, and we agree. As outlined in the IoT Labeling NPRM, the NIST
criteria includes the following IoT product capabilities: (1) asset
identification; (2) product configuration; (3) data protection; (4)
interface access control; (5) software update; (6) cybersecurity state
awareness; and the following IoT Product Developer Activities: (7)
documentation; (8) information and query reception; (9) information
dissemination; and (10) product education and awareness.
87. The record reflects broad support for adoption of the technical
criteria presented in NISTIR 8425. For example, a coalition of industry
stakeholders including the Association of Home Appliance Manufacturers,
Connectivity Standards Alliance, Consumer Technology Association, CTIA
Information Technology, Industry Council, National Electrical
Manufacturers Association, Plumbing Manufacturers International Power
Tool Institute, Security Industry Association, Telecommunications
Industry Association, U.S. Chamber of Commerce, and USTelecom submitted
a letter to the Commission supporting the establishment of ``a
voluntary program based on the technical criteria developed by [NIST],
under NISTIR 8425.'' UL Solutions supports adoption of the NISTIR 8425
criteria and asserts that there are several mature standards that can
be drawn from that address the NISTIR 8425 criteria, such as UL 2900,
UL 5500, and IEC 62443.
88. CTIA supports adoption of the NIST Core Baseline but urges the
Commission not to prescribe any specific methodologies that testing
programs or standards must use, other than to require that such
programs or standards be consistent with NIST Core Baseline. CSA also
supports adoption of the NIST Core Baseline but urges the Commission to
refrain from developing its own standards for testing. Rather, CSA
asserts that they have developed a certification program that meets the
requirements of NISTIR 8425 and other relevant standards documents,
including ETSI EN 303 645 and the Singapore Cybersecurity Labeling
Scheme, and CTA indicates that they are working on American National
Standards (ANS) documents that will ``[d]efine a Framework that is a
standardized and objective method of applying the Criteria in NISTIR
8425 to a candidate Scheme or to a manufacturer's proposal for self-
attestation . . .'' Garmin encourages the Commission to consider ETSI
303 645 standards, and commenters American Certification Body, Inc. and
Consumer Reports encourage international standards such as those
developed as a result of the EU Cyber Resiliency Act and UK's Product
Security and Telecommunications Infrastructure Act. These commenters
did not oppose referencing the NIST criteria.
89. We agree with Infineon, Consumer Reports, and NCTA and adopt
NISTIR 8425 as the basis for the Commission's IoT Labeling Program. The
consumer IoT environment is complicated by a significant number of
different types of consumer IoT products. Adoption of the NIST criteria
as the foundation of the IoT Labeling Program will result in a robust
consumer IoT program that is sufficiently flexible that it can be
applied across all types of consumer IoT products. The NIST criteria
were developed through a multi-year effort between NIST and various
stakeholders, and includes significant industry input and will continue
to be updated by NIST as necessary. The Commission agrees with NIST's
publication, which avers that the following NISTIR 8425 criteria
identify the cybersecurity capabilities that consumers would expect
manufacturers to address within the products they buy. NIST
contemplates that most of the criteria concern the IoT product directly
and are expected to be satisfied by software and/or hardware
implemented in the IoT product (1-6 below) and other criteria apply to
the IoT product developer (7-10 below). The following is the list of
[[Page 61260]]
the NIST IoT product capability criteria, NIST's brief description of
each, and the NIST-identified cybersecurity utility for each:
(1) Asset Identification: The product can be uniquely identified by
the customer and other authorized entities and the product uniquely
identifies each IoT product component and maintains an up-todate
inventory of connected product components
i. Cybersecurity Utility: The ability to identify IoT products and
their components is necessary to support such activities as asset
management for updates, data protection, and digital forensics
capabilities for incident response.
(2) Product Configuration: The configuration of the IoT product is
changeable, with an ability to restore a secure default setting, and
changes can only be performed by authorized individuals, services, and
other IoT product components.
i. Cybersecurity Utility: The ability to change aspects of how the
IoT product functions can help customers tailor the IoT product's
functionality to their needs and goals. Customers can configure their
IoT products to avoid specific threats and risk they know about based
on their risk appetite.
(3) Data Protection: The IoT product protects data store across all
IoT product components and transmitted both between IoT product
components and outside the IoT product from unauthorized access,
disclosure, and modification.
i. Cybersecurity Utility: Maintaining confidentiality, integrity,
and availability of data is foundational to cybersecurity for IoT
products. Customers will expect that data are protected and that
protection of data helps to ensure safe and intended functionality of
the IoT product.
(4) Interface Access Control: The IoT product restricts logical
access to local and network interfaces--and to protocols and services
used by those interfaces--to only authorized individuals, services, and
IoT product components.
i. Cybersecurity Utility: Enumerating and controlling access to all
internal and external interfaces to the IoT product will help preserve
the confidentiality, integrity, and availability of the IoT product,
its components, and data by helping prevent unauthorized access and
modification.
(5) Software Update: The software of all IoT product components can
be updated by authorized individuals, services, and other IoT product
components only by using a secure and configurable mechanism, as
appropriate for each IoT product component.
i. Cybersecurity Utility: Software may have vulnerabilities
discovered after the IoT product has been deployed; software update
capabilities can help ensure secure delivery of security patches.
(6) Cybersecurity State Awareness: The IoT product supports
detection of cybersecurity incidents affecting or affected by IoT
product components and the data they store and transmit.
i. Cybersecurity Utility: Protection of data and ensuring proper
functionality can be supported by the ability to alert the customer
when the device starts operating in unexpected ways, which could mean
that unauthorized access is being attempted, malware has been loaded,
botnets have been created, device software errors have happened, or
other types of actions have occurred that was not initiated by the IoT
product user or intended by the developer.
The following is the list of NIST-identified IoT Product Developer
Activities/Non-Technical Supporting Capabilities and their NIST-
identified cybersecurity utility:
(7) Documentation: The IoT product developer creates, gathers, and
stores information relevant to cybersecurity of the IoT product and its
product components prior to customer purchase, and throughout the
development of a product and its subsequent lifecycle.
i. Cybersecurity Utility: Generating, capturing, and storing
important information about the IoT product and its development (e.g.,
assessment of the IoT product and development practices used to create
and maintain it) can help inform the IoT product developer about the
product's actual cybersecurity posture.
(8) Information and Query Reception: The IoT product developer has
the ability to receive information relevant to cybersecurity and
respond to queries from the customer and others about information
relevant to cybersecurity.
i. Cybersecurity Utility: As IoT products are used by customers,
those customers may have questions or reports of issues that can help
improve the cybersecurity of the IoT product over time.
(9) Information Dissemination: The IoT product developer broadcasts
(e.g., to the public) and distributes (e.g., to the customer or others
in the IoT product ecosystem) information relevant to cybersecurity.
i. Cybersecurity Utility: As the IoT product, its components,
threats, and mitigations change, customers will need to be informed
about how to securely use the IoT product.
(10) Product Education and Awareness: The IoT product developer
creates awareness of and educates customers and others in the IoT
product ecosystem about cybersecurity-related information (e.g.,
considerations, features) related to the IoT product and its product
components.
i. Cybersecurity Utility: Customers will need to be informed about
how to securely use the device to lead to the best cybersecurity
outcomes for the customers and the consumer IoT product marketplace.
90. Consumer IoT Product Standards. We find that standards are
necessary to administer the IoT Labeling Program in a fair and
equitable manner and to ensure the products with the FCC IoT Label have
all been tested to the same standards to provide consumers with
confidence that products bearing the FCC IoT Label include strong
cybersecurity. Commenters generally agree with the adoption of
standards based on NIST's Core Baseline for Consumer IoT products
(NISTIR 8425). We take up the Cybersecurity Coalition's recommendation
``that the Commission or a designated third-party administrator work
with stakeholders to identify recognized standards that encompass the
Core Baseline, or that offer equivalent controls.'' NCTA also notes
that ``Standards Development Organizations (``SDOs'') and specification
organizations are well-established organizations that can develop
standards aligned with NIST guidelines and the Program's goals.''
According to NIST, the NISTIR 8425 ``outcomes are guidelines that
describe what is expected . . . but more specific information may be
needed to define how to implement IoT products or product components so
that they meet an outcome. Requirements define how a component can meet
an outcome for a specific use case, context, technology, IoT product
component etc. . . ..''
91. We reject CTIA's recommendation that the Commission refrain
from adopting specific standards and solely rely on the NIST criteria.
Rather, the Commission agrees with NIST and commenters that its
criteria are general guidelines that must be further developed into a
requirements document (i.e., standards) and corresponding testing
procedures, which will demonstrate how the product bearing the FCC IoT
Label has met the NIST criteria and to ensure consistency of
application across a class of products. ITI adds that the ``Commission
need not recreate [existing] work or develop its own standards but can
leverage completed standards work for swift development
[[Page 61261]]
and implementation.'' The integrity of the Cyber Trust Mark requires
the Commission to adopt standards that provide for adequate and
consistent testing of products to ensure that all products bearing the
FCC IoT Label have demonstrated conformance to the identified standards
that the Commission has approved as compliant with the NIST criteria.
In addition, for the Commission's IoT Labeling Program to be fairly
administered by the multiple CLAs, all products displaying the FCC's
label must be tested against the same standards to ensure that all
products displaying the FCC IoT Label conform to the Commission's
standards.
92. Commenters such as T[Uuml]V S[Uuml]D agree that ``the main
requirement when perform[ing] testing for compliance is that the test
need[s] to be reliable and always offer the same outcome when a product
is tested in the same condition. In the current state of the NIST IoT
criteria there is not enough detail[ ] in the standard, so there is the
need to write a more detail[ed] test method/standard.'' UL Solutions
also ``supports the use of the NISTIR 8425 criteria as the basis for
the IoT Labeling Program. These criteria help establish a minimum
security baseline suitable for consumer IoT products . . . However, as
noted in paragraphs 27 and 28 [of the IoT Labeling NPRM], these
criteria must be defined by minimum IoT security requirements and
standards to enable consistent and replicable product testing.''
Moreover, Somos similarly agrees that leveraging existing standards for
device definition and security guidelines are the fastest, most
effective path to the definition of a secure ecosystem, that NIST 8425
standard is the appropriate starting point, and that ``existing
standards should allow for the Commission to quickly create its
definitions and guidelines.'' We agree with the Cybersecurity Coalition
that ``only those standards and best practices recognized by the
labeling program should be eligible, in order to avoid the inclusion of
non-credible or irrelevant frameworks that may undermine trust in the
label.''
93. We further determine that, given the existing work in this
space, the Commission should not undertake the initial development of
the standards that underpin the NIST Core Baseline. Rather, as
discussed in paragraph 56 above, we direct the Lead Administrator to
undertake this task, and delegate authority to the Bureau to review and
approve the consumer IoT cybersecurity standards and testing procedures
that have been identified and/or developed by the Lead Administrator
(after any appropriate public comment) that ensures the product to
which a manufacturer seeks to affix the FCC IoT Label conforms to the
NIST criteria. NIST's IoT Product Component Requirements Essay provides
a summary of standards and guidance that NIST has initially identified
as applicable to IoT devices and IoT product components, that the Lead
Administrator may determine are applicable to the IoT Labeling Program.
Moreover, the Lead Administrator may also determine existing standards
or schemes that exist in the market already may be readily adaptable
and leverage such work to meet the terms of the program.
94. The Commission recognizes that since a ``product'' for purposes
of the IoT Labeling Program is comprised of at least one IoT device and
any additional product components that are necessary to use the IoT
device beyond basic operational features, there may be multiple
standards (e.g., a package of standards) applicable to a single IoT
product (e.g., standards applicable to IoT devices; mobile apps;
networking equipment included with IoT devices; and cloud platforms).
The Commission does not anticipate a single standard would be developed
or identified to apply to all consumer IoT products. However, a single
package of standards may be developed or identified for each product
type or class as identified by the Lead Administrator and reviewed and
approved by the Bureau. We also agree with the Cybersecurity Coalition
that ``participants should have discretion to include security features
that go beyond standard requirements . . . So long as the additional
security features do not conflict with conformity with the standard
used for eligibility by the labeling program participants, participants
should be encouraged to go beyond baseline requirements.''
F. The FCC IoT Label (Cyber Trust Mark and QR Code)
95. We adopt the IoT Labeling NPRM's proposal to implement a single
binary label with layering. As discussed in the IoT Labeling NPRM,
``under a binary label construct, products will either qualify to carry
the label or not qualify (i.e., not be able to carry the label) and
`layers' of the label would include the Commission's Cyber Trust Mark
representing that the product or device has met the Commission's
baseline consumer IoT cybersecurity standards and a scannable code
(e.g., QR Code) directing the consumer to more detailed information of
the particular IoT product.''
96. We adopt a binary label because we believe that a label
signaling that an IoT product has met the minimum cybersecurity
requirements will be simplest for consumers to understand, especially
as the label is introduced to and established for the public. The
Cybersecurity Coalition supports a binary label, citing the benefits of
a simple, consumer friendly nature and its potential to streamline the
purchasing decision for consumers. Similarly, as LG Electronics points
out, ``[l]ike the ENERGY STAR program, a binary label specifying that a
device has met a government standard--in this case for cybersecurity--
will be enough to drive consumers and manufacturers toward more secure
products,'' while leaving manufacturers free to separately provide
additional cybersecurity information about their products. And the
Connectivity Standards Alliance supports the use of a single binary
label with layering, as recommended by NIST, asserting that
``[a]cademic studies have validated this approach.'' Conversely, Canada
advocates a multi-tiered approach to labeling to ``lower barriers to
entry into the labelling regime and facilitate trade and competition by
ensuring Micro, Small and Medium Sized Enterprises (MSMEs), with fewer
resources to meet a high level of cybersecurity,'' and to ``provide the
incentives for a greater number of firms to innovate in IoT products
and work on `climbing the ladder' of cybersecurity levels over time.''
Another commenter suggests a multi-tiered label that would have
different colors depending on the length of time the product is
supported. Other commenters advocate a multi-tiered approach that need
not be reflected in different Cyber Trust Marks, but in different
information available when a consumer scans the QR code. A study by
Carnegie Mellon University indicates that different types of labels of
various complexities have varying levels of effectiveness, but does not
contest the idea of a binary label. We also recognize that some
international regimes, such as Singapore, use a multi-tiered label.
97. Although one could imagine myriad different approaches to
labeling that each have relative advantages and disadvantages, on
balance we are persuaded to rely on a binary label as we begin our IoT
Labeling Program, consistent with NIST's recommended approach. We agree
with the Cybersecurity Coalition that ``the primary value of the IoT .
. . labeling program is to better enable ordinary consumers to
distinguish labeled products as likely providing better basic security
than unlabeled products.'' We believe a binary label meets this goal by
[[Page 61262]]
providing a clear indication that products with the label meet the
Commission's cybersecurity requirements. We anticipate that promoting
early consumer recognition of the FCC IoT Label--which we think is
better advanced by a binary label--will, in turn, make consumers more
attuned to cybersecurity issues and more receptive to additional
cybersecurity information that manufacturers elect to provide apart
from the FCC IoT Label and associated QR code. Thus, we believe that
our use of a binary label still retains incentives for manufacturers to
innovate and achieve higher levels of cybersecurity. Our approach to
determining what cybersecurity standards will be applied also
accommodates the potential for different requirements being necessary
to meet the NIST baseline criteria in different contexts. To the extent
that any multi-tiered labeling approach contemplated by commenters
would allow manufacturers to obtain a label through lesser
cybersecurity showings, that would be less effective at achieving the
goals of our program. And to the extent that any multi-tiered labeling
approach would require manufacturers to make heightened cybersecurity
showings to achieve higher-tier labels, that is unlikely to lower
barriers to participation in the IoT Labeling Program while also
risking less understanding and acceptance of the FCC IoT Label by
consumers. Because delay in moving forward with the IoT Labeling
Program would have its own costs in pushing back the potential for
benefits to consumers and device security, we also recognize the
benefits of a binary label as more straightforward to implement, at
least at the start of our IoT Labeling Program. Weighing all the
relevant considerations, we are persuaded to move forward with a binary
label at this time.
98. We require that products bearing the FCC IoT Label, which
includes the Cyber Trust Mark, must also include the corresponding QR
Code. Approval to use the Cyber Trust Mark is conditioned on the label
also bearing the QR Code in accordance with the IoT Labeling Program's
label standards. In addition, the FCC IoT Label must be easily visible
to consumers (e.g., on product packaging). This approach received
considerable support in the record. We agree with USTelecom that
``consumers should not have to open the package to get information
because that could impact their ability to return the product.'' Power
Tool Institute, Inc. concurs that ``[p]lacing a QR Code on the
packaging is preferable to placing it on the device.'' Notable pros of
using a QR Code are providing ``consumers with detailed information
about a device or product,'' enhancing the program's objective by
providing real-time updates. However, some commenters raise concerns
with the placement of the QR Code on the product packaging. Logitech
urges the Commission to not require a QR Code in conjunction with the
label, stating that it could crowd packaging, cause consumer confusion,
and may cause confusion if retailers scan the wrong barcode when
checking out a customer. We believe that as the label becomes
established and recognized by consumers and retailers, the benefit of
providing a QR Code linking to a registry populated with current
information on the IoT product outweighs the potential for consumer
confusion. We also believe the registry will be of value to consumers
such that they will want to see it acknowledged in an easily accessible
manner, which will override any potential difficulty retailers may have
with scanning the incorrect code. Moreover, recognizing the realities
of inventory turnover against the need for a cybersecurity label to be
dynamic, the use of a QR Code-embedded URL in this context ensures that
(1) if a consumer desires more information about the product than what
the label itself signifies there is a simple means of access; and (2)
information associated with the product's compliance with the IoT
Labeling Program is current. We view these as relevant considerations
to purchasing decisions, which requires easy access to such information
``on the spot'' rather than requiring a purchaser to independently seek
it out.
99. We direct the Lead Administrator to collaborate with
stakeholders as needed to recommend to the Commission standards for how
the FCC IoT Label bearing the Cyber Trust Mark and the QR Code should
be designed (e.g., size and white spaces) and where such a label should
be placed. This should include where the label could be placed on
products where consumers may not see product packaging when shopping or
after purchasing (e.g., refrigerators, washing machines, dryers,
dishwashers, etc.) and including where consumers purchase products
online. The Lead Administrator and stakeholders should also examine
whether the label design should include the date the manufacturer will
stop supporting the product as well as whether including other security
and privacy information (e.g., sensor data collection) on the label
would be useful to consumers. In addition, the Lead Administrator
should address the use of the FCC IoT Label in store displays and
advertising.\20\ We recognize the current work being done by industry
on an appropriate format for the label, including the Cybersecurity
Label Design, which is part of CTA's American National Standards
Institute (ANSI)-accredited standards program. As noted by CTA in its
reply comments, the FCC specifies requirements for the use of the Cyber
Trust Mark, but ``there are several additional details needed regarding
QR coding and resolution, white space for accurate recognition of QR
codes, and more.'' CTA states that the draft ANSI/CTA-2120 details lay
out requirements for packaging, and we encourage the Lead Administrator
to review and consider the work CTA's Cybersecurity Label Design
working group (a subgroup of CTA's Cybersecurity and Privacy Management
Committee) has completed in this regard. We agree that we should take
into consideration the considerable work that has already been
undertaken with respect to labeling design and placement and seek to
leverage and benefit from this expertise by directing the Lead
Administrator to seek feedback from a cross-section of relevant
stakeholders who have been working on these issues. We delegate
authority to PSHSB to review, approve (or not approve) the Lead
Administrator-recommended labeling design and placement standards after
any required public notice and comment process and if approved
incorporate into the Commission's part 8 rules. The provisions of 47
CFR 2.935(a) (allowing the electronic display of ``or other information
that the Commission's rules would otherwise require to be shown on a
physical label attached to the device'') do not apply to the FCC IoT
Label. The Cyber Trust Mark may only be used as directed by part 8,
notwithstanding 47 CFR 2.935 or any other rule.
---------------------------------------------------------------------------
\20\ The issue of where the FCC IoT Label would be placed was
raised in the record. We agree that flexibility in placement is
important in instances where the consumer might not see the
product's packaging, such as in larger appliances, before purchasing
the product. We recognize that some types of products might be
customarily displayed in ways that make a one-size-fits-all approach
inappropriate. As such, we agree with the ioXt Alliance's suggestion
that we consider how the label may be placed in ways that will be
helpful to a consumer, such as through an in-store display,
advertisement on a screen, or website.
---------------------------------------------------------------------------
G. Registry
100. We adopt our proposal from the IoT Labeling NPRM that the
label include the Cyber Trust Mark and a QR Code that links to a
decentralized publicly available registry containing
[[Page 61263]]
information supplied by entities authorized to use the FCC IoT Label
(e.g., manufacturers) through a common Application Programming
Interface (API). The registry will include and display consumer-
friendly information about the security of the product. We believe a
publicly accessible registry furthers the Commission's mission of
allowing consumers to understand the cybersecurity capabilities of the
IoT devices they purchase. We also agree that it is important for the
registry to be dynamic, so a consumer can be aware if a product loses
authorization to use the FCC IoT Label or if the manufacturer is no
longer providing security updates. There is robust support for the
development of a publicly-accessible registry. We agree with NCTA that
``the IoT Registry is foundational to the value and utility of the
Cyber Trust Mark Program.'' In the following paragraphs, we establish
general parameters for registry information.
101. We adopt a decentralized registry that contains specific
essential information that will be disclosed by the manufacturer, as
discussed in further detail below. This essential information from the
manufacturer will be provided to a consumer accessible application via
the registry by utilizing a common API that is secure by design. When a
consumer scans the QR Code, a consumer accessible application will
access the registry using the common API and present the consumer with
the information we require to be displayed from the registry. CTIA
points out that a centralized registry containing all the information
the Commission conceived in the IoT Labeling NPRM and by commenters in
the record would be inordinately complex and costly. We agree, and
endeavor to meet the policy goal of providing a transparent, accessible
registry to the public through more efficient and less complicated
means.
102. We agree with the Commission's assessment in the IoT Labeling
NPRM that the registry's goal is to assist the public in understanding
security-related information about the products that bear the Cyber
trust Mark. CTIA confirms this view, stating ``the Commission should
focus on the [registry] as a means to provide consumers with
information that is critical to the success of the program.'' CTIA
further proposes that we should allow each manufacturer to establish
their own mechanisms for conveying this information to consumers.
However, we acknowledge ioXt Alliance's concern that a completely
manufacturer-driven approach could lead to inconsistencies,
inaccuracies, or other difficulties for the consumer. To balance the
need for a workable, streamlined registry that is consistent for
consumers and meets the Commission's goals while easing the
administrative burden inherent in a centralized registry, we require a
common API that would provide access to the following essential
information from the manufacture and display it to the consumer in a
simple, uniform way:
Product Name;
Manufacturer name;
Date product received authorization (i.e., cybersecurity
certification) to affix the label and current status of the
authorization (if applicable);
Name and contact information of the CLA that authorized
use of the FCC IoT Label;
Name of the lab that conducted the conformity testing;
Instructions on how to change the default password
(specifically state if the default password cannot be changed);
Information (or link) for additional information on how to
configure the device securely;
Information as to whether software updates and patches are
automatic and how to access security updates/patches if they are not
automatic;
The date until which the entity promises to diligently
identify critical vulnerabilities in the product and promptly issue
software updates correcting them, unless such an update is not
reasonably needed to protect against cybersecurity failures (i.e., the
minimum support period); alternatively, a statement that the device is
unsupported and that the purchaser should not rely on the manufacturer
to release security updates;
Disclosure of whether the manufacturer maintains a
Hardware Bill of Materials (HBOM) and/or a Software Bill of Materials
(SBOM); \21\ and
---------------------------------------------------------------------------
\21\ In addition to the declaration, the SBOM and HBOM will be
made available upon request by the Commission, CyberLAB, and/or CLA.
---------------------------------------------------------------------------
Additional data elements that the Bureau determines are
necessary pursuant to the delegated authority discussed below.
103. To reduce potential burdens and focus on essential
information, we pare back the scope of the registry from what the
Commission proposed in the IoT Labeling NPRM. We agree with the
Cybersecurity Coalition that ``[t]he primary purpose of the label is to
help consumers make informed purchasing decisions'' and include in the
registry information that is key to making a purchasing decision,
without overwhelming the consumer. To this end, we agree with
commenters who suggest that including the information proposed in the
IoT Labeling NPRM may be too burdensome. NEMA, for example, expresses
concern about the resources required for a registry containing a full
catalogue of devices. CTIA agrees that the IoT registry envisioned by
the IoT Labeling NPRM would ``impose significant, unmeetable burdens''
for participants and the manager of the registry, and encourages us to
refine our approach. The Cybersecurity Coalition likewise expresses
concern over the complexity of the proposed registry. We agree that the
registry be ``modest in its goals'' and ``limited to basic information
that is uniform . . . and pragmatic and useful to the consumer.'' We
believe that a registry containing simple, easy to understand
information will be most helpful to a consumer making a purchasing
decision, but also see the value in allowing manufacturers to include a
second registry page (following the consumer-focused page) to enable
manufacturers to provide additional technical details designed for
researchers, enterprise purchasers, and other expert consumers of the
label. Focusing only on the most critical information will further
facilitate the speedy establishment of the IoT Labeling Program and the
registry itself.
104. In the interest of keeping information simple and establishing
the database swiftly, we streamline the elements that should be
included in the registry. We do require information about how to
operate the device securely, including information about how to change
the password, as it would help consumers understand the cybersecurity
features of the products, how those products are updated or otherwise
maintained by the manufacturer, and the consumer's role in maintaining
the cybersecurity of the product. We do not require information about
whether a product's security settings are protected against
unauthorized changes as part of the initial rollout of the registry in
an attempt to streamline the registry to address concerns that the
registry would be too bulky or unfriendly to consumers. We recognize
the value of ensuring the registry information is accessible to
everyone, including those whose primary language is not English.
Accordingly, we direct the Lead Administrator to recommend to the
Bureau whether the registry should be in additional languages and if
so, to recommend the specific languages for inclusion. We delegate
authority to the Bureau to consider and adopt requirements in this
regard upon review
[[Page 61264]]
of these recommendations. As the Association of Home Appliance
Manufacturers points out, the location of the product's manufacture is
redundant with existing legal requirements. We also do not require
labels to include an expiration date at this time as it may not be an
applicable requirement for every product, but we direct the Label
Administrator to consider whether to recommend including the product
support end date on labels for certain products, or category of
products.
105. While we recognize the value of utilizing the registry to keep
consumers informed about product vulnerabilities, we note CTIA and
Garmin's concerns about listing unpatched vulnerabilities as not
providing value to consumers, discouraging manufacturers from
participating in the program, and tipping off bad actors. We agree that
these concerns are significant and do not require detailed information
about vulnerability disclosures in the registry at this time. Rather,
we require disclosure only of whether a manufacturer maintains an SBOM
and HBOM for supply chain security awareness. We agree with Consumer
Reports, NYC Cyber Command Office of Technology and Innovation (NYC
OTI), and the Cybersecurity Coalition that an SBOM should be considered
as an element of the registry. We also note that Garmin's concern is
with disclosing the specific contents of an SBOM to the public, which
``could reveal confidential business relationships with companies, as
well as provide a roadmap for attackers,'' but this is not what we
require here. Requiring participating manufacturers to disclose only
the maintenance of an SBOM and HBOM, rather than the contents therein,
indicates an added level of software and hardware security while also
protecting potentially sensitive information. Further, while we agree
with CTA that a searchable registry would have value for the public, we
are mindful of the resources, costs, and time involved with creating a
registry that is searchable by each of the elements identified in the
IoT Labeling NPRM. In limiting the registry as we have, we address the
concerns that the registry may be too complex to administer in the
initial iteration of the IoT Labeling Program. As discussed above, the
decentralized, API-driven registry we adopt in the Order addresses the
complexity concerns raised in the record. We cabin our initial vision
of the registry and direct the Bureau, as described further below, to
consider ways to make the initial design of the registry modest, with
potential to scale the registry as the IoT Labeling Program grows.
106. In this respect, we note that NIST's research suggests that
``future work should be done to examine potential issues of including
an expiry date on a label.'' NIST cited studies conducted by the UK
Government that consumers were confused about what the expiration date
meant, and an Australian government study in which consumers thought
the device would stop working after that date. The UK research did
conclude, however, that continued manufacturer support was important to
survey participants. Consumer Reports suggested an expiration date, if
present, should be tied to an end-of-support date rather than a renewal
date. NIST's research into the importance of support dates to consumers
coupled with the potential confusion of expiration dates and the
support from the record lead us to conclude an expiration date is not
warranted. We do find, however, that the disclosure of a minimum
support period and end date for the support period for the device is
appropriate and will provide meaningful information to consumers on the
manufacturer's commitment to provide patches or other support--a vital
issue in a dynamic threat environment. To ensure that information about
this support period remains accurate, and to encourage manufacturers to
support their products for longer periods, manufacturers shall be able
to extend the support period in the registry through a mechanism to be
determined by the Lead Administrator, but which should be expeditious
and require no further disclosures.
107. While we identify the defined set of data that is consistent
across all manufacturers, we believe the information contained in the
registry for a particular IoT product or product class may also depend
on the standards and testing procedures adopted for each particular IoT
product. As such, in the near term, we expect there will be additional
registry data elements that are specific to an IoT product, or classes
of IoT products, that are not yet ripe for decision. We also recognize
that some of the information recommended by NIST in its consumer
education recommendations, discussed in further detail below, may be
valuable for consumers to see in the registry. Accordingly, while we
provide a baseline of necessary information that must be displayed for
an IoT product in the registry, regardless of class the IoT product
belongs to, we delegate authority to the Bureau to determine, subject
to any required public notice and comment processes, whether any
additional disclosure fields, such as the manufacturer's access control
protections (e.g., information about passwords, multi-factor
authentication), whether or not the data is encrypted while in motion
and at rest (including in the home, app, and cloud), patch policies and
security or privacy information are necessary, and if so, what should
they be.
108. We disagree with commenters, such as LG Electronics, who
suggest that manufacturers should have discretion over whether to
include additional privacy and/or security information through a QR
Code, URL, or other scannable mechanism insofar as it would require
additional information in the registry. LG Electronics, though
supportive of adding a variety of data to the registry, acknowledges it
is unclear how much detail or what types of information would be of
value to a consumer. We believe that allowing discretion over what
information is included in the registry may overcrowd it, or engender
consumer confusion. Rather, uniform registry elements will provide
greater consistency for consumers and adoption of uniform registry
elements is supported by the record. We make clear, however, that we do
not otherwise restrict what information manufacturers may include or
reference on their product packaging, so long as it does not interfere
with or undermine the display of the FCC IoT Label.
109. We recognize that a decentralized registry relying on data
derived through an API from manufacturers will require some oversight
to ensure that the registry, when accessed by consumers using QR Codes,
functions as described and displays the required information about
individual products. We direct the Lead Administrator to receive and
address any technical issues that arise in connection with displaying
the registry through the QR Code, the associated API, and consumer
complaints with respect to the registry. CSA recommends that the
Commission engage a third-party with operating the registry for cost
and efficiency reasons. CTA agrees that the Commission should use a
third-party to host and manage the registry due to the resources
required to establish the registry. We agree that, given the structure
of the registry as we adopt in the Order, the Lead Administrator is in
the best position to interface with manufacturers to ensure the smooth
operation of the registry.
110. We also recognize that for a registry of this magnitude to be
effectively and timely rolled out requires significant input and
[[Page 61265]]
coordination with industry partners. To determine how the registry
should be structured to best meet the goals of the IoT Labeling Program
as we adopt in the Order, we direct the Bureau to seek comment and
consider, as part of a public process, the technical details involved
with the operation of the registry. We delegate authority to the Bureau
to adopt a Public Notice, subject to any required public notice and
comment, establishing the structure of the registry; identifying the
common API; how the API should be structured; how the API should be
used; how the queried data will be displayed to the consumer; how
manufacturers need to maintain and implement the API in connection with
its interactions with the registry; what, if any, additional disclosure
fields would be most beneficial to consumers in the future, as
discussed above; how the data in the registry returned by the API
should be presented to the consumer; how the costs involved in
maintaining the registry will be handled; how often the registry should
be updated; whether to require the manufacturer to list the product
sensors, what data is collected, if the data is shared with third
parties, or security or privacy issues and if data should be
replicated; and whether data should be replicated in multiple
repositories--by the relevant CLA(s) or vendors, for example--and
publicly accessible via a single query point; and any other technical
information needed to establish the registry as we adopt in the Order.
The Bureau should consider how to reduce burdens on manufacturers in
supporting the decentralized registry. We delegate authority to PSHSB
in coordination with, at a minimum, OMD (specifically the Office of the
Chief Information Officer) and, to the extent necessary OGC
(specifically the Senior Agency Official for Privacy) to identify and
impose any applicable security or privacy requirements arising from
Federal law or Federal guidance for the registry and to approve or
modify the recommendations regarding the functional elements of the
registry listed above. We further delegate authority to PSHSB to
publish a Public Notice, subject to any required public notice and
comment, adopting and incorporating into the Commission's rules any
additional requirements or procedures necessary to implement the Cyber
Trust Mark registry.
H. Continuing Obligations of Entities Authorized To Use the FCC IoT
Label
111. We adopt the proposal in the IoT Labeling NPRM that applicants
must renew their authority to use the FCC IoT Label. Entities
authorized to use the FCC IoT Label are required to ensure the product
bearing the FCC IoT Label continue to comply with the Commission's
program requirements. We disagree with the Connected Consumer Device
Security Council (CCDS) that no renewals should be required and the
product should simply bear the last date of testing. Such an approach
could severely impair consumer trust in the label, especially if a
product bearing the FCC IoT Label is being sold as new but is far out
of date as to its initial achievement of the Mark.
112. For those that support some interval of renewal, the record is
divided with respect to whether IoT Labeling Program applicants should
file for renewal each year, as proposed in the IoT Labeling NPRM.
Consumer Reports and T[Uuml]V S[Uuml]D agree that annual renewal is
appropriate. AHAM feels that an annual renewal application as the
Commission proposed was unnecessary, or at minimum ``unnecessarily
rigid.'' AHAM posits that a requirement to renew should only be
triggered when a significant or substantive change is made to either
the standard the manufacturer certifies to, or a significant design
change to the product. Similarly, more durable IoT products (such as
smart appliances) may need to be renewed less frequently. NAM argues
that annual renewals are unnecessary for products that pose a limited
risk. Kaiser Permanente believes higher-risk devices should be updated
annually, and otherwise renewal should occur every three years. CCDS
argues no annual testing is necessary, and the product should simply
have the date it was authorized to bear the label that signals the
product was compliant as of the initial date. CSA suggests limiting the
need for annual testing, but suggests some kind of annual reporting
should be required. We observe that other certifying bodies, such as
ioXt Alliance, require annual renewal for products they certify and
allow incentives for early renewal. Based on the record, we recognize
the degrees of nuance attendant to the different types of products at
issue. We agree with the notion that certain IoT products, depending on
their lifespan and risk level, may need different standards for renewal
to achieve the FCC IoT Label.
113. We task the Lead Administrator to collaborate with
stakeholders and provide recommendations to PSHSB on how often a given
class of IoT products must renew their request for authority to bear
the FCC IoT Label, which may be dependent on the type of product, and
that such a recommendation be submitted in connection with the relevant
standards recommendations for an IoT product or class of products. In
doing so, consideration should be given as to whether annual continuous
compliance reports are acceptable for purposes of renewing, and how to
effectively balance the need for industry flexibility and the need to
ensure that consumers have up-to-date information about the product
they are considering purchasing. Consideration should also be given to
the fees incurred as part of a renewal process, as we agree with Kaiser
Permanente that renewal fees must not be unduly burdensome or cost-
prohibitive. We emphasize that renewals should occur frequently enough
that a consumer can be sure that a product bearing the FCC IoT Label
has reasonable cybersecurity protections in place, and some process
must be in place to ensure accountability, even if annual testing is
not required. We delegate authority to PSHSB to review, approve (if
appropriate) and, subject to any required public notice and comment,
incorporate by reference into the Commission's rules, the proposals
from the Lead Administrator for renewal of authority to bear the FCC
IoT Label.
I. Audits, Post-Market Surveillance, and Enforcement
114. We adopt the IoT Labeling NPRM's proposal to rely on a
combination of administrative remedies and civil litigation to address
non-compliance and direct the CLA(s) to conduct post-market
surveillance. The purpose of this IoT Labeling Program is to provide
reasonable assurances to the consumer that the products they bring into
their homes have at least a minimum level of cybersecurity. The success
of the IoT Labeling Program hinges on the label retaining its integrity
as a trusted consumer resource. This requires vigorous review and
enforcement to ensure that products bearing the Cyber Trust Mark are in
compliance with the program standards. We further observe that the ISO/
IEC 17065 standards require CLAs to perform appropriate post-market
surveillance activities. We adopt post-market surveillance and civil
enforcement, accordingly.
115. We find support in the record that the ``Mark must be trusted
by consumers to be successful'' and ``to gain consumer confidence and
incentivize cybersecurity, the label must be backed by a robust
enforcement program.'' We agree with the EPIC's position that weak
enforcement may result in unmet consumer expectations regarding a
product's actual level of cybersecurity and ``allow bad actors to take
advantage of the goodwill created
[[Page 61266]]
by the cybersecurity program,'' and take up its recommendation of
independent, post-market audits accordingly. Whirlpool also supports
regular market surveillance to find instances of unapproved use of the
Cyber Trust Mark, as well as products that may have been certified but
no longer meet program requirements. Whirlpool states that surveillance
``should include random auditing . . . as well as sampling of some
established percentage on a regular basis of certified products/
devices.'' The American Association for Laboratory Accreditation
supports adopting the product surveillance standards established for
Telecommunication Certification Bodies (TCBs) and in the EPA's ENERGY
STAR program. We also agree with commenters who indicate that the
Commission, CLAs, and possibly the Federal Trade Commission (FTC)
should be able to receive complaints of noncompliant displays of the
Cyber Trust Mark, which could result in auditing. We delegate authority
to the Bureau, in coordination with the Consumer and Governmental
Affairs Bureau, to determine the process for receiving and responding
to complaints. CTA and Planar Systems also support random auditing. We
agree that random audits, in addition to regular post-market
surveillance will best serve to maintain consumer confidence in the
Cyber Trust Mark.\22\
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\22\ To enable a meaningful audit process it will be important
to be able to review certain key records, which we consequently will
require grantees to retain records regarding the original design and
specifications and all changes that have been made to the relevant
consumer IoT product that may affect compliance with the IoT
Labeling Program requirements; a record of the procedures used for
production inspection and testing; and a record of the test results
that demonstrate compliance. See 47 CFR 8.215. We model our approach
on analogous elements of our equipment authorization rules, with
which the Commission and industry have substantial experience, and
which have proven workable in practice. See 47 CFR 2.938(a), (f).
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116. Post-market surveillance. We agree with the Cybersecurity
Coalition that post-market surveillance of products receiving the Cyber
Trust Mark should be a principal enforcement mechanism, and find that
CLAs are in the best position to conduct post-market surveillance and
random auditing, in accordance with ISO/IEC 17065. These activities are
based on type testing a certain number of samples of the total number
of product types which the CLA has certified. In addition, each CLA
must be prepared to receive and address post-market surveillance from
the public. If a CLA determines that a product fails to comply with the
technical regulations for that product, the CLA will immediately notify
the grantee and the Lead Administrator in writing. The grantee will
have 20 days to provide a report to the CLA describing actions taken to
correct the deficiencies. Continued deficiency after 20 days will
result in termination of the grantee's approval to display the Cyber
Trust Mark. A grantee's approval to display the Cyber Trust Mark may
also be terminated subject to the 20 day cure period for false
statements or representations found in their application or associated
materials or if other conditions come to the attention of a CLA which
would warrant initial refusal to authorize use of the FCC Label. Such
terminations will protect the integrity of the FCC IoT Label and
encourage accurate representations and disclosures in application
materials that will enhance the reliability of the Labeling Program's
operation, more generally.
117. We believe it is appropriate for the Lead Administrator, in
collaboration with the CLAs and other stakeholders, to identify or
develop, and recommend to the Commission for approval, the post market
surveillance activities and procedures that CLAs will use for
performing post-market surveillance. The recommendations should include
specific requirements such as the number and types of samples that a
CLA must test and the requirement that grantees submit, upon request by
PSHSB or a CLA, a sample directly to the CLA to be evaluated for
compliance at random or as needed.\23\ We delegate authority to the
Bureau to review the recommendations and, subject to any required
public notice and comment, incorporate post market procedures into the
Commission's rules. We also delegate authority to the Bureau to
establish requirements (subject to any required public notice and
comment) regarding post-market surveillance of products in any
instances where the CLA that granted the authorization of the product
is not available to conduct such post-market surveillance. The document
will also address procedures to be followed if a grantee's approval to
display the Cyber Trust Mark is terminated based on mandatory post-
market surveillance or notice from the public, including
disqualification from the IoT Labeling Program and potential further
investigation into other products related to the manufacturer or the
CyberLAB, as discussed below. Finally, the Lead Administrator will
submit periodic reports to PSHSB of the CLAs' post-market surveillance
activities and findings in the format and by the date specified by
PSHSB.
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\23\ If necessary to accommodate the volume of auditing, a CLA
may outsource some post-market surveillance testing to a recognized
CyberLAB, but retains responsibility for the final review.
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118. The IoT Labeling NPRM sought comment on disqualification for
nonconformity, referencing the Department of Energy's ENERGY STAR
program, which sets out contractual Disqualification Procedures,
including a 20 day period to dispute before a formal disqualification
decision and what steps an ENERGY STAR partner must take after being
formally disqualified (e.g., removing references to ENERGY STAR in the
product labeling, marketing). The IoT Labeling NPRM asked whether the
IoT Labeling Program should adopt a similar process. We agree with EPIC
and Planar Systems in supporting a ``cure period [to] give[ ] good
actors the opportunity to fix any issues without incurring penalties''
and '' to address any discovered non-conformance as long as the
manufacturer is acting in good faith.'' Here, we adopt a cure period of
20 days, which is in line with the ENERGY STAR program.
119. EPIC also supports adopting disqualification procedures
similar to ENERGY STAR's for non-compliance, including ceasing
shipments of units displaying the label, ceasing the labeling of
associated units, removing references to the label from marketing
materials, and covering or removing labels on noncompliant units within
the brand owner's control. It notes that the EPA also conducts retail
store level assessments to identify mislabeled products and argues that
a robust enforcement mechanism should include all of these actions. We
delegate to the Bureau to consider whether such requirements should
follow from termination of authority.
120. In addition, we find that a combination of enforcement
procedures for non-compliance are available, including administrative
remedies under the Communications Act and civil litigation trademark
infringement or breach of contract. Administrative remedies may
include, but are not limited to, show cause orders, forfeitures,
consent decrees, cease and desist orders, and penalties. The Commission
will pursue all available means to prosecute entities who improperly or
fraudulently use the FCC IoT Label, which may include, but are not
limited to, enforcement actions, legal claims of deceptive practices
prosecuted through the FTC,\24\ and legal
[[Page 61267]]
claims for trademark infringement or breach of contract. The record
supports both administrative remedies to address consumer harm and
civil enforcement actions for false use of the FCC IoT Label. We assert
that this combination of enforcement mechanisms are best suited to
protect consumer trust in the Cyber Trust Mark and incentivize
participant compliance.
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\24\ In addition, to further help safeguard the integrity of the
IoT Labeling Program and the FCC IoT Label, we codify a rule that
prohibits any person from, in any advertising matter, brochure,
etc., using or making reference to the FCC IoT Label or the Cyber
Trust Mark in a deceptive or misleading manner. See 47 CFR 8.213(b).
We model our approach on analogous elements of our equipment
authorization rules, with which the Commission and industry have
substantial experience, and which have proven workable in practice.
See 47 CFR 2.927(c).
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121. Cyber Trust Mark Demonstrates Adherence to Widely Accepted
Industry Cybersecurity Standards. While we decline to preempt state
law, we find that approval to use the Cyber Trust Mark on a particular
product is an indicator of reasonableness and demonstrates adherence to
widely accepted industry cybersecurity standards. While several
commenters support Commission preemption of state laws, as well as
adoption of liability protections for devices approved to display the
Cyber Trust Mark, we decline to preempt state law and decline to
implement a legal safe harbor beyond reiterating the Commission's view
that achievement of FCC IoT Label is an indicium of reasonableness for
entities whose products are compromised despite being approved to use
the Cyber Trust Mark. We recognize that a more fulsome safe harbor
provision may indeed incentivize participation in the IoT Labeling
Program, as the U.S. Chamber of Commerce urges. However, on this record
we are not persuaded that it would be feasible or prudent for the
Commission to make liability pronouncements as to laws or standards
outside the Commission's purview as would be necessary for a broader
safe harbor in the absence of preemption. As EPIC observes, such a safe
harbor could also decrease consumer trust in the label. In addition,
several states have adopted legal safe harbors for entities that
implement reasonable security measures (e.g., voluntarily adopt
recognized best practices such as NIST's and implement written security
programs), and we defer to the states to determine whether approval to
use the Cyber Trust Mark meets these State requirements. Given the
uncertain interplay between qualification to use the Cyber Trust Mark
and various state law regimes, coupled with the risk that such a safe
harbor could decrease consumer trust in the label, we decline to
preempt state liability requirements at this time.
J. International Reciprocal Recognition of the Cyber Trust Mark
122. We note the robust record highlighting the immense value to
manufacturers of IoT products in international harmonization of
cybersecurity standards. We agree with Widelity that ``IoT devices are
often manufactured and sold globally. As supply chains evolve, a
consistent set of standards will support the rapid growth of innovation
and security.'' We further agree with Consumer Reports that ``mutual
recognition should only occur when the other program to be recognized
has standards as stringent or more stringent'' than the IoT Labeling
Program.
123. We recognize several other countries already have an
established national cyber IoT labeling program, including Singapore,
Finland, and Germany. The record cites to these programs and highlights
their features for consideration in developing the IoT Labeling
Program. For example, the record explains how Singapore's CLS takes
reference from the EN 303 645 standards developed by the European
Telecommunications Standards Institute (ETSI). We note that other
commenters have also recommended use of the ETSI EN 303 645 standards.
Further, the record provides Finland's IoT labeling database as an
example for developing our IoT registry. Several other countries have
government activity around IoT devices or products. For example, Canada
has a cybersecurity certification program for small and medium-sized
organizations. As another example, South Korea has a IoT security
certification system justified under Article 48-6 of their ``Act on
Promotion of Information and Communications Network Utilization and
Information Protection'' statute.
124. We also observe continuing developments in IoT security across
the globe for consideration. The European Union Agency for
Cybersecurity (ENISA) is currently developing a cybersecurity
certification framework that would require certain products, services,
and processes to adhere to specific requirements. Relatedly, the U.S.
has signed an agreement for a joint roadmap between the Cyber Trust
Mark and similar consumer labeling programs in the EU. Further, Japan
has committed to work with the U.S. to ``ensure interoperability'' of
its IoT labeling scheme currently under development.
125. We fully recognize the importance of ensuring international
recognition of the IoT Labeling Program and reciprocity considerations
underlie our decisions in the Order. We delegate authority to the
Bureau and the FCC Office of International Affairs to work with other
Federal agencies to develop international recognition of the
Commission's IoT label and mutual recognition of international labels,
where appropriate, as promptly as possible to enable recipients of the
Cyber Trust Mark to realize the benefits an internationally recognized
Cyber Trust Mark can have to promote global market access. Moreover,
the proliferation in the marketplace both in the U.S. and abroad of
products meeting a common baseline standard will elevate the overall
global cybersecurity baseline for IoT and promote security-by-design
approaches to smart products.
K. Consumer Education
126. We adopt the IoT Labeling NPRM's proposal and base the IoT
Labeling Program's consumer education requirements on the
considerations NIST outlines in the NIST Cybersecurity White Paper due
to its general applicability to an IoT label and in light of support
from the record. The Lead Administrator will be responsible for
developing a consumer education campaign that is based on the
considerations recommended by NIST in the NIST Cybersecurity White
Paper and discussed in greater detail below. In developing its consumer
education plan, we task the Lead Administrator with considering ways to
roll out a robust campaign with a reasonable national reach, including
ways to make the consumer education accessible and whether education
materials should be developed in multiple languages. We further task
the Lead Administrator with considering the costs of conducting such
outreach and how that outreach would be funded. Once developed, the
Lead Administrator will submit this consumer education plan to the
Bureau for consideration and for coordination in publicizing the
benefits of the IoT Labeling Program. We recognize the importance of
close collaboration between industry and delegate authority to the
Bureau to consider and work with the Lead Administrator and other
stakeholders to determine how the consumer education campaign would be
executed and to execute the campaign. In addition and in furtherance of
our expectation that the success of the IoT Labeling Program will be
dependent on a close collaboration with the Federal Government,
industry, and other relevant stakeholders, the Commission will
coordinate as needed with relevant agencies, such as the Department of
Homeland Security, Cybersecurity and Infrastructure Security Agency
(CISA), the Federal Bureau of Investigation
[[Page 61268]]
(FBI), as well as the FTC, the Consumer Product Safety Commission
(CPSC), and other industry stakeholders who have indicated a
willingness to publicize the benefits of the IoT Labeling Program as
part of their own consumer education activities.
127. We agree with CEDIA that consumer education will have a
significant impact on meeting the IoT Labeling Program's goals. We
further agree that adequate consumer education must inform consumers of
the limitations of the Cyber Trust Mark as well as the benefits of
having a product that meets baseline cybersecurity requirements, and we
agree with CSA that consumers should understand that the label does not
guarantee complete device security, but that such protections are an
important component of risk management. As pointed out by the City of
New York's Office of Technology and Innovation, an effective consumer
education program would need to cover the risks and threats to
``digital integration of [IoT] devices'' and how those risks ``can be
lessened by helping operators, users, and consumers . . . learn the key
elements of a strong IoT Cybersecurity posture.'' We agree with
commenters in the record that NIST's approach to consumer education is
best, and note that no commenters opposed NIST's approach.
128. As the Commission acknowledged in the IoT Labeling NPRM, NIST
has prepared a document identifying consumer education considerations
as part of its analysis of a cybersecurity labeling program. In
following with NIST's recommendations, the Commission believes
consumers should have access to the following information as part of
the IoT Labeling Program's consumer education plan:
(1) What the label means and does not mean, including that the
label does not imply an endorsement of the product and that labeled
products have not completely eliminated risk;
(2) What cybersecurity baselines must be met to obtain authority to
affix the label, why they were included, and how those criteria address
security risks;
(3) A glossary of applicable terms, written in plain English;
(4) General information about the conformity assessment process,
including information about how the conformity assessment was conducted
and the date the label was awarded to the product;
(5) The kinds of products eligible for the label and an easy way
for consumers to identify labeled products;
(6) The current state of device labeling as new cybersecurity
threats and vulnerabilities emerge;
(7) Security considerations for end-of-life IoT products and
functionality implications if the product is no longer connected to the
internet;
(8) Consumer's shared responsibility for securing the device
software and how their actions (or inactions) can impact the product's
software cybersecurity; and
(9) Contact information for the IoT Labeling Program and
information on how consumers can lodge a complaint regarding a product
label.
129. We recognize that some aspects of this consumer education
campaign overlap other aspects of the IoT Labeling Program, such as the
registry. We see no harm with including that information in the
registry as well as the consumer education campaign. We also observe
the importance of conducting what NIST describes as a ``campaign'' to
establish and increase label recognition, and thus envision a Lead
Administrator-led, multiple stakeholder engagement that puts NIST's
recommendations into practice.
130. NIST has conducted research into the consumer perspective on
the loss of manufacturer support in IoT products. The research suggests
that proactive communication to consumers from the manufacturer with
information about end-of-life support policies, the expected lifespan,
and how to sign up for notifications about changes to support is an
additional, important step. NIST also emphasizes the importance of
consumer education about the meaning of the dates attached to a label,
and cautions that this can confuse consumers as to the date's meaning.
We agree with Consumer Reports that educating consumers about the
meaning of support periods is an important aspect of consumer
education. We believe that the recommendations identified by NIST in
the NIST Cybersecurity White Paper, coupled with the consumer research
done by NIST and industry, provide a strong model that the Lead
Administrator can utilize in its consumer education campaign to meet
the goals NIST and the record, discussed above, identify as important
for a successful consumer education campaign.
131. To assist the Lead Administrator in promoting consumer
education, the Commission will coordinate publicizing the benefits of
the IoT Labeling Program with the relevant agencies, including the
Department of Homeland Security, CISA, FBI, FTC, CPSC, and other
industry stakeholders who have indicated a willingness to assist with
consumer education. A coalition of trade associations advocates for a
consumer education program led by the U.S. Government, but do not
propose how to conduct outreach consistent with the Federal outreach
concerns articulated in the IoT Labeling NPRM. We agree that a
government outreach program is essential in a larger campaign to
effectively inform consumers about the IoT Labeling Program, consistent
with NIST's recommendations identified above. The Commission intends to
work closely with CISA to make use of their ``Secure our World''
program. We agree with CTA that Federal consumer education efforts do
not preclude independent communication and outreach programs. For
example, the National Retail Foundation indicated their willingness to
support consumer education efforts. While Everything Set, Inc. is
concerned that outsized private sector involvement in consumer
education might hurt the campaign's credibility, we believe that retail
and manufacturer involvement in promoting the IoT Labeling Program and
the limitations of the IoT Labeling Program are important to ensure
widespread recognition of the Cyber Trust Mark in commerce. To promote
consumer education and engage in a joint effort with industry and
stakeholders to raise awareness of the label, the Commission will
coordinate with the Lead Administrator, Executive Agencies, and other
industry stakeholders who have indicated a willingness to publicize the
benefits of the IoT Labeling Program as part of their own consumer
education efforts.
L. Cost/Benefit Analysis
132. Our analysis indicates that the expected benefits of the IoT
Labeling Program greatly exceed the expected costs of the program. The
expected benefits of the IoT Labeling Program include improved consumer
cyber awareness; reduced vulnerability of products that could be used
in cyberattacks both in people's homes and as part of a larger national
IoT ecosystem; and increased manufacturer competition and relational
benefits stemming from increased goodwill and product awareness.
Consumers value the security of their devices, and the complexity of
understanding whether IoT devices meet baseline security standards, and
making informed purchases on that basis is a significant cost to
consumers.
133. Consumer Benefit from Reduced Search Costs. The Cyber Trust
Mark can lower consumer research costs by reducing the amount of time
consumers spend researching the cybersecurity
[[Page 61269]]
characteristics of IoT products before making a purchase. We estimate
that the Cyber Trust Mark will save consumers at least $60 million
annually from reduced time spent researching cybersecurity features of
potential purchases. We use the U.S. Department of Transportation
(DOT)'s approach of valuing the time savings of travel to value the
time savings to consumers of the Cyber Trust Mark. Our analysis relies
on the share of households with a smart home device (which we note is
only one segment of the IoT market likely to be impacted by the Order),
the share of those households that are likely to devote time to
investigating the cybersecurity of their connected products, and an
estimate of their time value of researching cybersecurity
characteristics of devices. First, we estimate that 49 million U.S.
households own at least one IoT device from a market segment that
likely will be impacted by the Cyber Trust Mark. Further, recent survey
evidence suggests that 32% of households are invested in reducing their
cybersecurity risk. We estimate each hour of time savings to be valued
at $16 based on the median compensation in the U.S. and an individual's
potential preference for researching products rather than working an
additional hour. We note that this calculation only focuses on one
segment of the IoT market, which may underestimate the time savings
induced by the Order. We recognize that the exact time savings of
utilizing the Cyber Trust Mark relative to searching for information
online is unknown, so a lower end estimate of 15 minutes of time
savings per year per household is used. We find a 15-minute time
savings is consistent with the value of cybersecurity features
disclosed in surveys. Given manufacturer and industry group comments
showing support for consumer awareness and cybersecurity, we believe
there would be sufficiently large enough immediate manufacturer
participation in the IoT Labeling Program to incur these benefits in
the first year of the program, and every year thereafter. Nationwide,
the Cyber Trust Mark would result in a minimum of $60 million in time
savings annually.\25\
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\25\ $60 million = (15,000,000*$16*(15/60)) is the estimated
value for 15 minutes of time savings nationwide.
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134. A separate approach to calculating the benefit of the Cyber
Trust Mark is to estimate the value consumers place on security and
privacy features of IoT devices. A study submitted by Consumer Reports
found that respondents valued individual security upgrades between $6
and $13. The study also found that devices were valued at around $34
more if they had a label emphasizing a bundle of the most protective
security features. Given the difficulty consumers face in understanding
what security and privacy features are included in a device, the Cyber
Trust Mark would help consumers easily identify and choose products
with features they value. For example, if the Cyber Trust Mark
represented the most protective features associated with the label in
the in the study, a consumer would benefit by $34 from purchasing a
device with the Cyber Trust Mark over a device that did not display the
Mark. Based on our estimate of 15 million households that would be
impacted by the IoT labeling program, we estimate that the benefit to
consumers, in terms of the added value of the Cyber Trust Mark, would
be between $85 million and $500 million annually. While the exact
security features that will be proposed by the Lead Administrator in
collaboration with stakeholders are not yet determined, if the Cyber
Trust Mark only emphasized the lowest valued security feature, the
program would produce a benefit of at least $85 million.
135. Manufacturer Competitive and Reputational Benefits. Aside from
the direct benefits to consumers, there are also wider benefits of the
Cyber Trust Mark. Participating businesses benefit from product
differentiation and quality signaling vis-a-vis competitors that do not
participate in the IoT Labeling Program and from increased company
goodwill and reduced risks related to cybersecurity incidents. By
aligning minimum security practices with the proposed standards, and
communicating those standards to consumers, manufacturers may be able
to generate goodwill and reduce business loss after cybersecurity
incidences. While we do not revisit our discussion of a safe harbor
from liability as discussed above, we note that manufacturers may
benefit from adopting security practices that are consistent with
standards necessary to bear the Cyber Trust Mark. We highlight that
there have been several instances where the Federal Trade Commission
investigated and settled with firms due to poor security practices or
inaccurate communication of their security practices. We merely note
that a manufacturer that has gone through the process of obtaining the
Cyber Trust Mark may benefit from likely having documented the security
practices and attendant testing necessary to acquire the Mark.
136. Market-Wide Benefits of Reduced Cybersecurity Incidents.
Insecure IoT products are often used in distributed denial-of-service
(DDoS) attacks, which can be used to overwhelm websites to create a
distraction during other cybersecurity crimes, or to request a ransom
be paid to stop the attack. While we cannot quantify the expected
benefits the Cyber Trust Mark may have on reducing the number of
vulnerable devices and/or the potential reduction on their likelihood
of being used in a cybersecurity attack, commenters do highlight
improved security as one of the major benefits of this IoT Labeling
Program. We do further emphasize this as a benefit that is likely to
have significant impacts on firms in a wide range of industries.
137. Costs to IoT Labeling Program Participants. Only those
entities who choose to participate will incur costs associated with the
voluntary IoT Labeling Program. The specific costs of to participating
manufacturers cannot be readily measured but are expected to include:
conformity testing fees at a CyberLAB, CLA lab, or through in-house
testing; CLA fees; internal compliance and filing costs; Cyber Trust
Mark placement on product; costs incurred for API access as part of the
QR Code; a customer information campaign; and adjustments to security
practices necessary to meet the standards established for the Cyber
Trust Mark. These costs are likely to vary depending on the standards
and testing procedures proposed by the Lead Administrator as well as
the extent of manufacturer participation. Any in-house testing lab will
also be required to obtain accreditation to ISO/IEC standards and will
incur the accreditation costs. We expect that manufacturers that choose
to pursue this option may offset the accreditation costs with time
savings, and potentially cost savings, associated with in-house
testing.
138. Participating manufacturers will incur conformity testing,
reporting costs, potential renewal fees, and Label Administrator
processing fees, but the Commission's IoT Labeling Program is voluntary
and we only expect manufacturers who would benefit from the program to
participate in the long-run, further indicating that accrued benefits
will exceed manufacturer costs. Furthermore, comments in the record
show that many manufacturers and industry groups are in favor of
consumer awareness and addressing cybersecurity concerns. This provides
some indication that manufacturers perceive the benefits of
participating in the IoT Labeling Program as outweighing the costs. We
understand
[[Page 61270]]
that manufacturers' security practices for IoT products vary. Some
manufacturers will find it beneficial to align their cybersecurity
standards with the IoT Labeling Program's standards and apply for the
Cyber Trust Mark. If a manufacturer decides not to participate in the
program, then they will not experience any additional costs.
139. Cost of Registry Development and Administration. We attempt to
estimate the cost of developing and administering the registry with
currently available information, recognizing that our cost estimate is
unable to incorporate pending issues that will be addressed by the
Bureau as discussed above. While the cost to the Lead Administrator to
manage the registry in accordance with the Bureau's pending
determinations and as discussed above are forthcoming, we nevertheless
attempt to estimate the costs of the Lead Administrator' administrative
role in managing the registry as described above. Our estimate utilizes
data submitted by Consumer Reports, which envisioned a centralized
registry. We note that the registry, as adopted, will be less
burdensome than the costs described by Consumer Reports in their
estimates.\26\ Our estimate to maintain registry components and review
applications as part of the CLA duties, which aligns with the middle of
the expert range based on commenter submissions, is approximately $5
million annually. The high-end estimate submitted by Consumer Reports
is $10 million. Consumer Reports indicates that setting up a
centralized registry could be done by one individual with a few
contractors at a cost less than $200,000 a year. Depending on the
requirements, the Lead CLA may still need to set up some minimal
components of a registry and incur a small portion of these costs. The
estimates on the annual administration costs are much less precise with
the expert proposed estimate of between $100k and $10 million annually,
with indication that the $10 million estimate is on the very high end.
Staff calculate a more reasonable, but likely still high, estimate in
the middle of that range, even accounting for the advanced technical
expertise that would be required to review applications. For example,
an organization relying on five lawyers, five electrical engineers, and
five software developers in a full-time capacity would require $3
million annually in wage compensation. If we generously assume another
$2 million in additional costs to accommodate ISO/IEC accreditation,
contractors, facilities, and other resources, the total is $5 million.
While these estimates are for a single administrator, we believe this
is a reasonable estimate of the staffing costs that would be
distributed among the CLAs to meet the requirements of reviewing
applications.
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\26\ The Consumer Reports proposed registry architecture
includes a dataset that can store images and PDFs as well as allows
for device manufacturers, retailers, security researchers and
administrators to access the platform. The registry, as adopted,
does not include these features and therefore would not incur the
costs to develop and maintain them.
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140. The estimated high-end costs of administering the IoT Labeling
Program annually ($10 million) are far less than the low-end estimate
of annual benefits to consumers ($60 million) of just one aspect of the
program. We further highlight that the benefits to manufacturers are
likely to exceed manufacturer's participation costs. Together this
indicates the total program benefits exceed costs. Because the initial
startup costs are so low relative to the benefits, we do not compare
the discounted values.
I. Legal Authority
141. We adopt the IoT Labeling NPRM's tentative conclusion that the
FCC has authority to adopt the IoT Labeling Program. We conclude that
section 302 provides us with the authority to adopt a voluntary program
for manufacturers seeking authority to affix the FCC-owned Cyber Trust
Mark on wireless consumer IoT products that comply with the program
requirements. In the IoT Labeling NPRM, the Commission sought comment
on its authority under section 302 of the Act, along with other
possible sources of authority. In particular, under section 302(a) of
the Act, consistent with the public interest, convenience, and
necessity, the Commission is authorized to make reasonable regulations
(1) governing the interference potential of devices which in their
operation are capable of emitting radio frequency energy by radiation,
conduction, or other means in sufficient degree to cause harmful
interference to radio communications; and (2) establishing minimum
performance standards for home electronic equipment and systems to
reduce their susceptibility to interference from radio frequency
energy.
142. Some commenters question our authority under section 302 to
establish an IoT Labeling Program. The U.S. Chamber of Commerce
cautions the Commission to not ``overinterpret its harmful interference
authority'' under sections 302(a) and 333. CTIA argues that the
Commission does not have the authority to regulate cybersecurity, but
does not cite to section 302(a) or explain why the Commission's action
in the Order does not fall within the scope of section 302(a) or any
other section of the Communications Act. Others do not dispute the
Commission's authority to adopt a voluntary program but argue that the
Commission does not have the authority to make the IoT Labeling Program
mandatory.
143. We agree with Comcast that Congress intended section 302 to be
flexible enough ``to address novel issues not yet on the legislative
radar[.]'' As Comcast further observes, ``[t]he stated goal of the [IoT
Labeling] Program is to `ensure that IoT devices have implemented
certain minimum cybersecurity protocols to prevent their being hacked
by bad actors who could cause the devices to cause harmful interference
to radio communications,' which falls squarely within the Commission's
remit under section 302(a).'' Further, NYC OTI points out that IoT
which ``by design doesn't protect against the reception of spurious or
unintended RF communications may be subject to a series of radio-layer
attacks due to the lack of these protections'' and thus is within our
authority to regulate. A voluntary IoT Labeling Program thus assures
consumers that certain cybersecurity standards are met to protect those
devices from being used to generate interference to other devices.
144. In addition to our authority under section 302(a)(1), section
302(a)(2) authorizes the Commission to ``establish minimum performance
standards for home electronic equipment and systems to reduce their
susceptibility to interference from radio frequency energy.'' A
voluntary program for consumer IoT products is encompassed within our
authority to regulate home electronic equipment and their accompanying
systems that render that home electronic equipment operational.
145. Section 302(a)(2) allows such regulations to apply to ``the
manufacture, import, sale, offer for sale, or shipment of such devices
and home electronic equipment and systems[.]'' The legislative history
of section 302 also supports our conclusion. Congress adopted section
302 due to concerns about radio frequency interference to consumer
electronic equipment:
In the market for home devices, however, good faith industry
attempts to solve this interference have not always been as
successful. . . . [T]he Conferees believe that Commission authority
to impose appropriate regulations on home electronic equipment and
systems is now necessary to insure that consumers' home electronic
equipment and
[[Page 61271]]
systems will not be subject to malfunction due to [radio frequency
interference].
146. Congress envisioned ``home electronic equipment and systems''
to include not only radio and television sets, but all types of
electronics and their supporting systems used by consumers. Examples
given by Congress were home burglar alarms, security systems, automatic
garage door openers, record turntables, and sound systems. Congress
clearly foresaw interference and disruption to consumer equipment and
the systems that equipment was connected to as within the ambit of
section 302 when it gave the Commission ``exclusive jurisdiction'' over
matters involving radio frequency interference. The many alternatives
available to the Commission to accomplish its duty under section 302
include directing manufacturers to meet ``certain minimal standards''
or utilizing labels.
147. We additionally conclude that our section 302(a) authority to
adopt ``reasonable regulations'' governing the interference potential
of devices capable of causing RF interference empowers us to choose
specific approaches that advance goals of the Act in addition to the
core concerns in section 302(a)(1) and (2). For one, as widely
supported in the record, we rely on NIST's recommended IoT criteria
(the NIST Core Baseline) as the foundation for the cybersecurity
requirements to be applied under the IoT Labeling Program. Even if some
elements or applications of those criteria could advance policies or
interests in addition to guarding against the risk that exploited
vulnerabilities in internet-connected wireless consumer IoT products
could cause harmful interference, it would be neither prudent nor
workable to try to segregate or disaggregate that package of criteria
in an effort to isolate some product capabilities from others in an
effort to narrow the Program's focus. To the contrary, maintaining the
integrity of the cohesive package of NIST criteria advances the
directive in section 302(a) to address the interference potential of
wireless devices through ``reasonable regulations.'' Commenters point
out, for example, that even when harmful interference to IoT products
from cyberattacks ``is not necessarily the traditional form of
interference caused by devices operating in frequencies and at power
levels not approved by the Commission[,]'' it can implicate statutory
policy concerns nonetheless. Under the circumstances here, we thus find
it ``reasonable'' for our IoT Labeling Program to rely on the full
package of IoT cybersecurity criteria that guard against the risk that
the covered products cause harmful interference, and also guard against
the risk of interference to those covered products--even in the case of
non-RF interference--consistent with the policy goals underlying
provisions such as sections 302(a) and 333 and of the Act. Our
understanding of the reasonableness of our approach here also is
informed by the public safety and national security goals in sections 1
and 4(n) of the Act. Thus, although we do not rely on additional
provisions beyond section 302 as authority for the voluntary IoT
Labeling Program we adopt in the Order, they inform our understanding
of what regulatory approach to implementing section 302(a) is
reasonable under these circumstances.\27\
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\27\ Because we conclude that section 302 of the Act authorizes
our actions in the Order, we defer consideration of other sources of
authority that the Communications Act may grant the Commission over
this area.
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148. Comcast also cites the legislative history of section 302(a)
in support of our authority to establish an IoT Labeling Program.
Congress agreed with a letter from the Commission that initial language
that would have restricted section 302(a) to devices that cause harmful
interference to ```commercial, aircraft, and public safety' radio
communications'' was too narrow. Congress instead adopted the current
language: ``reasonable regulations . . . consistent with the public
interest, convenience, and necessity.'' The Commission's authority
under section 302 was designed by Congress to be ``sufficiently broad
to permit it to formulate rules relating to any service where
interference from these devices is a serious problem.'' Such language,
it was believed, would be ``sufficiently broad to permit it to
formulate rules relating to any service where interference from these
devices is a serious problem.'' We conclude that a voluntary program
with minimum standards to prevent radio interference to consumer IoT
products is consistent with the text and history of section 302.
149. Further, we have previously imposed security requirements that
prevent unauthorized parties from accessing and alerting technology to
cause radio interference under our section 302 authority. In 2020, we
required that access points to automated frequency coordination systems
were secure so unauthorized parties could not alter the list of
available frequencies and power levels sent to an access point. We
agree with Comcast that our previous actions requiring end user devices
to ``contain security features sufficient to protect against
modification of software and firmware by any unauthorized parties'' and
actions to secure unlicensed national information infrastructure
devices are sufficiently analogous to this proceeding as to be
supported by our section 302 authority.
150. Finally, consistent with our tentative conclusion in the IoT
Labeling NPRM, we find that our section 302 authority enables us to
rely on third parties in carrying out the implementation details of our
Program. As the Commission pointed out in the NPRM, section 302(e) of
the Act authorizes the Commission to delegate equipment testing and
certification to private laboratories, and the Commission already has
relied in part on third parties in carrying out its equipment
authorization rules that likewise implement section 302 of the Act.
II. Incorporation by Reference
151. These final rules include regulatory text that is incorporated
by reference. In accordance with requirements of 1 CFR 51.5, the
Commission describes the incorporated materials here. These final rules
are incorporating by reference the following ISO/IEC standards: ISO/IEC
17011:2017(E), Conformity assessment--Requirements for accreditation
bodies accrediting conformity assessment bodies, Second Edition,
November 2017, ISO/IEC 17025:2017(E), General requirements for the
competence of testing and calibration laboratories, Third Edition,
November 2017, and ISO/IEC 17065:2012(E), Conformity assessment--
Requirements for bodies certifying products, processes and services,
First Edition, 2012-09-15, which establish international standards
requirements for accreditation bodies accrediting conformity assessment
bodies; general requirements for testing and calibration laboratories;
and conformity assessment requirements for certifying products,
processes, and services; respectively. Copies of these standards are
available for purchase from the American National Standards Institute
(ANSI) through its NSSN operation (www.nssn.org) at Customer Service,
American National Standards Institute, 25 West 43rd Street, New York,
NY 10036, telephone (212) 642-4900.
III. Procedural Matters
152. Paperwork Reduction Act. This document contains new and
modified information collection requirements subject to the Paperwork
Reduction Act of 1995 (PRA), Public Law 104-13. It
[[Page 61272]]
will be submitted to the Office of Management and Budget (OMB) for
review under section 3507(d) of the PRA. OMB, the general public, and
other Federal agencies will be invited to comment on the new or
modified information collection requirements contained in this
proceeding. In addition, we note that pursuant to the Small Business
Paperwork Relief Act of 2002, Public Law 107-198, see 44 U.S.C.
3506(c)(4), we previously sought specific comment on how the Commission
might further reduce the information collection burden for small
business concerns with fewer than 25 employees.
153. In this document, we have assessed the effects of the
operational framework for a voluntary IoT cybersecurity labeling
program. Since the IoT Labeling Program is voluntary, small entities
who do not participate in the IoT Labeling Program will not be subject
to any new or modified reporting, recordkeeping, or other compliance
obligations. Small entities that choose to participate in the IoT
Labeling Program by seeking authority to affix the Cyber Trust Mark on
their products will incur recordkeeping and reporting as well as other
obligations that are necessary to test their IoT products to
demonstrate compliance with the requirements we adopt in the Order. We
find that, for the Cyber Trust Mark to have meaning for consumers, the
requirements for an IoT product to receive the Cyber Trust Mark must be
uniform for both small businesses and other entities. Thus, the
Commission continues to maintain the view we expressed in the IoT
Labeling NPRM, that the significance of mark integrity, and building
confidence among consumers that devices and products containing the
Cyber Trust Mark label can be trusted to be cyber secure, necessitates
adherence by all entities participating in the IoT Labeling Program to
the same rules regardless of size.
154. Regulatory Flexibility Act Analysis. A Final Regulatory
Flexibility Act (FRFA) Analysis for the final rules adopted in the
Order was prepared and can be found as Exhibit B of the FCC's Report
and Order, FCC 24-26, adopted March 15, 2024, at this link: https://docs.fcc.gov/public/attachments/FCC-24-26A1.pdf.
155. OPEN Government Data Act. The OPEN Government Data Act
requires agencies to make ``public data assets'' available under an
open license and as ``open Government data assets,'' i.e., in machine-
readable, open format, unencumbered by use restrictions other than
intellectual property rights, and based on an open standard that is
maintained by a standards organization. This requirement is to be
implemented ``in accordance with guidance by the Director'' of the OMB.
The term ``public data asset'' means ``a data asset, or part thereof,
maintained by the Federal Government that has been, or may be, released
to the public, including any data asset, or part thereof, subject to
disclosure under the Freedom of Information Act (FOIA).'' A ``data
asset'' is ``a collection of data elements or data sets that may be
grouped together,'' and ``data'' is ``recorded information, regardless
of form or the media on which the data is recorded.'' We delegate
authority, including the authority to adopt rules, to the Bureau, in
consultation with the agency's Chief Data Officer and after seeking
public comment to the extent it deems appropriate, to determine whether
to make publicly available any data assets maintained or created by the
Commission within the meaning of the OPEN Government Act pursuant to
the rules adopted herein, and if so, to determine when and to what
extent such information should be made publicly available. Such data
assets may include assets maintained by a CLA or other third party, to
the extent the Commission's control or direction over those assets may
bring them within the scope of the OPEN Government Act, as interpreted
in the light of guidance to be issued by OMB.\28\ In doing so, the
Bureau shall take into account the extent to which such data assets are
subject to disclosure under the FOIA.
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\28\ OMB has not yet issued final guidance.
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156. People with Disabilities. To request materials in accessible
formats for people with disabilities (braille, large print, electronic
files, audio format), send an email to [email protected] or call the
Consumer & Governmental Affairs Bureau at 202-418-0530 (voice).
IV. Ordering Clauses
157. Accordingly, it is ordered that pursuant to the authority
contained in sections 1, 2, 4(i), 4(n), 302, 303(r), 312, 333, and 503,
of the Communications Act of 1934, as amended, 47 U.S.C. 151, 152,
154(i), 154(n), 302a, 303(r), 312, 333, 503; the IoT Cybersecurity
Improvement Act of 2020, 15 U.S.C. 278g-3a through 278g-3e; the Report
and Order is hereby adopted.
158. It is further ordered that the Office of the Managing
Director, Performance Program Management, SHALL SEND a copy of the
Report and Order in a report to be sent to Congress and the Government
Accountability Office pursuant to the Congressional Review Act, see 5
U.S.C. 801(a)(1)(A).
List of Subjects in 47 CFR Part 8
Communications, Consumer protection, Cybersecurity, Electronic
products, Incorporation by reference, internet, Labeling, Product
testing and certification, Telecommunications.
Federal Communications Commission
Marlene Dortch,
Secretary.
Final Rules
For the reasons discussed in the preamble, the Federal
Communications Commission amends 47 CFR subchapter A as follows:
0
1. Under the authority of 47 U.S.C. 151, 152, 153, 154(i)-(j), 160,
163, 201, 202, 206, 207, 208, 209, 214, 215, 216, 217, 218, 219, 220,
230, 251, 254, 256, 257, 301, 303, 304, 307, 309, 310, 312, 316, 332,
403, 501, 503, 522, 1302, revise the heading for subchapter A to read
as follows:
Subchapter A--General
PART 8--SAFEGUARDING AND SECURING THE INTERNET
0
2. The authority citation for part 8 continues to read as follows:
Authority: 47 U.S.C. 151, 152, 153, 154, 163, 201, 202, 206,
207, 208, 209, 216, 217, 257, 301, 302a, 303, 304, 307, 309, 312,
316, 332, 403, 501, 503, 522, 1302, 1753.
0
3. Revise the heading for part 8 to read as set forth above.
Sec. Sec. 8.1, 8.2, 8.3, and 8.6 [Designated as Subpart A]
0
4. Designate Sec. Sec. 8.1, 8.2, 8.3, and 8.6 as subpart A.
0
5. Add a heading for newly designated subpart A to read as follows:
Subpart A--Protections for internet Openness
0
6. Add subpart B to read as follows:
Subpart B--Cybersecurity Labeling Program for IoT Products
Sec.
8.201 Incorporation by reference.
8.202 Basis and purpose.
8.203 Definitions.
8.204 Prohibition on use of the FCC IoT Label on products produced
by listed sources.
8.205 Cybersecurity labeling authorization.
8.206 Identical defined.
8.207 Responsible party.
8.208 Application requirements.
8.209 Grant of authorization to use FCC IoT Label.
8.210 Dismissal of application.
8.211 Denial of application.
8.212 Review of CLA decisions.
[[Page 61273]]
8.213 Limitations on grants to use the FCC IoT Label.
8.214 IoT product defect and/or design change.
8.215 Retention of records.
8.216 Termination of authorization to use the FCC IoT Label.
8.217 CyberLABs.
8.218 Recognition of CyberLAB accreditation bodies.
8.219 Approval/recognition of Cybersecurity Label Administrators.
8.220 Requirements for CLAs.
8.221 Requirements for the Lead Administrator.
8.222 Establishment of an IoT Registry.
Subpart B--Cybersecurity Labeling Program for IoT Products
Sec. 8.201 Incorporation by reference.
Certain material is incorporated by reference into this subpart
with the approval of the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by
reference (IBR) material is available for inspection at the Federal
Communications Commission (FCC or Commission) and at the National
Archives and Records Administration (NARA). Contact the FCC at the
address indicated in 47 CFR 0.401(a), phone: (202) 418-0270. For
information on the availability of this material at NARA, visit
www.archives.gov/federal-register/cfr/ibr-locations or email
[email protected]. The material may be obtained from the
International Electrotechnical Commission (IEC), IEC Central Office, 3,
rue de Varembe, CH-1211 Geneva 20, Switzerland, Email: [email protected],
www.iec.ch.
(a) ISO/IEC 17011:2017(E), Conformity assessment--Requirements for
accreditation bodies accrediting conformity assessment bodies, Second
Edition, November 2017; IBR approved for Sec. 8.217.
(b) ISO/IEC 17025:2017(E), General requirements for the competence
of testing and calibration laboratories, Third Edition, November 2017;
IBR approved for Sec. Sec. 8.217; 8.220.
(c) ISO/IEC 17065:2012(E), Conformity assessment--Requirements for
bodies certifying products, processes and services, First Edition,
2012-09-15; IBR approved for Sec. 8.220.
Note 1 to Sec. 8.201: The standards listed in this section are
co-published with the International Organization for Standardization
(ISO), 1, ch. De la Voie-Creuse, CP 56, CH-1211, Geneva 20,
Switzerland; www.iso.org; Tel.: + 41 22 749 01 11; Fax: + 41 22 733
34 30; email: [email protected].
Note 2 to Sec. 8.201: ISO publications can also be purchased
from the American National Standards Institute (ANSI) through its
NSSN operation (www.nssn.org), at Customer Service, American
National Standards Institute, 25 West 43rd Street, New York, NY
10036, telephone (212) 642-4900.
Sec. 8.202 Basis and purpose.
In order to elevate the Nation's cybersecurity posture and provide
consumers with assurances regarding their baseline cybersecurity,
thereby addressing risks of harmful radiofrequency interference to and
from consumer internet-connected (Internet of Things or IoT) products
the Federal Communications Commission establishes a labeling program
for consumer IoT products.
Sec. 8.203 Definitions.
(a) Affiliate. For purposes of this subpart and the IoT labeling
program, an affiliate is defined as a person that (directly or
indirectly) owns or controls, is owned or controlled by, or is under
common ownership or control with, another person. For purposes of this
subpart, the term own means to own an equity interest (or the
equivalent thereof) of more than 10 percent.
(b) Consumer IoT products. IoT products intended primarily for
consumer use, rather than enterprise or industrial use. Consumer IoT
products exclude medical devices regulated by the U.S. Food and Drug
Administration (FDA) and excludes motor vehicles and motor vehicle
equipment regulated by the National Highway Traffic Safety
Administration (NHTSA).
(c) Cybersecurity Label Administrator (CLA). An accredited third-
party entity that is recognized and authorized by the Commission to
manage and administer the labeling program in accordance with the
Commission's rules in this subpart.
(d) Cybersecurity Testing Laboratory (CyberLAB). Accredited third-
party entities recognized and authorized by a CLA to assess consumer
IoT products for compliance with requirements of the labeling program.
(e) Cyber Trust Mark. A visual indicator indicating a consumer IoT
product complies with program requirements of the labeling program and
the Commission's minimum cybersecurity requirements in this subpart.
(f) FCC IoT Label. A binary label displayable with a consumer IoT
product complying with program requirements of the labeling program,
the binary label bearing the Cyber Trust Mark, and a scannable QR code
that directs consumers to a registry containing further information on
the complying consumer IoT product.
(g) Intentional radiator. A device that intentionally generates and
emits radiofrequency energy by radiation or induction.
(h) Internet-connected device. A device capable of connecting to
the internet and exchanging data with other devices or centralized
systems over the internet.
(i) IoT device. (1) An internet-connected device capable of
intentionally emitting radiofrequency energy that has at least one
transducer (sensor or actuator) for interacting directly with the
physical world; coupled with
(2) At least one network interface (e.g., Wi-Fi, Bluetooth) for
interfacing with the digital world.
(j) IoT product. An IoT device and any additional product
components (e.g., backend, gateway, mobile app) that are necessary to
use the IoT device beyond basic operational features, including data
communications links to components outside this scope but excluding
those external components and any external third-party components that
are outside the manufacturer's control.
(k) Labeling program. A voluntary program for consumer IoT products
that allows a complying consumer IoT product to display an FCC IoT
Label.
(l) Lead Administrator. A CLA selected from among Cybersecurity
Label Administrators (CLAs) to be responsible for carrying out
additional administrative responsibilities of the labeling program.
(m) Product components. Hardware devices, plus supporting
components that generally fall into three main types per NISTIR 8425:
specialty networking/gateway hardware (e.g., a hub within the system
where the IoT device is used); companion application software (e.g., a
mobile app for communicating with the IoT device); and backends (e.g.,
a cloud service, or multiple services, that may store and/or process
data from the IoT device). Should a product component also support
other IoT products through alternative features and interfaces, these
alternative features and interfaces may, through risk-assessment, be
considered as separate from and not part of the IoT product for
purposes of authorization.
(n) Registry. Information presented to consumers about consumer IoT
products that comply with the program requirements of the labeling
program, the registry is publicly accessible through a link from the QR
Code of the FCC IoT Label displayed with the complying consumer IoT
product, and containing information about the complying consumer IoT
product, manufacturer of the complying
[[Page 61274]]
consumer IoT product, and other information as required by the labeling
program.
Sec. 8.204 Prohibition on use of the FCC IoT Label on products
produced by listed sources.
All consumer IoT products produced by sources listed in this
subpart are prohibited from obtaining use of the FCC IoT Label under
this subpart. This includes:
(a) All communications equipment on the Covered List, as
established pursuant to 47 CFR 1.50002;
(b) All IoT products containing IoT devices or product components
produced by entities listed in paragraph (c) or (d) of this section;
(c) IoT devices or IoT products produced by any entity, its
affiliates, or subsidiaries identified on the Covered List as producing
covered equipment, as established pursuant to 47 CFR 1.50002;
(d) IoT devices or IoT products produced by any entity, its
affiliates, or subsidiaries identified on the Department of Commerce's
Entity List, 15 CFR part 744, supplement no. 4, and/or the Department
of Defense's List of Chinese Military Companies, U.S. Department of
Defense, Entities Identified as Chinese Military Companies Operating in
the United States in Accordance with Section 1260H of the William M.
(``Mac'') Thornberry National Defense Authorization Act for Fiscal Year
2021 (Pub. L. 116-283), Tranche 2 (2022), https://media.defense.gov/2022/Oct/05/2003091659/-1/-1/0/1260H%20COMPANIES.PDF. and
(e) Products produced by any entity owned or controlled by or
affiliated with any person or entity that has been suspended or
debarred from receiving Federal procurements or financial awards, to
include all entities and individuals published as ineligible for award
on the General Service Administration's System for Award Management.
Sec. 8.205 Cybersecurity labeling authorization.
(a) Cybersecurity labeling authorization is an authorization issued
by a Cybersecurity Label Administrator (CLA) and authorized under the
authority of the Commission, which grants an applicant of a complying
consumer IoT product to display the FCC IoT Label on the relevant
packaging for the complying consumer product, based on compliance with
the program requirements as determined by the CLA.
(b) Cybersecurity labeling authorization attaches to all units of
the complying consumer IoT product subsequently marketed by the grantee
that are identical (see Sec. 8.206) to the sample determined to comply
with the program requirements except for permissive changes or other
variations authorized by the Commission.
Sec. 8.206 Identical defined.
As used in this subpart, the term identical means identical within
the variation that can be expected to arise as a result of quantity
production techniques.
Sec. 8.207 Responsible party.
In the case of a complying consumer IoT product that has been
granted authorization to use the FCC IoT Label, the applicant to whom
that grant of cybersecurity labeling authorization is issued is
responsible for continued compliance with the program requirements for
continued use of the FCC IoT Label.
Sec. 8.208 Application requirements.
(a) An application to certify the consumer IoT product as being
compliant with the labeling program shall be submitted in writing to a
Cybersecurity Labeling Administrator (CLA) in the form and format
prescribed by the Commission. Each application shall be accompanied by
all information required by this subpart.
(b) The applicant shall provide to the CLA in the application all
information that the CLA requires to determine compliance with the
program requirements of the labeling program.
(c) The applicant will provide a declaration under penalty of
perjury that all of the following are true and correct:
(1) The product for which the applicant seeks to use the FCC IoT
Label through cybersecurity certification meets all the requirements of
the IoT labeling program.
(2) The applicant is not identified as an entity producing covered
communications equipment on the Covered List, established pursuant to
47 CFR 1.50002.
(3) The product is not comprised of ``covered'' equipment on the
Covered List.
(4) The product is not produced by any entity, its affiliates, or
subsidiaries identified on the Department of Commerce's Entity List, 15
CFR part 744, supplement no. 4, and/or the Department of Defense's List
of Chinese Military Companies, U.S. Department of Defense, Entities
Identified as Chinese Military Companies Operating in the United States
in Accordance with Section 1260H of the William M. (``Mac'') Thornberry
National Defense Authorization Act for Fiscal Year 2021 (Pub. L. 116-
283), Tranche 2 (2022), https://media.defense.gov/2022/Oct/05/2003091659/-1/-1/0/1260H%20COMPANIES.PDF; and
(5) The product is not owned or controlled by or affiliated with
any person or entity that has been suspended or debarred from receiving
Federal procurements or financial awards, to include all entities and
individuals published as ineligible for award on the General Service
Administration's System for Award Management as described in Sec.
8.204.
(6) The applicant has taken every reasonable measure to create a
securable product.
(7) The applicant will, until the support period end date disclosed
in the registry, diligently identify critical vulnerabilities in our
products and promptly issue software updates correcting them, unless
such updates are not reasonably needed to protect against security
failures.
(8) The applicant will not elsewhere disclaim or otherwise attempt
to limit the substantive or procedural enforceability of this
declaration or of any other representations and commitments made on the
FCC IoT Label or made for purposes of acquiring or maintaining
authorization to use it.
(d) The applicant shall provide a written and signed declaration to
the CLA that all statements it makes in the application are true and
correct to the best of its knowledge and belief.
(e) Each application, including amendments thereto, and related
statements of fact and authorizations required by the Commission, shall
be signed by the applicant or their authorized agent.
(f) The applicant declares the product is reasonably secure and
will be updated through minimum support period for the product and the
end date of the support period must be disclosed.
(g) The applicant shall declare under penalty of perjury that the
consumer IoT product for which the applicant is applying for
participation in the labeling program is not prohibited pursuant to
Sec. 8.204.
(h) If the identified listed sources under Sec. 8.204 are modified
after the date of the declaration required by paragraph (c) of this
section but prior to grant of authorization to use the FCC IoT Label,
then the applicant shall provide a new declaration as required by
paragraph (c).
(i) The applicant shall designate an agent located in the United
States for the purpose of accepting service of process on behalf of the
applicant.
(1) The applicant shall provide a written attestation:
[[Page 61275]]
(i) Signed by both the applicant and its designated agent for
service of process, if different from the applicant;
(ii) Acknowledging the applicant's consent and the designated
agent's obligation to accept service of process in the United States
for matters related to the applicable product, and at the physical U.S.
address and email address of its designated agent; and
(iii) Acknowledging the applicant's acceptance of its obligation to
maintain an agent for service of process in the United States for no
less than one year after either the grantee has permanently terminated
all marketing and importation of the applicable equipment within the
U.S., or the conclusion of any Commission-related administrative or
judicial proceeding involving the product, whichever is later.
(2) An applicant located in the United States may designate itself
as the agent for service of process.
(j) Technical test data submitted to the CLA shall be signed by the
person who performed or supervised the tests. The person signing the
test data shall attest to the accuracy of such data. The CLA may
require the person signing the test data to submit a statement showing
that they are qualified to make or supervise the required measurements.
(k) Signed, as used in this section, means an original handwritten
signature or any symbol executed or adopted by the applicant or CLA
with the intent that such symbol be a signature, including symbols
formed by computer-generated electronic impulses.
Sec. 8.209 Grant of authorization to use FCC IoT Label.
(a) A CLA will grant cybersecurity labeling authorization if it
finds from an examination of the application and supporting data, or
other matter which it may officially notice, that the consumer IoT
product complies with the program requirements.
(b) Grants will be made in writing showing the effective date of
the grant.
(c) Cybersecurity certification shall not attach to any product,
nor shall any use of the Cyber Trust Mark be deemed effective, until
the application has been granted.
(d) Grants will be effective from the date of authorization.
(e) The grant shall identify the CLA granting the authorization and
the Commission as the issuing authority.
(f) In cases of a dispute, the Commission will be the final
arbiter.
Sec. 8.210 Dismissal of application.
(a) An application that is not in accordance with the provisions of
this subpart may be dismissed.
(b) Any application, upon written request signed by the applicant
or their agent, may be dismissed prior to a determination granting or
denying the authorization requested.
(c) If an applicant is requested to submit additional documents or
information and fails to submit the requested material within the
specified time period, the application may be dismissed.
Sec. 8.211 Denial of application.
If the CLA is unable to make the findings specified in Sec.
8.209(a), it will deny the application. Notification of the denial to
the applicant will include a statement of the reasons for the denial.
Sec. 8.212 Review of CLA decisions.
(a) Seeking review from a CLA. Any party aggrieved by an action
taken by a CLA must first seek review from the CLA. The CLA should
respond to appeals of their decisions in a timely manner and within 10
business days of receipt of a request for review.
(b) Seeking review from the Commission. A party aggrieved by an
action taken by a CLA may, after seeking review by the CLA, seek review
from the Commission.
(c) Filing deadlines. (1) An aggrieved party seeking review of a
CLA decision by the CLA shall submit such a request within sixty (60)
days from the date the CLA issues a decision. Such request shall be
deemed submitted when received by the CLA.
(2) An aggrieved party seeking review of a CLA decision by the
Commission shall file such a request within sixty (60) days from the
date the CLA issues a decision on the party's request for review.
Parties must adhere to the time periods for filing oppositions and
replies set forth in 47 CFR 1.45.
(d) Review by the Public Safety and Homeland Security Bureau or the
Commission. (1) Requests for review of CLA decisions that are submitted
to the Federal Communications Commission shall be considered and acted
upon by the Public Safety and Homeland Security Bureau; provided,
however, that requests for review that raise novel questions of fact,
law or policy shall be considered by the full Commission.
(2) An aggrieved party may seek review of a decision issued under
delegated authority by the Public Safety and Homeland Security Bureau
pursuant to the rules set forth in 47 CFR part 1.
(e) Standard of review. (1) The Public Safety and Homeland Security
Bureau shall conduct de novo review of request for review of decisions
issued by the CLA.
(2) The Federal Communications Commission shall conduct de novo
review of requests for review of decisions by the CLA that involve
novel questions of fact, law, or policy; provided, however, that the
Commission shall not conduct de novo review of decisions issued by the
Public Safety and Homeland Security Bureau under delegated authority.
(f) Time periods for Commission review of CLA decisions. (1) The
Public Safety and Homeland Security Bureau shall, within forty-five
(45) days, take action in response to a request for review of a CLA
decision that is properly before it. The Public Safety and Homeland
Security Bureau may extend the time period for taking action on a
request for review of a CLA decision for a period of up to ninety days.
The Commission may also at any time, extend the time period for taking
action of a request for review of a CLA decision pending before the
Public Safety and Homeland Security Bureau.
(2) The Commission shall issue a written decision in response to a
request for review of a CLA decision that involves novel questions of
fact, law, or policy within forty-five (45) days. The Commission may
extend the time period for taking action on the request for review of a
CLA decision. The Public Safety and Homeland Security Bureau also may
extend action on a request for review of a CLA decision for a period of
up to ninety days.
(g) No authorization pending CLA review. While a party seeks review
of a CLA decision, they are not authorized to use the FCC IoT Label
until the Commission issues a final decision authorizing their use of
the FCC IoT Label.
Sec. 8.213 Limitations on grants to use the FCC IoT Label.
(a) A grant of authorization to use the FCC IoT Label remains
effective until set aside, revoked or withdrawn, rescinded,
surrendered, or a termination date is otherwise established by the
Commission.
(b) No person shall, in any advertising matter, brochure, etc., use
or make reference to the FCC IoT Label or the Cyber Trust Mark in a
deceptive or misleading manner.
Sec. 8.214 IoT product defect and/or design change.
When a complaint is filed directly with the Commission or submitted
to the Commission by the Lead Administrator or other party concerning a
consumer IoT product being non-compliant with the labeling program, and
the Commission determines that the
[[Page 61276]]
complaint is justified, the Commission may require the grantee to
investigate such complaint and report the results of such investigation
to the Commission within 20 days. The report shall also indicate what
action if any has been taken or is proposed to be taken by the grantee
to correct the defect, both in terms of future production and with
reference to articles in the possession of users, sellers, and
distributors.
Sec. 8.215 Retention of records.
(a) For complying consumer IoT products granted authorization to
use the FCC IoT Label, the grantee shall maintain the records listed as
follows:
(1) A record of the original design and specifications and all
changes that have been made to the complying consumer IoT product that
may affect compliance with the standards and testing procedures of this
subpart.
(2) A record of the procedures used for production inspection and
testing to ensure conformance with the standards and testing procedures
of this subpart.
(3) A record of the test results that demonstrate compliance with
the appropriate regulations in this chapter.
(b) Records shall be retained for a two-year period after the
marketing of the associated product has been permanently discontinued,
or until the conclusion of an investigation or a proceeding if the
grantee is officially notified that an investigation or any other
administrative proceeding involving its product has been instituted.
Sec. 8.216 Termination of authorization to use the FCC IoT Label.
(a) Grant of authorization to use the FCC IoT Label is
automatically terminated by notice of the Bureau following submission
of a report as specified in Sec. 8.214 has not been adequately
corrected:
(1) For false statements or representations made either in the
application or in materials or response submitted in connection
therewith or in records required to be kept by Sec. 8.215.
(2) If upon subsequent inspection or operation it is determined
that the consumer IoT product does not conform to the pertinent
technical requirements in this subpart or to the representations made
in the original application.
(3) Because of conditions coming to the attention of the Commission
which would warrant it in refusing to grant authorization to use the
FCC IoT Label.
(4) Because the grantee or affiliate has been listed as described
in Sec. 8.204.
(b) [Reserved]
Sec. 8.217 CyberLABs.
(a) A CyberLAB providing testing of products seeking a grant of
authorization to use the FCC IoT Label shall be accredited by a
recognized accreditation body, which must attest that the CyberLAB has
demonstrated:
(1) Technical expertise in cybersecurity testing and conformity
assessment of IoT devices and products.
(2) Compliance with accreditation requirements based on ISO/IEC
17025 (incorporated by reference, see Sec. 8.201).
(3) Knowledge of FCC rules and procedures associated with products
compliance testing and cybersecurity certification.
(4) Necessary equipment, facilities, and personnel to conduct
cybersecurity testing and conformity assessment of IoT devices and
products.
(5) Documented procedures for conformity assessment.
(6) Implementation of controls to eliminate potential conflicts of
interests, particularly with regard to commercially sensitive
information.
(7) That the CyberLAB is not an organization, its affiliates, or
subsidiaries identified by the listed sources of prohibition under
Sec. 8.204.
(8) That it has certified the truth and accuracy of all information
it has submitted to support its accreditation.
(b) Once accredited or recognized the CyberLAB will be periodically
audited and reviewed to ensure they continue to comply with the
requirements of the ISO/IEC 17025 standard.
(c) The Lead Administrator will verify that the CyberLAB is not
listed in any of the lists in Sec. 8.204.
(d) The Lead Administrator will maintain a list of accredited
CyberLABs that it has recognized, and make publicly available the list
of accredited CyberLAB. Inclusion of a CyberLAB on the accredited list
does not constitute Commission endorsement of that facility.
Recognition afforded to a CyberLAB under the labeling program will be
automatically terminated for entities that are subsequently placed on
the Covered List, listed sources of prohibition under Sec. 8.204, or
of it, its affiliate, or subsidiary is owned or controlled by a foreign
adversary country defined by the Department of Commerce in 15 CFR 7.4.
(e) In order to be recognized and included on the list in paragraph
(d) of this section, the accrediting organization must submit the
information in paragraphs (e)(1) through (9) of this section to the
Lead Administrator:
(1) Laboratory name, location of test site(s), mailing address and
contact information;
(2) Name of accrediting organization;
(3) Scope of laboratory accreditation;
(4) Date of expiration of accreditation;
(5) Designation number;
(6) FCC Registration Number (FRN);
(7) A statement as to whether or not the laboratory performs
testing on a contract basis;
(8) For laboratories outside the United States, details of the
arrangement under which the accreditation of the laboratory is
recognized; and
(9) Other information as requested by the Commission.
(f) A laboratory that has been accredited with a scope covering the
measurements required for the types of IoT products that it will test
shall be deemed competent to test and submit test data for IoT products
subject to cybersecurity certification. Such a laboratory shall be
accredited by a Public Safety and Homeland Security Bureau-recognized
accreditation organization based on ISO/IEC 17025. The organization
accrediting the laboratory must be recognized by the Public Safety and
Homeland Security Bureau to perform such accreditation based on ISO/IEC
17011 (incorporated by reference, see Sec. 8.201). The frequency for
reassessment of the test facility and the information that is required
to be filed or retained by the testing party shall comply with the
requirements established by the accrediting organization, but shall
occur on an interval not to exceed two years.
Sec. 8.218 Recognition of CyberLAB accreditation bodies.
(a) A party wishing to become a laboratory accreditation body
recognized by the Public Safety and Homeland Security Bureau (PSHSB or
Bureau) must submit a written request to the Chief of PSHSB requesting
such recognition. PSHSB will make a determination based on the
information provided in support of the request for recognition.
(b) Applicants shall provide the information in paragraphs (b)(1)
through (4) of this section as evidence of their credentials and
qualifications to perform accreditation of laboratories that test
equipment to Commission requirements, consistent with the requirements
of Sec. 8.217(e). PSHSB may request additional information, or
showings, as needed, to determine the applicant's credentials and
qualifications.
(1) Successful completion of an ISO/IEC 17011 peer review, such as
being a signatory to an accreditation agreement that is acceptable to
the Commission.
(2) Experience with the accreditation of conformity assessment
testing laboratories to ISO/IEC 17025.
[[Page 61277]]
(3) Accreditation personnel/assessors with specific technical
experience on the Commission cybersecurity certification rules and
requirements.
(4) Procedures and policies developed for the accreditation of
testing laboratories for FCC cybersecurity certification programs.
Sec. 8.219 Approval/recognition of Cybersecurity Label
Administrators.
(a) An accredited third-party entity wishing to become a
Cybersecurity Label Administrator (CLA) must file a written application
with the Commission. The Commission may approve the written application
for the accredited third-party entity to be recognized and authorized
by the Commission as a CLA to manage and administer the labeling
program by meeting the requirements of paragraph (b) of this section.
An accredited third-party entity is recognized and authorized by the
Commission to manage and administer the labeling program in accordance
with the Commission's rules in this subpart.
(b) In the United States, the Commission, in accordance with its
procedures, allows qualified accrediting bodies to accredit CLAs based
on ISO/IEC 17065 and other qualification criteria. CLAs shall comply
with the requirements in Sec. 8.220.
Sec. 8.220 Requirements for CLAs.
(a) In general. CLAs designated by the Commission, or designated by
another authority recognized by the Commission, shall comply with the
requirements of this section. Each entity seeking authority to act as a
CLA must file an application with the Commission for consideration by
PSHSB, which includes a description of its organization structure, an
explanation of how it will avoid personal and organizational conflict
when processing applications, a description of its processes for
evaluating applications seeking authority to use the FCC IoT Label, and
a demonstration of expertise that will be necessary to effectively
serve as a CLA including, but not limited to, the criteria in paragraph
(c) of this section.
(b) Methodology for reviewing applications. (1) A CLA's methodology
for reviewing applications shall be based on type testing as identified
in ISO/IEC 17065 (incorporated by reference, see Sec. 8.201).
(2) A CLA's grant of authorization to use the FCC IoT Label shall
be based on the application with all the information specified in this
part. The CLA shall review the application to determine compliance with
the Commission's requirements in this subpart and shall issue a grant
of product cybersecurity certification in accordance with Sec. 8.208.
(c) Criteria for designation. (1) To be designated as a CLA under
this section, an entity shall demonstrate cybersecurity expertise and
capabilities in addition to industry knowledge of IoT and IoT labeling
requirements.
(2) The entity shall demonstrate expert knowledge of National
Institute of Standards and Technology's (NIST) cybersecurity guidance,
including but not limited to NIST's recommended criteria and labeling
program approaches for cybersecurity labeling of consumer IoT products.
(3) The entity shall demonstrate expert knowledge of FCC rules and
procedures associated with product compliance testing and
certification.
(4) The entity shall demonstrate knowledge of Federal law and
guidance governing the security and privacy of agency information
systems.
(5) The entity shall demonstrate an ability to securely handle
large volumes of information and demonstrate internal security
practices.
(6) To expedite initial deployment of the FCC labeling program, the
Commission will accept and conditionally approve applications from
entities seeking to be designated as a CLA provided they commit to
obtain accreditation pursuant to all the requirements associated with
ISO/IEC 17065 with the appropriate scope within six (6) months of the
effective date by the adopted standards and testing procedures and
otherwise meet the FCC's IoT Labeling Program requirements. The entity
must also demonstrate implementation of controls to eliminate actual or
potential conflicts of interests (including both personal and
organizational), particularly with regard to commercially sensitive
information. The Bureau will finalize the entity's application upon
receipt and demonstration of ISO/IEC 17065 accreditation with the
appropriate scope.
(7) The entity is not owned or controlled by or affiliated with any
entity identified on the Commission's Covered List, listed sources of
prohibition under Sec. 8.204, or of it, its affiliate, or subsidiary
is owned or controlled by a foreign adversary country defined by the
Department of Commerce in 15 CFR 7.4.
(8) The entity must demonstrate it has implemented controls to
eliminate actual or potential conflicts of interests (including both
personal and organizational), particularly with regard to commercially
sensitive information, to include but not limited to, remaining
impartial and unbiased and prevent them from giving preferential
treatment to certain applications (e.g., application line jumping) and
from implementing heightened scrutiny of applications from entities not
members or otherwise aligned with the CLA.
(d) External resources. (1) In accordance with the provisions of
ISO/IEC 17065 the evaluation of a product, or a portion thereof, may be
performed by bodies that meet the applicable requirements of ISO/IEC
17025, in accordance with the applicable provisions of ISO/IEC 17065
for external resources (outsourcing). Evaluation is the selection of
applicable requirements and the determination that those requirements
are met. Evaluation may be performed using internal CLA resources or
external (outsourced) resources.
(2) A CLA shall not outsource review or decision activities.
(3) When external resources are used to provide the evaluation
function, including the testing of products subject to labeling, the
CLA shall be responsible for the evaluation and shall maintain
appropriate oversight of the external resources used to ensure
reliability of the evaluation. Such oversight shall include periodic
audits of products that have been tested and other activities as
required in ISO/IEC 17065 when a CLA uses external resources for
evaluation.
(e) Commission approves a CLA. (1) The Commission will approve as a
CLA:
(i) Any entity in the United States that meets the requirements of
this section.
(ii) The Commission will not approve as a CLA any organization, its
affiliates, or subsidiaries listed in the listed sources of prohibition
under Sec. 8.204.
(2) The Commission will withdraw its approval of a CLA if the CLA's
designation or accreditation is withdrawn, if the Commission determines
there is just cause for withdrawing the approval, or upon request of
the CLA. The Commission will limit the scope of products that can be
certified by a CLA if its accreditor limits the scope of its
accreditation or if the Commission determines there is good cause to do
so. The Commission will notify a CLA in writing of its intention to
withdraw or limit the scope of the CLA's approval and provide at least
60 days for the CLA to respond.
(3) The Commission will notify a CLA in writing when it has
concerns or evidence that the CLA is not carrying out its
responsibilities under the labeling program in accordance with the
Commission's rules in this subpart and policies and request that it
explain and correct any apparent deficiencies.
[[Page 61278]]
(4) The Public Safety and Homeland Security Bureau shall provide
notice to the CLA that the Bureau proposes to terminate the CLA's
authority and provide the CLA a reasonable opportunity to respond (not
more than 20 days) before reaching a decision on possible termination.
(5) If the Commission withdraws its recognition of a CLA, all
grants issued by that CLA will remain valid unless specifically set
aside or revoked by the Commission.
(6) A list of recognized CLAs will be published by the Commission.
(f) Scope of responsibility. (1) A CLA shall receive and evaluate
applications and supporting data requesting authority to use the FCC
IoT Label on the product subject to the application.
(2) A CLA shall grant authorization to use the FCC IoT Label with a
complying consumer IoT product in accordance with the Commission's
rules in this subpart and policies.
(3) A CLA shall accept test data from any Lead Administrator-
recognized accredited CyberLAB, subject to the requirements in ISO/IEC
17065 and shall not unnecessarily repeat tests.
(4) A CLA may establish and assess fees for processing applications
and other Commission-required tasks.
(5) A CLA may only act on applications that it has received or
which it has issued a certification authorizing use of the FCC IoT
Label.
(6) A CLA shall dismiss an application that is not in accordance
with the provisions of this subpart or when the applicant requests
dismissal, and may dismiss an application if the applicant does not
submit additional information or test samples requested by the CLA.
(7) A CLA shall ensure that manufacturers make all required
information accessible to the IoT registry.
(8) A CLA shall participate in a consumer education campaign in
coordination with the Lead Administrator.
(9) A CLA shall receive complaints alleging a product bearing the
FCC IoT Label does not support the cybersecurity criteria conveyed by
the Cyber Trust Mark and refer these complaints to the Lead
Administrator which will notify the Public Safety and Homeland Security
Bureau.
(10) A CLA may not:
(i) Make policy, interpret unclear provisions of the statute or
rules, or interpret the intent of Congress;
(ii) Grant a waiver of the rules in this subpart; or
(iii) Take enforcement actions.
(11) All CLA actions are subject to Commission review.
(g) Post-market surveillance requirements. (1) In accordance with
ISO/IEC 17065, a CLA shall perform appropriate post-market surveillance
activities. These activities shall be based on type testing a certain
number of samples of the total number of product types for which the
CLA has certified use of the Label.
(2) PSHSB may request that a grantee of authority to use the FCC
IoT Label submit a product sample directly to the CLA that evaluated
the grantee's application as part of the post market surveillance. Any
product samples requested by the Commission and tested by the CLA will
be counted toward a minimum number of samples that the CLA must test to
meet its post market surveillance requirements.
(3) A CLA may also request a grantee submit samples of products
that the CLA has certified to use the FCC IoT Label directly to the
CLA.
(4) If during post market surveillance of a complying consumer IoT
product, a CLA determines that the product fails to comply with the
technical regulations (or other FCC requirements) for that product, the
CLA shall immediately notify the grantee and the Commission in writing
of its findings. The grantee shall provide a report to the CLA
describing the actions taken to correct the situation, as provided in
Sec. 8.216, and the CLA shall provide a report of these actions to the
Commission within 30 days.
(5) CLAs shall submit periodic reports to the Commission of their
post-market surveillance activities and findings in a format and by a
date specified by the Commission.
Sec. 8.221 Requirements for the Lead Administrator.
(a) Establishing a Lead Administrator. If more than one qualified
entity is selected by the Commission to be a CLA, the Commission will
select a Lead Administrator. The Lead Administrator shall:
(1) Interface with the Commission on behalf of the CLAs, including
but not limited to submitting to the Bureau all complaints alleging a
product bearing the FCC IoT Label does not meet the requirements of the
Commission's labeling program;
(2) Coordinate with CLAs and moderate stakeholder meetings;
(3) Accept, review, and approve or deny applications from labs
seeking recognition as a lab authorized to perform the conformity
testing necessary to support an application for authority to affix the
FCC IoT Label, and maintain a publicly available list of Lead
Administrator-recognized labs and a list of labs that have lost their
recognition;
(4) Within 90 days of election as Lead Administrator, the Lead
Administrator will, in collaboration with the CLAs and stakeholders
(e.g., cyber experts from industry, government, and academia):
(i) Submit to the Bureau recommendations identifying and/or
developing the technical standards and testing procedures for the
Commission to consider with regard to at least one class of IoT
products eligible for the IoT labeling program. The Bureau will
evaluate the recommendations, subject to any required public notice and
comment, incorporate them by reference into the Commission's rules in
this subpart;
(ii) Submit to the Bureau a recommendation on how often a given
class of IoT products must renew their request for authority to bear
the FCC IoT Label, which may be dependent on the type of product, and
that such a recommendation be submitted in connection with the relevant
standards recommendations for an IoT product or class of IoT products.
The Bureau will evaluate the recommendations, and if the Bureau
approves of the recommendations, subject to any required public notice
and comment, incorporate them by reference into the Commission's rules
in this subpart;
(iii) Submit to the Bureau a recommendation on procedures for post
market surveillance by the CLAs. The Bureau will evaluate the
recommendations, and if the Bureau approves of the recommendations,
subject to any required public notice and comment, incorporate them by
reference into the Commission's rules in this subpart;
(iv) Make recommendations to the Bureau with regard to updates to
the registry including whether the registry should be in additional
languages, and if so, to recommend specific languages for inclusion;
and
(v) Submit to the Bureau recommendations on the design of the FCC
IoT Label, including but not limited to labeling design and placement
(e.g., size and white spaces, product packaging) and whether to include
the product support end date on labels for certain products or category
of products. The Bureau will evaluate the recommendations, and if the
Bureau approves of the recommendations, subject to any required public
notice and comment, incorporate them by reference into the Commission's
rules in this subpart;
(5) Within 45 days of publication of updates or changes to NIST
guidelines, or adoption by NIST of new guidelines,
[[Page 61279]]
recommend in collaboration with CLAs and other stakeholders any
appropriate modifications to the labeling program standards and testing
procedures to stay aligned with the NIST guidelines;
(6) Submit to the Commission reports on CLAs' post-market
surveillance activities and findings in the format and by the date
specified by Public Safety and Homeland Security Bureau;
(7) Develop in collaboration with stakeholders a consumer education
campaign, submit the plan to the Public Safety and Homeland Security
Bureau, and participate in consumer education;
(8) Receive complaints about the labeling program, including but
not limited to consumer complaints about the registry and coordinate
with manufacturers to resolve any technical problems associated with
consumers accessing the information in the registry;
(9) Facilitate coordination between CLAs; and
(10) Submit to the Commission any other reports upon request of the
Commission or as required by Commission rules in this subpart.
(b) Criteria for designation. In addition to completing the CLA
application information, entities seeking to be the Lead Administrator
will submit a description of how they will execute the duties of the
Lead Administrator, including:
(1) Their previous experience in IoT cybersecurity;
(2) What role, if any, they have played in IoT labeling;
(3) Their capacity to execute the Lead Administrator duties;
(4) How they would engage and collaborate with stakeholders to
identify or develop the Bureau recommendations;
(5) A proposed consumer education campaign; and
(6) Additional information the applicant believes demonstrates why
they should be the Lead Administrator.
Sec. 8.222 Establishment of an IoT Registry.
(a) A grantee of authority to use the FCC IoT Label shall provide
information about the complying consumer IoT product to the public.
Information supplied by grantees shall be made available in a dynamic,
decentralized, publicly accessible registry through a common
Application Programming Interface (API) that is secure by design.
(b) A grantee of authority to use the FCC IoT Label shall publish
the following information through the common API in the Registry:
(1) Product Name;
(2) Manufacturer name;
(3) Date the product received authorization (i.e., cybersecurity
certification) to affix the label and current status of the
authorization (if applicable);
(4) Name and contact information of the CLA that authorized use of
the FCC IoT Label;
(5) Name of the lab that conducted the conformity testing;
(6) Instructions on how to change the default password
(specifically state if the default password cannot be changed);
(7) Information (or link) for additional information on how to
configure the device securely;
(8) Information as to whether software updates and patches are
automatic and how to access security updates/patches if they are not
automatic;
(9) The date until which the entity promises to diligently identify
critical vulnerabilities in the product and promptly issue software
updates correcting them, unless such an update is not reasonably needed
to protect against cybersecurity failures (i.e., the minimum support
period); alternatively, a statement that the device is unsupported and
that the purchaser should not rely on the manufacturer to release
security updates;
(10) Disclosure of whether the manufacturer maintains a Hardware
Bill of Materials (HBOM) and/or a Software Bill of Materials (SBOM);
and
(11) Additional data elements that the Bureau deems necessary.
[FR Doc. 2024-14148 Filed 7-29-24; 8:45 am]
BILLING CODE 6712-01-P