1. Chapter 3 Rules and Regulations
Dick Wade, KK6LDD
Discussion Leader

2. Brief Review of Chapter 2 Procedures and Practices Exam Questions
When selecting a CW transmitting frequency, what minimum separation should be used to minimize interference to stations on adjacent frequencies?
5 to 50 Hz
150 to 500 Hz
1 to 3 kHz
3 to 6 kHz 2
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3. Brief Review of Chapter 2 Procedures and Practices Exam Questions
When selecting a CW transmitting frequency, what minimum separation should be used to minimize interference to stations on adjacent frequencies?
150 to 500 Hz
G2B04, Page 2-3 3
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4. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Why do most amateur stations use lower sideband on the 160-meter, 75-meter and 40-meter bands?
Lower sideband is more efficient than upper sideband at these frequencies
Lower sideband is the only sideband legal on these frequency bands
Because it is fully compatible with an AM detector
Current amateur practice is to use lower sideband on these frequency bands 4
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5. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Why do most amateur stations use lower sideband on the 160-meter, 75-meter and 40-meter bands?
Current amateur practice is to use lower sideband on these frequency bands
G2A09, Page 2-8 5
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6. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Which of the following modes is most commonly used for voice communications on the 160-meter, 75-meter, and 40-meter bands?
Vestigial sideband
Upper sideband
Double sideband
Lower sideband 6
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7. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Which of the following modes is most commonly used for voice communications on the 160-meter, 75-meter, and 40-meter bands? Lower sideband
G2A02, Page 2-8 7
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8. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Which of the following is an advantage when using single sideband as compared to other analog voice modes on the HF amateur bands?
Less bandwidth used and greater power efficiency
Ease of tuning on receive and immunity to impulse noise
Less subject to interference from atmospheric static crashes
Very high fidelity voice modulation 8
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9. Brief Review of Chapter 2 Procedures and Practices Exam Questions
Which of the following is an advantage when using single sideband as compared to other analog voice modes on the HF amateur bands? Less bandwidth used and greater power efficiency
G2A06, Page 2-7 9
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10. Chapter 3 Rules and Regulations
As a Technician Class licensee you already know that amateur radio is governed by a set of rules and regulations and that some are mandated by law and others come under the heading of “good amateur radio practice.” Some of tonight’s discussion may be review, but there are new rules and regulations that are unique to General Class license holders.
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11. Chapter 3 3.1 Regulatory Bodies
INTERNATIONAL TELECOMMUNICATION UNION (ITU)
Since shortwave signals can travel internationally, all countries have by treaty established a world radio governing body, known as the ITU.
The ITU has divided the world into three administrative regions; we are in Region 2.
[G1A14]
Similar to Figure 3.1, Page 3-1
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12. Chapter 3 3.1 Regulatory Bodies
FEDERAL COMMUNICATIONS COMISSION
U.S CODE OF FEDERAL REGULATIONS
TITLE 47 [TELECOMMUNICATIONS]
PART 97 [AMATEUR RADIO SERVICE]
A 32-page PDF copy of Part 97 is available from ARRL.
Web search “ARRL PART 97,” download, and keep it for reference.
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13. Chapter 3 3.1 Regulatory Bodies
The FCC AMATEUR AUXILIARY is composed of hams who have been formally enlisted to monitor amateur frequencies for rules violations.
It is informally known as the Official Observer program.
Official Observers are sometimes called upon to use radio direction finding skills to locate rules violators. A “radiosport” called transmitter hunting or fox hunting, is a great way to develop these skills.
[G2D01]
[G2D03]
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14. Chapter 3 3.1 Regulatory Bodies
The FEDERAL AVIATION ADMINISTRATION also impacts Amateur operations in terms of tower height limitations: If a tower exceeds 200 feet, the FAA must be notified even if it is not near a public use airport. [G1B01]
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15. Chapter 3 3.2 Amateur Licensing Rules
A new rule as of 2015
Any person who can document a previously held amateur license may receive credit for passing the requirements for the previously held license providing that they pass the current Technician Class (Element 2) exam.
[G1D01,G1D11]
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16. Chapter 3 3.2 Amateur Licensing Rules
License Elements
Element 1 = 5 WPM Morse Code Test (NO LONGER REQUIRED)
Element 2 = Technician Class license Element 3 = General Class License Element 4 = Extra Class License
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17. Chapter 3 3.2 Amateur Licensing Rules
Examiner Rules
So you want to become a Volunteer Examiner?
Then……….
You must be accredited through an FCC-certified Volunteer Examiner Coordinator organization.
The ARRL is one of these VEC organizations.
You must be 18 or older. [97.509(B)]
You must hold a General Class or higher FCC license.
You do not have to be a U.S. Citizen to be accredited, but you must hold a General Class or higher license.
[G1D05]
[G1D07]
[G1D08]
[G1D10]
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18. Chapter 3 3.2 Amateur Licensing Rules
Who can administer which license elements?
VE License Class
Allowed Examinations
Element
General
Technician
Element 2
Advanced
Technician General
Element 2 Element 3
Amateur Extra
Element 4
Based on Table 3.1, Page 3-3
[G1D02]
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19. Chapter 3 3.2 Amateur Licensing Rules
All exams must be administered by a minimum of three VE observers.
Other VE rules are spelled out in Part [97.509]
Your Certificate of Successful Completion of Examination (CSCE) is valid for 365 days.
[G1D04]
[G1D09]
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20. Chapter 3 3.2 Amateur Licensing Rules
All upgraded operating privileges may be taken advantage of right away.
Until your new license class shows up in the FCC database, you must identify with an added Indicator suffix:
You may converse on the air in any language you like, but you must identify with your call sign in English.
[G1D03]
[G1D06]
/AG for General Class
/AE for Extra Class
[G1D09]
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21. Chapter 3 3.3 Control Operator Privileges
Frequency Privileges
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22. Chapter 3 3.3 Control Operator Privileges
Let’s see how well you prepared for this chapter by looking at some questions you could expect to see on the exam.
Jot down your answers
Frequency Privileges
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23. Chapter 3 3.3 Control Operator Privileges
Here are two more questions
Frequency Privileges
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24. Chapter 3 3.3 Control Operator Privileges
How did you do?
Question
Answer
Which of the following frequencies is in the General Class portion of the 40-meter band?
7.250 MHz
Page 3-7
[G1A05]
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25. Chapter 3 3.3 Control Operator Privileges
How about this one?
Question
Answer
Which of the following frequencies is within the General Class portion of the 20-meter phone band?
14305 kHz
Page 3-7
[G1A07]
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26. Chapter 3 3.3 Control Operator Privileges
And this one?
Question
Answer
Which of the following frequencies is available to a control operator holding a General Class license?
All are correct
Page 3-7
[G1A10]
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27. Chapter 3 3.3 Control Operator Privileges
And this last one?
Question
Answer
Which of the following frequencies is within the General Class portion of the 75-meter phone band?
3900 kHz
Page 3-8
[G1A06]
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28. Chapter 3 3.3 Control Operator Privileges
PHONE (voice) and IMAGE transmission is PROHIBITED on the 30m band.
[G1A02][G1A03]
One HF band, 60m, is restricted to communication ONLY ON SPECIFIC CHANNELS.
[G1A04]
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29. Chapter 3 3.3 Control Operator Privileges
General Class license holders have less than full voice privileges on four HF bands: 80m, 40m, 20m, 15m.
Voice privileges are limited to UPPER FREQUENCY END OF THE BAND.
[G1A11]
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30. Chapter 3 3.3 Control Operator Privileges
General Class operators are granted all frequency privileges on SIX HF bands: 160m, 60m, 30m, 17m, 12m, and 10m.
[G1A01]
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31. Chapter 3 3.3 Control Operator Privileges
Amateurs are designated as secondary users on several ham bands, including TWO HF bands: 60m and 30m.
We are allowed to transmit on those bands ONLY if we cause no interference to primary users.
If a primary user notifies us that we are interfering with his operation, we are REQUIRED BY LAW to stop transmitting and move to a clear frequency.
Secondary Users
(Essential Concept)
[G1A12]
[G1A13]
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32. Chapter 3 3.3 Control Operator Privileges
True or False
There are three special circumstances that require amateurs to take special steps to avoid harmful interference.
These are………
When a station is transmitting spread spectrum emissions
When operating within one mile of an FCC Monitoring Station
When using a band where the Amateur Service is secondary
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33. Chapter 3 3.3 Control Operator Privileges
True
Special Circumstances
[G1E04] Page 3-9
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34. Chapter 3 3.3 Control Operator Privileges
Beacons
For the purposes of observing propagation and reception, amateurs are allowed to employ BEACON STATIONS, which is an exception to the Part 97 prohibition of broadcasting (one-way communication).
The power limit for beacons is 100 watts PEP.
We are allowed to place only one beacon per band at any given location.
[G1B03]
[G1B10]
[G1B02]
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35. Chapter 3 3.3 Control Operator Privileges
Repeater Coordination
The FCC has made it clear that part of "good operating practice" is cooperation with local repeater coordinating organization.[97.205(c)]
In the event of harmful interference between two repeaters, the licensee of the uncoordinated repeater has primary responsibility to resolve the interference.
[G1E06]
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36. Chapter 3 3.3 Control Operator Privileges
Third-Party Traffic
Messages for a third-party in another country may be transmitted by an amateur station ONLY IF:
the messages relate to Amateur Radio -or-
constitute remarks of a personal character -or-
messages relating to emergencies or disaster relief
[G1E05]
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37. Chapter 3 3.3 Control Operator Privileges
Third-Party Traffic-continued
Communications with amateur stations outside the U.S. are permissible, except for countries which have notified the ITU that they object to such communications.
Third party traffic must never originate from an individual whose amateur license has been suspended or revoked, and not reinstated.
[G2D05]
[G1E01]
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38. Chapter 3 3.3 Control Operator Privileges
Third-Party Traffic-continued
Third party traffic is prohibited with any amateur station in a country which does NOT have a Third-Party Agreement with the U.S.
The sole exception is for messages related to disaster or emergency communication – these are permitted.
INTERNATIONAL CONSIDERATIONS
[G1E08]
[G1E07]
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39. Chapter 3 3.3 Control Operator Privileges
Refer to Table 3.3, Page 3-11 for a better view
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40. Chapter 3 3.3 Control Operator Privileges
Prohibited and Restricted Communications
Music, unless it is an incidental part of a manned spacecraft retransmission.
Abbreviations or procedural signals are allowed as long as they do not obscure the meaning of a message. NO SECRET CODES.
An exception to the prohibition of secret codes is control of a space station, such as an amateur satellite
[G1B05]
[G1B07]
[G1B06]
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41. Chapter 3 3.3 Control Operator Privileges
Some amateur satellites have downlinks in the 10-meter band. Technician class licensees may use these repeaters AS LONG AS THE CONTROL OPERATOR OF THE SATELLITE HOLDS A GENERAL CLASS LICENSE.
The pecuniary interest prohibition has four exceptions. One allows the advertising of ham radio equipment AND this advertising must not be done on a regular basis. [97.113(a)(3)(ii)]
Other Exceptions
[G1E02]
[G1B09]
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42. Chapter 3 3.3 Control Operator Privileges
If you operate on the 60m band with any type of antenna having gain over a dipole, you must keep a written record of the gain of your antenna.
The reason is that you must ensure that you do not transmit more than the allowed 100 watts EFFECTIVE RADIATED POWER.
Written Records
[G2D07]
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43. Chapter 3 3.4 Technical Rules and Standards
The FCC requires that an amateur station be operated in all respects not specifically covered by the Part 97 rules "IN CONFORMANCE WITH GOOD ENGINEERING AND GOOD AMATEUR PRACTICE" [97.101(a)]
THE FCC determines what is considered to be "GOOD ENGINEERING AND GOOD AMATEUR PRACTICE.“
They have the last word. [97.101(a)]
Good Amateur Practices
[G1B11]
[G1B12]
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44. Chapter 3 3.4 Technical Rules and Standards
The maximum transmitting power an amateur station may use on MHz (30m) is 200 watts PEP output [97.313(c)(1)]
The maximum bandwidth permitted by FCC rules for Amateur Radio stations transmitting on USB frequencies in the 60-meter band is 2.8 kHz [97.303(h)(1)]
Transmitters and Amplifier Power
[G1C01]
[G1C03]
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45. Chapter 3 3.4 Technical Rules and Standards
The maximum symbol rate permitted for RTTY or data emission transmitted at frequencies below 28 MHz is 300 baud [97.307(f)(3)]
The maximum symbol rate permitted for RTTY or data emission transmissions on the 10-meter band is 1200 baud [97.305(c) and (f)(4)]
Digital Transmissions
[G1C07] [G1C08]
[G1C10]
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46. Chapter 3 3.4 Technical Rules and Standards
The maximum symbol rate permitted for RTTY or data emission transmissions on the 2-meter band is 19.6 kilobaud [97.305(c) and (f)(5)]
The maximum symbol rate permitted for RTTY or data emission transmitted on the 1.25-meter and 70 centimeter bands is 56 kilobaud [97.305(c) and (f)(5)]
Digital Transmissions
[G1C11]
[G1C09]
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47. BAUD RATES UPCOMING RULE CHANGES
As of January 2015, the FCC was considering an ARRL proposed rule change regarding data rates.
The proposal is to eliminate symbol rate (BAUD RATE) in favor of specifying maximum bandwidths for digital emissions.
BAUD rate restrictions were last revisited 30 years ago. The state of the art in digital communications has progressed, and so must the rules.
STAY TUNED – (search on RM for news)
Digital Transmissions
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48. Class Session 3 Assignment
In preparation for the next class session, do the following…….
● Study Chapter 4 “Components and Circuits”
Part I: Electrical Principles, Passive Components, AC Theory
● Study the Question Pool questions found in the ”blue boxes” in this chapter.
See you next week! 48
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