*Pages 1--9 from Microsoft Word - 44205.doc* Federal Communications Commission DA- 04 3661 Before the Federal Communications Commission Washington, D. C. 20554 In the Matter of Rulemaking under Part 97 of the Communications Act of 1934, as amended to Establish Technical Standards for Certain Amateur Radio Telephony Transmissions ) ) ) ) ) ) ) ) ) RM- 10740 ORDER Adopted: November 24, 2004 Released: November 24, 2004 By the Chief, Public Safety and Critical Infrastructure Division, Wireless Telecommunications Bureau: 1. In this Order, we deny a petition for rulemaking 1 filed by Michael D. Lonneke and Melvin J. Ladisky (Petitioners) 2 seeking to amend Part 97 of the Commission’s rules 3 to provide that amateur radio stations transmitting a single sideband (SSB) emission, 4 (emission type J3E 5 ), may not occupy more than 2.8 KHz bandwidth on amateur frequencies below 28.8 MHz, and that amateur radio stations transmitting an amplitude modulated (AM) emission, (emission type A3E 6 ), may not occupy more than 5.6 KHz bandwidth on amateur frequencies below 28.8 MHz. 7 For reasons discussed, herein we deny Petitioners’ request. 1 See Petition for Rulemaking, RM- 10740 (filed May 27, 2003) (Petition); see also Correction to Petition for Rulemaking, RM- 10740 (filed July 17, 2003). 2 Michael D. Lonneke is the licensee of Amateur Service station W0YR, and Melvin J. Ladisky is the licensee of Amateur Service station W6FDR. 3 47 C. F. R. Part 97 contains the Amateur Radio Service rules. 4 A transmission that uses only one sideband or modulating signal with the carrier suppressed, in contrast to an AM-modulated radio signal, in which the carrier is continuously present and the modulating signal is contained in both sidebands. A SSB emission occupies approximately 2.7 KHz of bandwidth, as compared to approximately 6 KHz for an AM emission. Thus, SSB modulation is a more efficient use of spectrum, because more stations can transmit on a given segment of spectrum in a given time. 5 Commonly referred to as a “single sideband” by amateur radio operators. See id. and associated text. 6 Commonly referred to as “AM phone” or the type of signal that an AM broadcast station transmits. 7 Petition at 4. 1 Federal Communications Commission DA 04- 3661 2 I. BACKGROUND 2. Commission rules define “Amateur Service” as a “radio- communications service for the purpose of self- training, intercommunication and technical investigations carried out by amateur radio operators. . . .” 8 Amateur service has a fundamental purpose reflected in the principles of recognition and enhancement of the value of amateur service to the public as a voluntary noncommercial communications service; continuation and extension of the amateurs’ proven ability to contribute to the advancement of radio art; expansion of the existing reservoir of trained operators, technicians, and electronic experts; and continuation of the amateur’s unique ability to enhance international goodwill. 9 3. The Amateur Radio Service is allocated spectrum that must be shared in a cooperative manner by literally thousands of individual stations. Section 97.101 of the Commission’s rules sets forth the general standards that amateur stations must follow; 10 they include the basic principle that all frequencies are to be shared; no frequency can be assigned for the exclusive use of any station. 11 Amateur service licensees and amateur station control operators are required to cooperate in selecting frequencies and in making the most effective use of the amateur service frequencies. 12 Shared use and cooperation by licensees allow the amateur service community to accommodate the widely varied operating interests of licensees and the specific operating activities that a station or group of stations wishes to engage in, without explicit regulation. 4. Voluntary band planning allows amateur stations that desire to pursue different operating activities to pursue these activities by dividing or segmenting the amateur service spectrum. Voluntary band planning also allows the amateur service community the flexibility to “reallocate” the amateur service spectrum among operating interests as new operating interests and technologies emerge or operating interests and technologies fall into disfavor. 5. Section 97.101( d) of the Commission’s rules states that “[ n] o amateur [service] operator shall willfully or maliciously interfere with or cause interference to any radio communication or signal.” 13 All amateur service operators are required to ensure that their stations conform to the Commission’s rules and that they operate “in accordance with good engineering and good amateur practice.” 14 The Commission's long- standing role in amateur operation frequency utilization generally has been limited to establishing the types of emission that can be transmitted in different frequency segments. II. DISCUSSION 6. On May 27, 2003, Petitioners filed a Petition for Rulemaking, requesting that the Commission amend Part 97 of its rules, to provide that amateur stations transmitting emission type J3E not be authorized to occupy more than 2.8 KHz bandwidth on amateur frequencies below 28.8 MHz, and that amateur stations transmitting emission type A3E not be authorized to occupy more than 5.6 KHz bandwidth on amateur frequencies below 28.8 MHz. 15 Petitioners indicate that within the last few years, 8 See 47 C. F. R. §§ 2.1( c), 97.3( a) (4). Herein, “amateur radio service”, “Amateur Service” and “Amateur Radio Service” are synonymous. 9 See 47 C. F. R. § 97.1. 10 See 47 C. F. R. § 97. 101. 11 See 47 C. F. R. § 97. 101( b). 12 Id. 13 See 47 C. F. R. § 97. 101( a). 14 See id. 15 See Petition at 4. 2 Federal Communications Commission DA 04- 3661 3 a group of amateur radio operators has cast aside the de facto SSB signal width of approximately 3 KHz on the high- frequency bands, and has purposefully adjusted or misadjusted their equipment to transmit an emission that occupies more bandwidth than necessary. 16 Petitioners refer to this practice as purposeful “splattering” by this particular group, in an effort to gain more “elbow room” during international radio contests on a crowded band. 17 Petitioners also indicate that another group of amateur radio operators has begun experimenting with transmitting “high- fidelity” audio, in order to simulate a sound usually heard on the FM broadcast band. 18 7. Petitioners further indicate that letters sent from the Commission’s Enforcement Bureau to several amateur licensees concerning similar subject matter, failed to articulate a standard for SSB transmission bandwidth. 19 Petitioners therefore state that they are requesting that the Commission “establish SSB bandwidth standards, de jure, . . . in order to remove the ambiguity of the Commission’s Rules and to provide a clear basis for amateur practice and enforcement action when it is required.” 20 Petitioners argue that this relief is necessary in order to protect responsible amateur operators who use “good amateur practice” from the “opprobrious and intentional actions” typical of groups described in its Petition. 21 Petitioners contend that, unless this problem is alleviated, the “capacity of the radiotelephony bands will be reduced, perhaps to the point of emergency communications being hampered or made impossible by “splatter” from broad and overmodulated stations.” 22 8. The Commission sought comment on the Petition on June 26, 2003. 23 Numerous comments were filed, 24 the majority of which oppose the Petition on various grounds. 25 Some generally maintain that Part 97 of the Commission’s rules 26 adequately addresses bandwidth limitations by requiring that amateur transmissions not occupy more bandwidth than necessary for the information rate, and that emission type be transmitted in accordance with good amateur practice. 27 A number of the commenters who oppose the Petition submit that the regulated amendment of the Commission rules would not only be unjustified, but would also have a potentially adverse effect on the Amateur Radio Service. 28 Commenters opposing the Petition also note that the Petitioners mention only two groups of amateur radio operators -- an indication that the Petitioners’ claims are not representative of the amateur 16 See Petition at 2. 17 Id. 18 Id. 19 See Petition at 2. 20 Id. 21 See Petition at 4. 22 See Petition at 5. 23 See Public Notice, Petition for Rulemaking Filed, Consumer & Governmental Affairs Bureau, Report No. 2612, (rel. June 26, 2003). 24 See Appendix attached hereto. 25 See, e. g., Robert Callahan Comments at 1; Douglas T. Smith, Editorial Services Comments at 1- 2; William Ramsey Comments at 1- 2; Brian L. Crow Comments at 1- 2; David Payne Comments at 1- 2; Michael K. Wingfied Comments at 1- 2; Marc Guitard Comments at 1- 2; Philip E. Galasso Comments at 1- 6; and David M. Boeher Comments at 1- 2. 26 47 C. F. R. Part 97. 27 See, e. g., David A. Olsen Comment at 1- 2; see also 47 C. F. R. §97. 307( a), (b). 28 See, e. g., Herbert J. Ulrich, Jr. Comments at 2; William Pasternak Comments at 3- 4; Anthony Whitmore Comments at 1; Paul R. Goodman Comments at 2; and Nikolaus E. Legget Comments at 4. 3 Federal Communications Commission DA 04- 3661 4 service community generally. 29 Commenters opposing the Petition also suggest that, if the Petitioners proposals were adopted, enforcement of bandwidth limitations would be unmanageable, 30 and that restriction of emissions to specific bandwidths could hamper future development of new transmission methods and technologies. 31 Additionally, some note that it is not necessary to include a restrictive bandwidth for AM emissions since the Petitioners do not acknowledge in the Petition a particular problem with AM stations. 32 9. We have carefully considered all comments filed, including comments filed in support of the Petition, 33 and some alternative proposals. 34 We conclude that Petitioners’ request for an amendment of our rules is inconsistent with the Commission’s objective of encouraging the experimental aspects of amateur radio service. 35 The Petition also fails to demonstrate that a deviation from the Commission’s longstanding practice of allowing operating flexibility within the amateur service community 36 -- is either warranted or necessary. In this regard, we note that most operators use the amateur service spectrum in a manner consistent with the basic purpose of the amateur service. Further, we believe that our existing rules -- including the provisions that no amateur station transmission shall occupy more bandwidth than necessary for the information rate and emission type being transmitted, in accordance with good amateur practice, 37 and that emissions outside the necessary bandwidth must not cause interference to operations on adjacent frequencies 38 -- are adequate to address any noncompliant practices by amateur operators. 10. Regarding Petitioner’s request that amateur stations transmitting emission type A3E not be authorized to occupy more than 5.6 KHz bandwidth on amateur frequencies below 28.8 MHz, we agree with commenters who note Petitioners have not demonstrated there to be a particular problem with stations that transmit AM emissions. 39 Moreover, the Commission has previously declined to restrict bandwidth for AM because to do so would be inconsistent with the basic purpose of amateur service and 29 See, e. g., Michael K. Wingfield Comments at 2. 30 See, e. g., Frank Aguilar Comments at 1. 31 See, e. g., Robert E. McGraw Comments at 1. 32 See, e. g., Victor M. Magana Comments at 1; William Ramsey Comments at 1- 2; Andrew E. Howard, Sr. Comment at 1; and Dale Gagnon Comment at 1- 2. 33 See, e. g., Robert Sherwood Comments at 1; Ken Barber Comments at 1; Robert Tiller Comment at 1; Mark Francis Comments at 1- 2; Richard Kessler Comments at 1; Norm Stetson Comments at 1; Thomas F. Poland Comments at 1; William E. Sabin Comments at 1- 3; and Dale E. Reich Comments at 1- 3. 34 See, e. g., David S. Forsman Comments at 1- 2 and Paul L. Schmidt Comments at 1- 4. 35 See 47 C. F. R. § 97. 1. The Commission has noted elsewhere the experimental nature of the amateur radio service. See, e. g., Amendment of Amateur Service Rules to Provide For Greater Use of Spread Spectrum Technologies, Notice of Proposed Rulemaking, 12 FCC Rcd 2591, 2595 ¶ 8 (1997). 36 See, e. g., Amendment of Parts 2 and 97 of the Commission's Rules Governing the Amateur Service to Authorize Operation on Additional Frequency Bands in American Samoa, Amendment of Part 97 of the Commission's Rules Governing the Amateur Service to Permit Certain Amateur Radio Operators to Accept Compensation While Transmitting Disaster Relief Messages, Amendment of Part 97 of the Commission's Rules Regarding the Radio Amateur Civil Emergency Service, Compliance With Applicable Voluntary Band Plans in the Amateur Radio Service, Order, 14 FCC Rcd 20595, 20598 ¶ 7 (1999); see also Amendment of the Amateur Service Rules to Provide For Greater Use of Spread Spectrum Communication Technologies, Report and Order, 15 FCC Rcd 1482, 1483 ¶¶ 3, 8 (1999); see also Allocation of the 219- 220 MHz Band for Use by the Amateur Radio Service, Memorandum Opinion and Order, 11 FCC Rcd 3522, 3524 ¶ 15 (1996). 37 See 47 C. F. R. §97. 307( a). 38 See 47 C. F. R. §97. 307( b). 39 See, e. g., note 32, supra. 4 Federal Communications Commission DA 04- 3661 5 our desire to offer amateur operators the opportunity to experiment with various types. 40 11. We continue to encourage amateur operators to act in good faith in the exercise of their operations as required by Section 97.101( d) of the Commission’s rules, 41 which provides that no amateur operator shall willfully or maliciously interfere with or cause interference to any radio communication or signal. The Commission’s Enforcement Bureau will continue to monitor nonconforming activities of operators not abiding by the Commission rules through its complaint process. In instances of willful and malicious interference, the Enforcement Bureau will not hesitate to take appropriate action. In sum, we are not persuaded by Petitioner’s claims that bandwidth restrictions are necessary, and, therefore, deny the Petition. III. ORDERING CLAUSES 12. IT IS ORDERED that the Petition for Rulemaking, RM- 10740, submitted by Michael D. Lonneke and Melvin J. Ladisky on May 27, 2003, IS DENIED. 13. This action is taken under delegated authority pursuant to Sections 0.131 and 0.331 of the Commission’s Rules, 47 C. F. R. §§ 0.131, 0.331. FEDERAL COMMUNICATIONS COMMISSION Michael J. Wilhelm Chief, Public Safety and Critical Infrastructure Division Wireless Telecommunications Bureau 40 See, e. g., Amendment of the Amateur Service Rules to Revise Transmitter Power Standards and Authorized Emissions, RM- 7401, RM- 7402, RM- 7403, RM- 7404, Memorandum Opinion and Order, 6 FCC Rcd 4433 (1991); see also, Amendment of the Amateur Service Rules to Revise Transmitter Power Standards and Authorized Emissions, RM- 7401, RM- 7402, RM- 7403, RM- 7404, Order, 5 FCC Rcd 6374 (1990). 41 See 47 C. F. R. § 97. 101( d). 5 Federal Communications Commission DA 04- 3661 6 LIST OF COMMENTING PARTIES Ian E. Abbott Frank Aguilar, Jr. Arden W. Allen, KB6NAX Manuel R. Alonso John M. Anning David M. Antler Robert L. Atkinson Nick Balsamo, KG2IR Ken Barber Jeffrey E. Barnard, KA1OGM John P. Basilotto Jeffery Lee Belknap Arthur W. Bell Mark S. Bell Albert L. Bergren Robert Blacka David M. Boehner Brian E. Brachel George A. Brock- Fisher, K1KP Dan Brown Gregory A. Buchanan, WB9DNZ Todd Buiten Wiley L. Bunce III Robert Callahan, W1QWT Duncan Cameron Lee F. Carroll, N2UDF Robert Casey Thomas T. Cathley, K1JJ Bob Cave, KW4CQ Thomas Chambers Donald B. Chester Julius B. Chiller Jr., WD8BIL Bonnie Crystal William G. Cooper Paul S. Courson, WA3VJB Philip A Covington Brian L. Crow J. Franklin Dayton Alan Davis John Dewey Larry E. Dodd John Ellis Yves A. Feder, W1UX Frank W. Fisher Don Flenner David S. Forsman James R. Forgione Steven J. Fraasch Mark Francis Dale Gagnon 6 Federal Communications Commission DA 04- 3661 7 Philip E. Galasso, KZPG Ruben Gonzalez, Jr. Paul R. Goodman George, ABZKC Ron Grandmaison Martin P. Granica Barry J. Griffin Anthony D. Grogan Marc A. Guitard Horace W. Hall Thomas Hamilton James T. Hanlon Charles W. Heard Bob Heil, K9EID William O. Hooper Andrew E. Howard, Sr. David Humbertson. William D. Hummer Patricvk Jankowiak Gert E. Janssens, K5WW Dale M. Johnson Roger D. Johnson Jimmy J. Jones Julius Jones Richard Kalt, W1FYI Anthony Kahn Richard J. Kessler Edward Keyes Melvin J. Ladisky W. Edwin Lambert, Jr Ashley Lane Nicholaus E. Leggett Jeffrey Lehmann Seymour Lesonsky Brian Levy B. Scott Lovell Michael D. Lonneke et al. John T. M. Lyles Frank A. Lynch James MacDonald, W98MAQ John R. MacDougall David L. Maudlin Victor M. Magana Frank Materiale David McDaniel Robert E. McGraw, K4TAX Brian McIntosh Peter C. McNulty, WA1SOV Matthew F. Morris Gerald J. Mehrab David P. Metzger Robert Mitilieri 7 Federal Communications Commission DA 04- 3661 8 Tom Moore, N1OGC Donald Morton T. Lynn Neece, KB6OKS Philip Neidlinger Greg Nolan Roy H. Norris, III David A. Olsen James Olson Kenneth Parker William M. Pasternak David W. Payne, KA2J Ronald L. Phoenix Art Pightling Thomas F. Poland David Pope David B. Popkin George Pritchard, AB2KC Thorsten C. Prutz C. Richard Pumphrey Jayson Quilantan Richard Raide William Ramsey Michael J. Rauchle, KA7THA Ronald G. Reams Dale E. Reich Marvin Richardson Larry Robison Thomas A. Rounds William E. Sabin Don Saladin Michael Sawyer Martin Shapiro Robert E. Sheppard Paul L. Schmidt Gordon Schlesinger Robert Sherwood Chris O. Sierra Steven D. Sims Douglas T. Smith, Editorial Services Charles Stealey Norm Stetson, W1GYY David L. Stinson Bruce E. Stock Laurence M. Szendrei Paul Tabatschkow, N3UD Jacob N. Thomas Robert Tiller Herbert J. Ulrich, Jr., Ph. D., K2VH Sundee M. Vendiver Michael A. Vlasich Ralph C. Warlow Larry M. Wassman, WCOZ 8 Federal Communications Commission DA 04- 3661 9 James E. Watts Anthony Whitmore, NOPG Jim Wilson Michael K. Wingfield Terry J. Yoder Grant Youngman William E. Zeisler Peter C. Zilliox Glen W. Zook 9