[Federal Register Volume 81, Number 156 (Friday, August 12, 2016)]
[Proposed Rules]
[Pages 53388-53391]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19085]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 97

[WT Docket No. 16-239; FCC 16-96]


Amateur Radio Service Rules To Permit Greater Flexibility in Data 
Communications

AGENCY: Federal Communications Commission.

ACTION: Proposed rule.

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SUMMARY: In this document, the Federal Communications Commission 
(Commission) seeks comment on proposed amendments regarding technical 
standards applicable to data communications that may be transmitted in 
the Amateur Radio Service. Specifically, we propose to remove 
limitations on the symbol rate (also known as the baud rate) applicable 
to data emissions in certain amateur bands. We believe that this rule 
change will allow amateur service licensees to use modern digital 
emissions, thereby better fulfilling the purposes of the amateur 
service and enhancing its usefulness.

DATES: Submit comments on or before October 11, 2016, and reply 
comments are due on or before November 10, 2016.

ADDRESSES: You may submit comments, identified by WT Docket No. 16-239, 
by any of the following methods:
     Federal Communications Commission's Web site: http://apps.fcc.gov/ecfs/. Follow the instructions for submitting comments.
     Mail: Federal Communications Commission, 445 12th Street 
SW., Washington, DC 20554.
     People with Disabilities: Contact the FCC to request 
reasonable accommodations (accessible format documents, sign language 
interpreters, CART, etc.) by email: [email protected] or phone: 202-418-
0530 or TTY: 202-418-0432.

FOR FURTHER INFORMATION CONTACT: Scot Stone, [email protected], 
Wireless Telecommunications Bureau, (202) 418-0638, or TTY (202) 418-
7233.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
of Proposed Rulemaking (NPRM), adopted July 27, 2016 and released July 
28, 2016. The full text of this document is available for public 
inspection and copying during regular business hours in the FCC 
Reference Center, Federal Communications Commission, 445 12th Street 
SW., Room CY-A257, Washington, DC 20554. The complete text may be 
purchased from the Commission's copy contractor, 445 12th Street, SW., 
Room CY-B402, Washington, DC 20554. This document will also be 
available via ECFS at http://fjallfoss.fcc.gov/ecfs/. Documents will be 
available electronically in ASCII, Microsoft Word, and/or Adobe 
Acrobat. Alternative formats are available for people with disabilities 
(Braille, large print, electronic files, audio format) by sending an 
email to [email protected] or calling the Commission's Consumer and 
Governmental Affairs Bureau at (202) 418-0530 (voice), (202) 418-0432 
(TTY).

I. Introduction

    1. In the NPRM, we propose, in response to a petition for 
rulemaking filed by the AmericanRadio Relay League, Inc. (ARRL), to 
amend part 97 of the Commission's rules regarding technical standards 
applicable to data communications that may be transmitted in the 
Amateur Radio Service. Specifically, we propose to remove limitations 
on the symbol rate (also known as baud rate)--the rate at which the 
carrier waveform amplitude, frequency, and/or phase is varied to 
transmit information--applicable to data emissions in certain amateur 
bands. We believe that this rule change will allow amateur service 
licensees to use modern digital emissions, thereby better fulfilling 
the purposes of the amateur service and enhancing its usefulness.

II. Background

    2. The limitations on radioteletype (RTTY) and data transmissions 
below 450 MHz vary depending on the frequency band, and on whether the 
digital code used to encode the signal being transmitted is one of the 
codes specified in section 97.309(a) of the Commission's rules--Baudot, 
AMTOR, and ASCII (the ``specified digital codes''). Section 97.307(f) 
limits the symbol rate for the specified digital codes, and the 
bandwidth for unspecified digital codes, as follows:

[[Page 53389]]

The specified digital codes may be used with a symbol rate not 
exceeding 300 bauds for frequencies below 28 MHz (except the 60 meter 
(5.3305-5.4064 MHz) band), and 1200 bauds in the 10 meter (28-29.7 MHz) 
band; in the 6 meter (50-54 MHz) and 2 meter (144-148 MHz) bands, the 
specified digital codes may be used with a symbol rate not exceeding 
19.6 kilobauds, and unspecified digital codes may be used with a 
bandwidth not exceeding 20 kilohertz; in the 1.25 meter (219-225 MHz) 
and 70 centimeter (420-450 MHz) bands, the specified digital codes may 
be used with a symbol rate not exceeding 56 kilobauds, and unspecified 
digital codes may be used with a bandwidth not exceeding 100 kilohertz. 
An amateur station transmitting a RTTY or data emission using one of 
the specified digital codes may use any technique whose technical 
characteristics have been documented publicly, such as CLOVER, G-TOR, 
or PACTOR, for the purpose of facilitating communications.

III. Discussion

    3. Symbol rate limit. We tentatively agree with ARRL that the baud 
rate limits should be eliminated, and propose to amend part 97 
accordingly. As ARRL notes, digital emissions were ``in their early 
stages and experimentation with them was limited'' at that time, and 
``the state of the art in HF digital communications has advanced 
substantially'' since then. Indeed, the Commission observed in 1993 
that ``as technology progresses the rules may become unnecessarily 
restrictive, particularly with regard to the permissible baud rate.'' 
For example, ARRL points out that PACTOR 3, which has a data rate of up 
to 3600 bits per second and a symbol rate of 100 bauds, is permitted in 
the HF bands; but PACTOR 4, which is capable of a data rate of 5800 
bits per second without occupying any more spectrum, is prohibited at 
HF by the current rules because it has a symbol rate of 1800 bauds. 
Thus, ARRL argues, the current baud rate limits permit, if not actually 
encourage, inefficient spectrum utilization.
    4. Many commenters agree that the baud rate restriction should be 
eliminated, and we seek comment on the reasons supporting such a view. 
For example, one commenter states that ``part of the purpose of the 
amateur radio service is the advancement of radio and communications 
technology. Denying the ability to research and implement higher symbol 
rates directly contradicts the very purpose for amateur radio.'' 
Another commenter notes that ``[t]he rest of the amateur radio 
operators in the world do not have this restrictive symbol rate 
requirement that is in the current part 97'' and eliminating this 
restriction will allow the Emergency Communications Community to 
``benefit by being better able to meet its mission.'' Many commenters 
cite permitting PACTOR 4 at HF as a reason for changing the rule, 
particularly to facilitate more efficient transmission of emergency 
communications. Other commenters, however, are concerned that 
facilitating faster data throughput will actually increase congestion 
by encouraging the transmission of larger amounts of data and new types 
of content.
    5. We tentatively agree that a baud rate restriction has become 
unnecessary due to advances in modulation techniques, and no longer 
serves a useful purpose. Our rules do not impose a symbol rate limit on 
data emissions in any other amateur bands or in any other radio 
service. In addition, removing the baud rate restriction could 
encourage individuals to more fully utilize the amateur service in 
experimentation and could promote innovation, more efficient use of the 
radio spectrum currently allocated to the amateur service, and the 
ability of the amateur service to support public safety efforts in the 
event of an emergency. Facilitating the ability of the amateur service 
to transmit and experiment with technologies currently used in consumer 
and commercial products furthers this goal. Consequently, we propose to 
remove the baud rate limits in section 97.307(f). We seek comment on 
this proposal. In particular, we seek comment on whether eliminating 
the baud rate limits would improve amateur communications, or would 
instead increase congestion. Regarding the likelihood that eliminating 
the baud rate limitation would increase congestion, we seek comment on 
whether the costs of such an increase are outweighed by the benefits 
that are likely to flow from the elimination of the limits, and whether 
there are ways to mitigate these costs without losing the benefits of 
the proposed initiative. More generally, we seek comment on whether 
there are other costs and benefits to the proposal and, when weighing 
all the factors, whether the benefits of the proposal outweigh its 
costs. Commenters opposed to eliminating the baud rate limits should 
also explain whether their concerns relate to all of the bands at 
issue, or only certain spectrum.
    6. We decline, however, to propose to add a 2.8 kilohertz bandwidth 
limitation for RTTY and data emissions in the MF/HF bands as requested 
by the ARRL Petition. ARRL cites the 60 meter band as precedent for 
imposing a 2.8 kilohertz bandwidth limitation on data emissions, which 
ARRL states ``would accommodate the HF data emissions that are in 
common use today.'' The commenters who support eliminating the baud 
rate restriction also generally agree with the ARRL's requested 2.8 
kilohertz bandwidth limitation, but others who support eliminating the 
baud rate restriction favor a narrower bandwidth limitation in order to 
protect low-bandwidth modes of communication.
    7. After reviewing the record, we tentatively conclude that a 
specific bandwidth limitation for RTTY and data emissions in the MF/HF 
bands is not necessary. We note that only the digital codes specified 
in section 97.309(a) may be used for MF/HF data emissions, and our 
rules do not impose any specific bandwidth limitation on use of the 
specified digital codes in any frequency band other than the 60 meter 
band. The 60 meter band cited by ARRL is a special case, however, given 
that amateur operators are permitted to operate only on specific 
frequencies rather than across the entire band, and are permitted to 
use only particular data and RTTY emission designators, in order to 
protect primary Federal voice operations in the band. Section 97.307(a) 
of the Commission's rules already provides 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, and section 97.307(c) already prohibits 
interference from spurious emissions (i.e., emissions outside the 
necessary bandwidth). The methods to be used in calculating the 
necessary bandwidth of various emissions are specified in section 2.202 
of the Commission's rules. We tentatively conclude that such rules are 
sufficient to help protect against inefficient use or other abuse of 
the spectrum identified by commenters, and will accomplish ARRL's 
stated reason for proposing a bandwidth limitation of facilitating 
sharing among amateur licensees.
    8. We also observe that while a 2.8 kilohertz bandwidth limitation 
would accommodate HF data emissions that are in common use today, such 
a limitation could, at the same time, undermine the goal--fundamental 
to the amateur service--of encouraging advances in technology if 
amateur radio operators were thereby prevented from stepping beyond 
today's radio science. Imposing a maximum bandwidth would result in a 
loss of flexibility to develop

[[Page 53390]]

and improve technologies as licensees' operating interests change and 
new technologies are developed. We seek comment on these tentative 
conclusions.
    9. While we tentatively conclude that a specific bandwidth 
limitation for RTTY and data emissions in the MF/HF bands is not 
necessary, we nonetheless request comment on whether we should 
establish emission bandwidth standards for amateur service MF/HF RTTY 
and data emissions. Commenters favoring such action should address what 
the maximum bandwidth should be, the basis for the particular 
limitation the commenter proposes, and whether the limit should apply 
across the bands or only in particular subbands. Commenters should 
explain the grounds for departing from the generally applicable 
standards.

IV. Conclusion

    10. In summary, we believe that the public interest may be served 
by revising the amateur service rules to eliminate the current baud 
rate limitations for data emissions consistent with ARRL's Petition to 
allow amateur service licensees to use modern digital emissions, 
thereby furthering the purposes of the amateur service and enhancing 
the usefulness of the service. We do not, however, propose a bandwidth 
limitation for data emissions in the MF and HF bands to replace the 
baud rate limitations, because the rules' current approach for limiting 
bandwidth use by amateur stations using one of the specified digital 
codes to encode the signal being transmitted appears sufficient to 
ensure that general access to the band by licensees in the amateur 
service does not become unduly impaired.

V. Procedural Matters

    11. Initial Regulatory Flexibility Certification. The Regulatory 
Flexibility Act (RFA) requires an initial regulatory flexibility 
analysis to be prepared for notice and comment rulemaking proceedings, 
unless the agency certifies that ``the rule will not, if promulgated, 
have a significant economic impact on a substantial number of small 
entities.'' The RFA generally defines the term ``small entity'' as 
having the same meaning as the terms ``small business,'' ``small 
organization,'' and ``small governmental jurisdiction.'' In addition, 
the term ``small business'' has the same meaning as the term ``small 
business concern'' under the Small Business Act. A ``small business 
concern'' is one which: (1) Is independently owned and operated; (2) is 
not dominant in its field of operation; and (3) satisfies any 
additional criteria established by the Small Business Administration 
(SBA).
    12. In the NPRM, we propose to amend the amateur service rules to 
change a technical rule applicable to data emissions that an amateur 
radio operator may use in his or her communications with other amateur 
radio operators. Because ``small entities,'' as defined in the 
Regulatory Flexibility Act, do not include a ``person'' as the term is 
used in this proceeding or an individual, the proposed rules do not 
apply to ``small entities.'' Rather, they apply exclusively to 
individuals who hold certain Commission authorizations. Therefore, we 
certify that the proposal in this NPRM, if adopted, will not have a 
significant economic impact on a substantial number of small entities.
    13. Paperwork Reduction Analysis. This document does not contain 
proposed information collection(s) subject to the Paperwork Reduction 
Act of 1995 (PRA), Public Law 104-13. In addition, therefore, it does 
not contain any new or modified information collection burden for small 
business concerns with fewer than 25 employees, pursuant to the Small 
Business Paperwork Relief Act of 2002, Public Law 107-198, see 44 
U.S.C. 3506(c)(4).

VI. Ordering Clauses

    14. It is ordered that, pursuant to Sections 4(i), 303(r), and 403 
of the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 
303(r), and 403, that this Notice of Proposed Rulemaking is hereby 
adopted.
    15. It is further ordered that, pursuant to section 1.407 of the 
Commission's rules, 47 CFR 1.407, the Petition for Rulemaking, RM-
11708, filed by the American Radio Relay League, Inc., on November 15, 
2013 is granted to the extent indicated herein, and is otherwise 
denied.
    16. It is further ordered that the Commission's Consumer and 
Governmental Affairs Bureau, Reference Information Center, shall send a 
copy of this Notice of Proposed Rulemaking, including the Initial 
Regulatory Flexibility Certification, to the Chief Counsel for Advocacy 
of the Small Business Administration.

List of Subjects in 47 CFR Part 97

    Radio.

Federal Communications Commission.
Gloria J Miles,
Federal Register Liaison Officer. Office of the Secretary.

Proposed Rules

    For the reasons discussed in the preamble, the Federal 
Communications Commission proposes to amend 47 CFR part 97 as follows:

PART 97--AMATEUR RADIO SERVICE

0
1. The authority citation for part 97 continues to read as follows:

    Authority: 48 Stat. 1066, 1082, as amended; 47 U.S.C. 154, 303. 
Interpret or apply 48 Stat. 1064-1068, 1081-1105, as amended; 47 
U.S.C. 151-155, 301-609, unless otherwise noted.

0
2. Section 97.305 is amended by revising the entry for 28.0-28.3 MHz in 
the table in paragraph (c) to read as follows:


Sec.  97.305  Authorized emission types.

* * * * *
    (c) * * *

----------------------------------------------------------------------------------------------------------------
                                                                                                   Standards see
                                                                                                       Sec.
             Wavelength band                      Frequencies          Emission types authorized    97.307(f),
                                                                                                    paragraph:
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
HF:
 
                                                  * * * * * * *
10 m....................................  28.0-28.3 MHz.............  RTTY, data................            (3).
 
                                                  * * * * * * *
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[[Page 53391]]

0
3. Section 97.307 is amended by revising paragraph (f)(3), removing and 
reserving paragraph (f)(4), and revising paragraphs (f)(5) and (6) to 
read as follows:


Sec.  97.307  Emission standards.

* * * * *
    (f) * * *
    (3) Only an RTTY or data emission using a specified digital code 
listed in Sec.  97.309(a) of this part may be transmitted.
    (4) [Reserved]
    (5) An RTTY, data or multiplexed emission using a specified digital 
code listed in Sec.  97.309(a) of this part may be transmitted. An 
RTTY, data or multiplexed emission using an unspecified digital code 
under the limitations listed in Sec.  97.309(b) of this part also may 
be transmitted, provided the bandwidth does not exceed 20 kHz.
    (6) An RTTY, data or multiplexed emission using a specified digital 
code listed in Sec.  97.309(a) of this part may be transmitted. An 
RTTY, data or multiplexed emission using an unspecified digital code 
under the limitations listed in Sec.  97.309(b) of this part also may 
be transmitted, provided the bandwidth does not exceed 100 kHz.
* * * * *
[FR Doc. 2016-19085 Filed 8-11-16; 8:45 am]
BILLING CODE 6712-01-P