Chapter 7 Licensing Regulations

Chapter 7

Licensing Regulations

FCC Regulations• The licensing authority for US amateurs

is the Federal Communications Commission (FCC).

• The FCC Regulations are found in:• Title 47 of the Code of Federal

Regulations (CFR).

• The primary regulations governing the Amateur Radio Service are found in:

• Part 97 of the FCC Regulations.

Why is There Amateur Radio?§97.1 Basis and purpose.- The rules and regulations in this Part are designed to provide an amateur radio service having a fundamental purpose as expressed in the following principles:(a)Recognition and enhancement of the value of the amateur service to the public as a voluntary noncommercial communication service, particularly with respect to providing emergency communications.(b) Continuation and extension of the amateur's proven ability to contribute to the advancement of the radio art.

Why is There Amateur Radio?(c) Encouragement and improvement of the amateur

service through rules which provide for advancing skills in both the communications and technical phases of the art.

(d) Expansion of the existing reservoir within the amateur radio service of trained operators, technicians, and electronics experts.

(e) Continuation and extension of the amateur's unique ability to enhance international goodwill.

Definitions§ 97.3 Definitions.(a)The definitions of terms used in part 97 are:

(4) Amateur service. A radiocommunication service for the purpose of self-training, intercommunication and technical investigations carried out by amateurs, that is, duly authorized persons interested in radio technique solely with a personal aim and without pecuniary interest.

Definitions§ 97.3 Definitions.(a) The definitions of terms used in part 97 are:

(1) Amateur operator. A person named in an amateur operator/primary license station grant on the ULS consolidated licensee database to be the control operator of an amateur station.

Definitions§ 97.3 Definitions.(a)The definitions of terms used in part 97 are:

(5) Amateur station. A station in an amateur radio service consisting of the apparatus necessary for carrying on radiocommunications.

The Amateur License• No age limit or citizenship restrictions.

• Not a representative of a foreign government.

• License actually contains two parts.• Operator License.• Station License (the call sign).

The Amateur License DO NOT COUNT ON A PAPER COPY

The Amateur License• On February 17, 2015, the FCC no longer will routinely issue

paper license documents to Amateur Radio applicants and licensees.

• New applicants will no longer automatically receive a license document and must request one by changing their “Paper Authorization Preference” in the ULS License Manager.

• Licensed operators must also change their preference in the ULS system to get paper copies of updates.

• You can also print a copy from the ULS system with an “Official Copy” “watermark” printed on it.

The Amateur License• Currently three levels (classes) of operator

privileges are being issued: • Technician Class.

• All privileges above 50 MHz.• Limited HF privileges.

• General Class.• Privileges on all amateur bands.

• Amateur Extra Class.• All amateur privileges.

The Amateur License• Previous classes of operator privileges:

• No longer being issued, but may continue to be renewed.• Novice Class.

• Entry-level license.• Limited CW privileges on 80m, 40m, 15m, & 10m.• Limited phone privileges on 10m, 1.25m, & 23cm.

• Advanced Class.• More phone privileges than General Class.

T1A01 -- Which of the following is a purpose of the Amateur Radio Service as stated in the FCC rules and regulations?

A. Providing personal radio communications for as many citizens as possible

B. Providing communications for international non-profit organizations

C. Advancing skills in the technical and communication phases of the radio art

D. All of these choices are correct

T1A02 -- Which agency regulates and enforces the rules for the Amateur Radio Service in the United States?

A. FEMAB. The ITUC. The FCCD. Homeland Security

T1A03 -- Which part of the FCC regulations contains the rules governing the Amateur Radio Service?

A. Part 73B. Part 95C. Part 90D. Part 97

T1A05 -- Which of the following is a purpose of the Amateur Radio Service rules and regulations as defined by the FCC?

A. Enhancing international goodwillB. Providing inexpensive communication for

local emergency organizationsC. Training of operators in military radio

operating proceduresD. All of these choices are correct

T1A10 -- What is the FCC Part 97 definition of an amateur station?

A. A station in the Amateur Radio Service consisting of the apparatus necessary for carrying on radio communications

B. A building where Amateur Radio receivers, transmitters, and RF power amplifiers are installed

C. Any radio station operated by a non-professionalD. Any radio station for hobby use

T1A12 -- Which of the following is a permissible use of the Amateur Radio Service?

A. Broadcasting music and videos to friendsB. Providing a way for amateur radio operators to

earn additional income by using their stations to pass messages

C. Providing low-cost communications for start-up businesses

D. Allowing a person to conduct radio experiments and to communicate with other licensed hams around the world

T1C13 -- For which licenses classes are new licenses currently available from the FCC?

A. Novice, Technician, General, AdvancedB. Technician, Technician Plus, General,

AdvancedC. Novice, Technician Plus, General, AdvancedD. Technician, General, Amateur Extra

Examinations• Three multiple-choice examinations allow

earning the three classes of license.

License Class Element 2(35 Questions)

Element 3(35 Questions)

Element 4(50 Questions)

Technician X

General X X

Amateur Extra X X X

Examinations• All questions used on the examinations

are chosen from a published question pool.

• A passing grade of 74% is required.• For Technician & General, you must correctly

answer 26 of the 35 questions.• For Amateur Extra, you must correctly answer

37 of the 50 questions.

Examinations• Examinations are administered by a team

of at least 3 Volunteer Examiners (VE’s).

• General or higher class license.

• At least 18 years of age.

• License never suspended or revoked.

• VE’s are accredited by an organization known as a Volunteer Examiner Coordinator (VEC).

Examinations• VE’s forward examination session

paperwork to VEC for processing.

• VEC uploads successful candidate information to FCC for licensing.

Examinations• 14 VEC’s recognized by FCC.

• ARRL-VEC.

• Largest.

• W5YI-VEC.

• 2nd largest.

• Laurel-VEC.

• 3rd largest.

Examinations• All 14 VEC’s are members of the National

Conference of Volunteer Examiner Coordinators (NCVEC).• Maintains question pools.• Provides standardized application form.

• NCVEC Form 605.

• Represents VEC’s before the FCC.

NCVEC Form 605• Used by all VEC’s.

• VEC’s may modify by adding logo, but basic form is the same.

• Replaces FCC Form 605.

• Single page & easy to understand.• FCC form is 26 pages

plus attachments.

Taking the Examination• Study the material.

• Go over the question pools.

• Find a test session.• ARRL website gives list of test sessions

registered with them.• http://www.arrl.org/exam_sessions/search• Not just sessions coordinated by ARRL-VEC.

• Register for the test session if required.

Taking the Examination• Bring the following to the test session:

• Photo ID.• Some VE teams may require 2 forms of ID.

• Original of your license (if any).• Some VE teams may require a photocopy of your

license, which they will keep.

• Original of any CSCE’s you have.• Examination fee (if any).

• Check or exact change preferred.

Taking the Examination• Bring the following to the test session:

• Pen (to fill out application form).• Pencil (to fill out answer sheets).

• You can use a pen if you are REALLY confident!

• Calculator.• If programmable, memory must be cleared.

• Obey ALL instructions from the VE team!

Taking the Examination• When you complete an element, the VE

team will immediately grade the element and inform you of the results.• Some VEC’s do not allow the VE team to

advise candidates of which questions were missed.

• At least one VEC encourages VE teams to review missed questions with the candidate.

Taking the Examination• When you have completed all of the

elements you wish to take at that session, the VE team will issue to you a Certificate of Successful Completion of Examination (CSCE) as long as you have passed at least 1 element or are qualified for a higher class license.

Taking the Examination• The CSCE will indicate the elements that

were successfully passed at that session and any licenses you are qualified for.

• If the CSCE is for your initial license, you cannot operate until your name & call sign appear in the FCC Universal Licensing System (ULS) database.• You have to know what your call sign is!

Taking the Examination• A CSCE indicating an upgrade of an

existing license serves as authority to use the new privileges immediately.• Special identification required while using

new privileges.• “<call>/AG” means Authorized General.• “<call>/AE” means Authorized Extra.• Can drop special identification once new

privileges appear in the FCC database.

The CSCE• Each VEC has their own unique design

CSCE.

• The CSCE is valid for element credit for a period of 365 days.

• A CSCE indicating an upgrade of an existing license serves as authority to use the new privileges immediately.

The CSCE

SAMPLESAMPLE

License Term & Renewal• License is valid for a period of 10 years.

• License may be renewed up to 90 days prior to expiration date.

• An expired license may be renewed up to 2 years (grace period) after the expiration date without retaking the examination(s).• License is NOT valid during the grace period.• You may NOT transmit during the grace period.

Licensee Responsibilities• Prevent unauthorized operation of your

station.

• Provide personal information to the FCC as required.• Maintain a current mailing address on file.

• An invalid mailing address can result in license suspension/revocation.

• Make your station available for FCC inspection upon request.

Working with the FCC• The Universal Licensing System (ULS).

• Comprehensive database of ALL licenses issued by the FCC’s Wireless Telecommunications Bureau (WTB).• http://wireless.fcc.gov/uls

• By registering with the ULS, you can:• View your license information.• Modify your personal information (address, etc.)• Renew your license.• Search other licenses.

Working with the FCC• Registering with the ULS.

• You can register BEFORE you get your license.• You will be issued a Federal Registration

Number (FRN).• If you have an FRN, always use your FRN and

not your Social Security number on the NCVEC Form 605.

• If you have an FRN, you can indicate to the FCC to always sent a paper copy!

Working with the FCC

T1C08 - What is the normal term for an FCC issued primary station/operator license grant?

A. Five yearsB. LifeC. Ten yearsD. Twenty years

T1C09 - What is the grace period following the expiration of an amateur license within which the license may be renewed?

A. Two yearsB. Three yearsC. Five yearsD. Ten years

T1C10 - How soon may you operate a transmitter on an amateur service frequency after you pass the examination required for your first amateur radio license?

A. ImmediatelyB. 30 days after the test dateC. As soon as your name and call sign

appear in the FCC’s ULS databaseD. You must wait until you receive your

license in the mail from the FCC

T1C11 - If your license has expired and is still within the allowable grace period, may you continue to operate a transmitter on amateur service frequencies?

A. No, transmitting is not allowed until the ULS database shows that the license has been renewed

B. Yes, but only if you identify using the suffix “GP”

C. Yes, but only during authorized netsD. Yes, for up to two years

T1F13 - When must the station licensee make the station and its records available for FCC inspection?

A. Any time upon request by an official observer

B. Any time upon request by an FCC representative

C. 30 days prior to renewal of the station license

D. 10 days before the first transmission

Call Signs• ITU regulations specify that amateur radio

call signs will have the following format.– Prefix.• 1-3 characters denoting the country.

– Number.• 1 or more digits.

– Suffix.• 1 or more letters.

US Call Signs• FCC regulations specify that amateur radio

call signs will have the following format.– Prefix.• AA-AL, K, KA-KZ, N, NA-NZ, W, or WA-WZ.

– Number.• Single digit (0-9).

• Denotes call district – maybe.

– Suffix.• 1, 2, or 3 letters.

US Call Signs• Not all combinations matching the above

format are available to the amateur radio service.– e.g. – WX9ABC Experimental station.

US Call Signs

US Call Signs• Amateur radio call signs are divided into 4

groups according to operator license class.

Group Available toLicense Class Available Formats

A Amateur Extra1x22x1

2x2 beginning with A

B Advanced 2x2 beginning with K, N, or W

C GeneralTechnician 1x3

D Novice 2x3 beginning with K or W

US Call Signs• You can operate anywhere in the US with

no special identification requirements.

• You can add a self-assigned designator at the end of your call sign.–Cannot be the prefix for any country

other than US.

US Call Signs• You can add a specified designator to

indicate a pending upgrade of operator class.– /KT if upgrade to Technician Class.– /AG if upgrade to General Class.– /AE if upgrade to Amateur Extra Class.

US Call Signs• Club call signs.–Amateur radio clubs can have their own

call signs.•Club must have a minimum of 4

members & an organizational document.• License is issued to a trustee

designated by the club.

US Call Signs• Vanity call signs.– You can choose any available call sign.• Call must be in a group available to your class of

operator license.

– Vanity call sign fee.• Currently $17 for a 10-year term.(ends in Sep)

• After 10 years, must pay fee again to keep vanity call.

US Call Signs• Vanity call signs.– Call sign availability.• Never issued.

• Expired or cancelled at least 2 years ago.– 2-year rule does not apply to:

» Previously held call sign.

» Call sign of deceased close relative.

» If club, call sign of deceased member.

US Call Signs• Special event call signs.– A temporary call sign used during an event of

significance to amateur radio.• Assigned by a Special Event Call Sign

Administrator.

• Not valid for more than 14 days.

• 1x1 call sign.– Must identify with FCC call sign every hour.

T1C01 - Which type of call sign has a single letter in both the prefix and suffix?

A. VanityB. SequentialC. Special eventD. In-memoriam

T1C02 - Which of the following is a valid US amateur radio station call sign?

A. KMA3505B. W3ABCC. KDKAD. 11Q1176

T1F12 - How many persons are required to be members of a club for a club station license to be issued by the FCC?

A. At least 5B. At least 4C. A trustee and 2 officersD. At least 2

T8C06 - For what purpose is a temporary “1 by 1” format (letter-number-letter) call sign assigned?

A. To designate an experimental stationB. To honor a deceased relative who was a

radio amateurC. For operations in conjunction with an

activity of special significance to the amateur community

D. All of these choices are correct

Power Limits

§ 97.313(a) An amateur station must use the minimum transmitter power necessary to carry out the desired communications.

Power Limits• Maximum of 1500 watts peak envelope

power (PEP).• Normally requires an external amplifier.

• Some cases where power is restricted.• 60m: ≤100 Watts PEP.• 30m: ≤200 Watts PEP.• Novices & Technicians ≤200 Watts on HF.• Other special situations.

Frequency Privileges• Review: Amateur bands are named after

their approximate wavelength.

)(

300

MHzFreqBand

Frequency Privileges• Technician Class VHF & UHF privileges.

Band(Wavelength

)

FrequencyLimits

VHF

6m 50-54 MHz

2m 144-148 MHz

1.25m 219-220 MHz222-225 MHz

UHF

70cm 420-450 MHz

33cm 902-928 MHz

23cm 1240-1300 MHz

13cm 2300-2310 MHz2390-2450 MHz

Frequency Privileges• Technician Class HF privileges.

Band(Wavelength)

FrequencyLimits

Mode

80m 3525-3600 kHz CW

40m 7025-7125 kHz CW

15m 21.025-21.150 MHz CW

10m 28.000-28.300 MHz28.300-28.500 MHz

CW, DataCW, Data, SSB

Frequency Privileges• Primary & secondary allocations.

• Some frequencies are shared with other services.

• Primary user.• Has priority on use of frequency.

• Secondary user.• Must not cause interference to primary user.• Must accept interference from primary user.

Emission Privileges

Emission Privileges• Technician class.

• All emission privileges on VHF & UHF.• Limited emission privileges on HF.

Emission Privileges• Emission frequency limits.

• On some bands, certain emissions may only be used in a specified portion of the band.

• Bands with emission frequency limitations are:• HF -- 80m, 40m, 20m, 17m, 15m, 12m, & 10m.• VHF -- 6m, 2m, 1.25m.

Emission Privileges• The following segments on the HF bands

are restricted to CW & data only:

• On 60m the entire band is restricted to CW, Data, & USB only.

• Segments shown are for Amateur Extra

Band Segment Band Segment

80m 3500-3600 kHz 17m 18.068-18.110 MHz

40m 7000-7125 kHz 15m 21.000-21.200 MHz

30m (entire band) 12m 24.890-25.930 MHz

20m 14.000-14.150 MHz 10m 28.000-28.300 MHz

Emission Privileges• Restricted segments on the VHF bands

are:• 6m: 50.0 MHz to 50.1 MHz – CW only.• 2m: 144.0 MHz to 144.1 MHz – CW only.• 1.25m: 219.0 MHz to 220 MHz – Data only.

• Fixed digital message forwarding systems only.• 50 Watts PEP maximum power output.• 100 kHz maximum bandwidth.

Band Plans• Gentlemen’s agreements recommending

certain portions of the band for certain types of operations.• Not part of FCC regulations, but….

§ 97.101(a) In all respects not specifically covered by FCC Rules each amateur station must be operated in accordance with good engineering and good amateur practice.

Repeater Coordination• Because repeaters cannot easily change

frequency, coordination is desirable to avoid unnecessary interference.• Each area or region establishes a repeater

coordinator who advises repeater operators on repeater frequencies & CTCSS tones.

• The repeater coordinator is selected by the amateur operators in the area who are eligible to operate repeaters.

Repeater Coordination● Repeater Coordinator for GA, KY, MS,

NC, SC, TN, VA and WV is SouthEastern

Repeater Assn., Inc. (SERA). Note that AL

is not included!

● Sometimes called Frequency Coordinator.

● (not testable material)

Repeater Coordination• The term repeater coordinator is defined

in the FCC regulations [§ 97.3(a)(22)].

• Repeater coordination is not required by the FCC regulations, but…..

§ 97.101(a) In all respects not specifically covered by FCC Rules each amateur station must be operated in accordance with good engineering and good amateur practice.

T1A08 - Which of the following entities recommends transmit/receive channels and other parameters for auxiliary and repeater stations?

A. Frequency Spectrum ManagerB. Frequency CoordinatorC. FCC Regional Field OfficeD. International Telecommunications Union

T1A09 - Who selects a Frequency Coordinator?

A. The FCC Office of Spectrum Management and Coordination Policy

B. The local chapter of the Office of National Council of Independent Frequency Coordinators

C. Amateur operators in a local or regional area whose stations are eligible to be auxiliary or repeater stations

D. FCC Regional Field Office

T1B03 - Which frequency is within the 6 meter band?

A. 49.00 MHzB. 52.525 MHzC. 28.50 MHzD. 222.15 MHz

T1B04 - Which amateur band are you using when your station is transmitting on 146.52 MHz?

A. 2 meter bandB. 20 meter bandC. 14 meter bandD. 6 meter band

T1B05 - Which 70 cm frequency is authorized to a Technician Class license holder operating in ITU Region 2?

A. 53.350 MHzB. 146.520 MHzC. 443.350 MHzD. 222.520 MHz

T1B06 - Which 23 cm frequency is authorized to a Technician Class operator license?

A. 2315 MHzB. 1296 MHzC. 3390 MHzD. 146.52 MHz

T1B07 - What amateur band are you using if you are transmitting on 223.50 MHz?

A. 15 meter bandB. 10 meter bandC. 2 meter bandD. 1.25 meter band

T1B08 - What do the FCC rules mean when an amateur frequency band is said to be available on a secondary basis?

A. Secondary users have equal rights to operate

B. Amateurs are only authorized to use the frequency at night

C. Amateurs may not cause harmful interference to primary users

D. Secondary users are not allowed on amateur bands

T1B10 - Which of the bands available to Technician Class operators have mode-restricted sub-bands?

A. The 6 meter, 2 meter, and 70 cm bandsB. The 2 meter and 13 cm bandsC. The 6 meter, 2 meter and 1.25 meter

bandsD. The 2 meter and 70 cm bands

T1B11 - Which emission modes are permitted in the mode-restricted sub-bands at 50.0 to 50.1 MHz and 144.0 to 144.1 MHz?

A. CW onlyB. CW and RTTYC. SSB onlyD. CW and SSB

T1C05 - What must you do if you are operating on the 23 cm band and learn that you are interfering with a radiolocation station outside of the United States?

A. Stop operating or take steps to eliminate the harmful interference

B. Nothing because the band is allocated exclusively to the amateur service

C. Establish contact with the radiolocation station and ask them to change frequency

D. Change to CW mode, because this would not likely cause interference

T2A10 - What is a band plan, beyond the privileges established by the FCC?

A. A voluntary guideline for using different modes or activities within an amateur band

B. A mandated list of operating schedulesC. A list of scheduled net frequenciesD. A plan devised by a club to use a

frequency band during a contest

T2A11 - What are the FCC rules regarding power levels used in the amateur bands?

A. Always use the maximum power allowed to ensure that you complete the contact

B. An amateur may use no more than 200 watts PEP to make an amateur contact

C. An amateur may use up to 1500 watts PEP on any amateur frequency

D. An amateur must use the minimum transmitter power necessary to carry out the desired communication

T8D05 - Which of the following emission modes may be used by a Technician Class operator between 219 and 220 MHz?

A. Spread spectrumB. DataC. SSB voiceD. Fast-scan television

International Rules• International Telecommunications Union

(ITU).• United Nations Agency.• Responsible for international radio

regulations.• Responsible for radio frequency allocations.• Assigns call sign blocks.

International Rules• ITU Regions.

• World divided into 3 regions.

• Continental US is in Region 2.

• Frequency allocations may be different in different regions.

• Rules change at region boundaries regardless of country of license.

ITU Regions

International Amateur Radio Union (IARU)

• International organization of national amateur radio societies.

• IARU member for the US is ARRL.• Acts as voice for amateur radio before the

ITU.

International Operating• You MAY operate your amateur radio

station in another country, IF:• Other country allows amateur operations.• You have permission to operate in the foreign

country.

International Operating• Types of permission.

• International Amateur Permit (IARP).• Issued by IARU member-society.• Valid in: Argentina, Brazil, Canada, El Salvador,

Panama, Peru, Trinidad and Tobago, United States of America, Uruguay, & Venezuela.

• Two classes:• Class 1 Equivalent to Amateur Extra license.• Class 2 Equivalent to Technician license.

International Operating• Types of permission.

• European Conference of Postal and Telecommunications Administrations (CEPT) radio-amateur license.• Valid in most European countries & their

territories.• Must carry with you:

• Original US license.• Proof of US citizenship (passport).• Copy of CEPT agreement.

International Operating• Types of permission.

• Reciprocal operating authority.• Government-to-government agreement.• List of countries available on ARRL website.

• http://www.arrl.org/bilateral-reciprocal-agreements

• May have to obtain formal permit from foreign country.

• Identify using <host prefix>/<home call>.• e.g. – G3/W9UUU or W9/G3ABC

International Operating• Types of permission.

• Automatic reciprocal operating authority.• Canada ONLY.• US amateurs can operate in Canada (and vice-

versa) without any prior notification.• Identify using <home call>/<host prefix>.

• e.g. – W9UUU/VE3 or VE3ABC/W9• Backwards from rest of world!

International Operating• Operation from a vessel or craft in

international waters or air space is determined by the rules of the country of registration of the vessel or craft.

International Contacts• Unless prohibited by either country’s

government, an amateur can talk to any other amateur in the world.• Communications must be limited to:

• Remarks of a personal nature.• Limited to the purposes of amateur radio.

T1B01 - What is the ITU?

A. An agency of the United States Department of Telecommunications Management

B. A United Nations agency for information and communications technology issues

C. An independent frequency coordination agency

D. A department of the FCC

T1B02 -- Why are the frequency assignments for some U.S. Territories different from those in the 50 U.S. States?

A. Some U. S. Territories are located in ITU regions other than region 2

B. Territorial governments are allowed to select their own frequency allocations

C. Territorial frequency allocations must also include those of adjacent countries

D. Any territory that was in existence before the ratification of the Communications Act of 1934 is exempt from FCC frequency regulations

T1C03 - What types of international communications are permitted by an FCC-licensed amateur station?

A. Communications incidental to the purposes of the amateur service and remarks of a personal character

B. Communications incidental to conducting business or remarks of a personal nature

C. Only communications incidental to contest exchanges, all other communications are prohibited

D. Any communications that would be permitted on an international broadcast station

T1C04 - When are you allowed to operate your amateur station in a foreign country?

A. When the foreign country authorizes itB. When there is a mutual agreement

allowing third party communicationsC. When authorization permits amateur

communications in a foreign languageD. When you are communicating with non-

licensed individuals in another country

T1C06 - From which of the following may an FCC-licensed amateur station transmit, in addition to places where the FCC regulates communications?

A. From within any country that belongs to the International Telecommunications Union

B. From within any country that is a member of the United Nations

C. From anywhere within ITU Regions 2 and 3D. From any vessel or craft located in

international waters and documented or registered in the United States

T1D01 - With which countries are FCC-licensed amateur stations prohibited from exchanging communications?

A. Any country whose administration has notified the ITU that it objects to such communications

B. Any country whose administration has notified the United Nations that it objects to such communications

C. Any country engaged in hostilities with another country

D. Any country in violation of the War Powers Act of 1934

Questions?