Chapter 3
Rules and Regulations
Dick Wade, KK6LDD
Discussion Leader
1
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
2017 MDARC/SATERN General Licensing Course
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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
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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
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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
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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
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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
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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
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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
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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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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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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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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. [G2D01]
 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. [G2D03]
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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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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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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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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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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
Technician
General
Amateur Extra
Element 2
Element 3
Element 4
Based on Table 3.1, Page 3-3
[G1D02]
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Chapter 3
3.2 Amateur Licensing Rules
 All exams must be administered by a
minimum of three VE observers.
[G1D04]
 Other VE rules are spelled out in Part 97.
[97.509]
 Your Certificate of Successful Completion of
Examination (CSCE) is valid for 365 days.
[G1D09]
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Chapter 3
3.2 Amateur Licensing Rules
 All upgraded operating privileges may be
taken advantage of right away.
[G1D03]
 Until your new license class shows up in the
FCC database, you must identify with an
added Indicator suffix:
[G1D06]
/AG for General Class
/AE for Extra Class
 You may converse on the air in any
language you like, but you must identify
with your call sign in English.
[G1D09]
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Chapter 3
Frequency Privileges
3.3 Control Operator Privileges
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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.
Frequency Privileges
Jot down your answers
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Chapter 3
Frequency Privileges
3.3 Control Operator Privileges
Here are two more
questions
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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?
[G1A05]
7.250 MHz
Page 3-7
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2017 MDARC/SATERN General Licensing Course
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?
[G1A07]
14305 kHz
Page 3-7
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Chapter 3
3.3 Control Operator Privileges
And this one?
Question
Which of the following frequencies
is available to a control operator
holding a General Class license?
[G1A10]
Answer
All are correct
Page 3-7
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Chapter 3
3.3 Control Operator Privileges
And this last one?
Question
Which of the following frequencies
is within the General Class portion
of the 75-meter phone band?
[G1A06]
Answer
3900 kHz
Page 3-8
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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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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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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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Chapter 3
3.3 Control Operator Privileges
Secondary Users
 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
(Essential Concept)
[G1A12]
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.
[G1A13]
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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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Chapter 3
3.3 Control Operator Privileges
True
[G1E04] Page 3-9
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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).
[G1B03]
 The power limit for beacons is 100 watts PEP.
[G1B10]
 We are allowed to place only one beacon per
[G1B02]
band at any given location.
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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
[G1E06]
uncoordinated
repeater has primary
responsibility to resolve the interference.
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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:
o
the messages relate to Amateur Radio
-oro constitute remarks of a personal character
-oro messages relating to emergencies or disaster
relief
[G1E05]
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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.
[G2D05]

Third party traffic must never originate
from an individual whose amateur license
has been suspended or revoked, and not
reinstated.
[G1E01]
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Chapter 3
3.3 Control Operator Privileges
Third-Party Traffic-continued
INTERNATIONAL CONSIDERATIONS
 Third party traffic is prohibited with any
amateur station in a country which does
NOT have a Third-Party Agreement with the
U.S.
[G1E08]
 The sole exception is for messages
related to disaster or emergency
communication
– these are permitted.
2017 MDARC/SATERN General Licensing Course
[G1E07]
38
Chapter 3
3.3 Control Operator Privileges
Refer to
Table 3.3,
Page 3-11
for a better
view
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Chapter 3
3.3 Control Operator Privileges
Prohibited and Restricted Communications
 Music, unless it is an incidental part of a
manned spacecraft retransmission.
[G1B05]
 Abbreviations or procedural signals are
allowed as long as they do not obscure the
meaning of a message. NO SECRET CODES.
[G1B07]
 An exception to the prohibition of secret
codes is control of a space station, such as
an amateur satellite
[G1B06]
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Chapter 3
3.3 Control Operator Privileges
Other Exceptions
 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
[G1E02]
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)]
2017 MDARC/SATERN General Licensing Course
[G1B09]
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Chapter 3
3.3 Control Operator Privileges
Written Records
o 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.
o The reason is that you must ensure that you
do not transmit more than the allowed 100
watts EFFECTIVE RADIATED POWER.
[G2D07]
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Chapter 3
3.4 Technical Rules and Standards
Good Amateur Practices
 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"
[G1B11]
[97.101(a)]
 THE FCC determines what is considered to
be "GOOD ENGINEERING AND GOOD
AMATEUR PRACTICE.“
[G1B12]
They have the last word. [97.101(a)]
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Chapter 3
3.4 Technical Rules and Standards
Transmitters and Amplifier Power
 The maximum transmitting power an
amateur station may use on 10.140 MHz
(30m) is 200 watts PEP output
[G1C01]
[97.313(c)(1)]
 The maximum bandwidth permitted by FCC
rules for Amateur Radio stations
transmitting on USB frequencies in the 60meter band is 2.8 kHz
[G1C03]
[97.303(h)(1)]
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Chapter 3
3.4 Technical Rules and Standards
Digital Transmissions
 The maximum symbol rate permitted for
RTTY or data emission transmitted at
frequencies below 28 MHz is 300 baud.
[97.307(f)(3)]
[G1C07] [G1C08]
 The maximum symbol rate permitted for
RTTY or data emission transmissions on the
10-meter band is 1200 baud.
[G1C10]
[97.305(c) and 97.307(f)(4)]
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Chapter 3
3.4 Technical Rules and Standards
Digital Transmissions
 The maximum symbol rate permitted for
RTTY or data emission transmissions on the
2-meter band is 19.6 kilobaud.
[97.305(c) and 97.307(f)(5)]
[G1C11]
 The maximum symbol rate permitted for
RTTY or data emission transmitted on the
1.25-meter and 70 centimeter bands is 56
kilobaud.
[G1C09]
[97.305(c) and 97.307(f)(5)]
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BAUD RATES
UPCOMING RULE CHANGES
Digital Transmissions
• 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-11708 for news)
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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!
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