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Emergency Communication:  Is it legal?

by Edward Mitchell, WA6AOD

Reprinted from QST October 1988

Copyright 1988 American Radio Relay League, Inc.
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Emergency Communication:  Is it legal?

     Of course, all emergency communications are legal.  Yet, due to
folklore and second hand anecdotes, emergency and public service
communications have become a confusing topic for many amateurs.  A
surprising number believe that much of our public service and disaster
communications are illegal.

Some examples:

     During August and September 1987, nearly 700 square miles of
California forest lands were destroyed by wildfire, causing the
evacuation of tens of thousands of mountain residents.  Hundreds of
ham operators provided support communications for the U.  S.  Forest
Service, the California Department of Forestry, the American Red
Cross, and other relief agencies.

     Once the fires were out, several hams were heard asking "Were we
legal?  Or, were we conducting the regular business of these relief
agencies?".

     That this question was asked at all, under the circumstances,
illustrates the confusing interpretations of FCC rules within the
amateur fraternity.

     In some instances, the misunderstandings about emergency
communications have irreparably tarnished the image of Amateur Radio.
At a recent 200 mile bike ride, a "sag wagon" with Amateur Radio
communications arrived on the scene of a serious accident; a volunteer
paramedic had already arrived to administer first aid.

     Due to the extent of injuries, the paramedic asked to confer with
a physician who happened to be in the vicinity of net control.
Strangely, the net control refused to allow the physician to speak
directly over the radio.  In spite of complicated medical terminology
and the potential for mistakes, the net control operator insisted on
verbally relaying each message.  The control operator said he wasn't
sure if it would be legal for the paramedic to speak directly with the
physician.

    Unfortunately this paramedic is a volunteer with a search and
rescue group that needs Amateur Radio support.  But, based on this
tragic episode, they have chosen to avoid ham radio, because, the
paramedic said, "It's unreliable."

     At still another bike tour, open to the public and sponsored by a
local bike club, several hams told the ham radio coordinator that
helping the bike club was not legal for ham radio - yet nine of the
2,500 riders suffered major injuries requiring paramedic or helicopter
air ambulance response.  Ham radio proved essential to the safety of
the riders.

So What Is Legal, Anyway?

     For the most part, the confusion is not really in the FCC
regulations, but in the amateur community, and their understanding and
interpretation of the FCC regulations.

     Somewhere in the chain of ham radio folklore, truths and half-
truths about emergency communications have become distorted or
altered.  At times, hams have written to the FCC asking about a
hypothetical situation.  Unfortunately, this may result in a hasty
legal opinion, formed without consideration of all necessary factual
details, when fact, the FCC would prefer for us to be self-regulating
and to resolve operational issues by ourselves [See reference 8].

     When the FCC releases a Report and Order, in a rulemaking
proceeding, it usually includes a discussion explaining why the new
rule was written.  Sometimes, these explanations appear at odds with,
or incompletely explain the regulations.

     To help us understand what we can and cannot do, we must have a
good understanding of each of the following three principles:

     1.  Business communications,
     2.  Emergency communications,
     3.  Public service communications.

     Business communication are expressly forbidden within the Amateur
Radio Service.  The Amateur Radio Service exists for several good
reasons, including public service and technical experimentation.  If
routine business communication were allowed, any business could
license its employees and swamp our 2 meter band with kilowatt
repeaters and continuous communications in which we would not be
welcome.  (This has already happened in the General Mobile Radio
Service, a "mixed use" service for both personal and business use.)

     Because of this prohibition on business communications, the FCC
has added a carefully worded exception for use during times of
emergency, allowing Amateur Radio operators to conduct whatever type
of communication is needed.

     Public service communication is provided for the benefit of the
general public, such as when we help at running races or air shows.

Business communications

     The FCC regulations, Section 97.3 define business communications as:
          97.3 Definitions:
            (bb) Business communications.  Any transmission
                 or communication the purpose of which is to
                 facilitate the regular business or
                 commercial affairs of any party.

     The FCC rules, Sections 97.110 and 97.114 prohibit the use of
Amateur Radio frequencies for business communications.

     Note that business is defined as the regular business or
commercial affairs of any party.  The FCC regulations make no
distinction between for profit and not-for-profit businesses. You
cannot conduct the regular business of a charitable organization, such
as providing mobile communications for a food bank in its daily
collection of surplus food.

     You can, however, assist at a 10k running race sponsored by the
food bank (or a for profit business) when your involvement is for the
primary benefit of the general public, even if there is an incidental
benefit to the sponsor [see reference 3]. For example, where the
communications are related to the safety of attendees and
participants, the primary beneficiary is the general public, not the
sponsor of the event.

Emergency communications

     Normally, all types of business communications, and certain types
of third party traffic are prohibited. However, an important exception
is made during emergencies. Section 97.3 (w) defines emergencies as:

          97.3 Definitions:
            (w) Emergency communication.  Any Amateur Radio
                communication directly relating to the
                immediate safety of life of individuals or
                the immediate protection of property.

     The difficulty, as we will see in a moment, is the interpretation
of what constitutes an immediate threat to life or property.

     Both Sections 97.110 and 97.114 allow business communications
during emergencies.

          97.110 Business communications prohibited.
             The transmission of business communications by
             an Amateur Radio station is prohibited except
             for emergency communications.

          97.114 Limitations on third-party traffic.
            (b) The transmission or delivery of the following
                third-party traffic is prohibited:
              (3) Except for emergency communications as
                  defined in this part, third-party traffic
                  consisting of business communications on
                  behalf of any party.

     During an emergency, you may use your radio in any manner that is
appropriate.  Even though putting out fires or providing disaster
assistance may be the regular business of your fire department or of
the American Red Cross, in these situations, an emergency affecting
the immediate safety of life and property has occurred, and your
Amateur Radio participation is not only allowed, but encouraged.

When does a situation become an emergency?

     The key words that define an emergency are "immediate safety of
life of individuals or the immediate protection of property." Obvious
examples of an emergency include natural disasters - such as
tornadoes, hurricanes, blizzards, floods - and other forms of severe
weather, forest fires, land slides, and earthquakes, all of which
typically cause immediate danger to both life and property.

     Under these guidelines, assisting the Forest Service during a
wild fire, or allowing a physician to use your radio, or performing
Red Cross disaster assessment are all legitimate Amateur Radio
operations.

     Other situations, though, are less clear cut.  For example, you
spot a motorist, stranded along a suburban highway.  Can you call for
help on the repeater autopatch? At first this hardly seems like an
emergency, but it may be a real danger to the stranded motorist.

     Last year, a San Francisco Bay Area mother and daughter were
killed when their disabled automobile was struck from behind.  They
were parked well off on the right side of the freeway, emergency
flashers on, hood up, in broad daylight.  To a passing mobile ham,
this hardly seemed like an emergency, but obviously, disabled vehicles
along high speed freeways are a real danger to life and property.

     Could you have called for a tow truck?

     According to the ARRL's FCC Rule Book, the answer is yes.
Calling a towing service eliminates the need for an officer to drive
to the scene and gets the vehicle removed from a dangerous situation
much sooner.  Of course, on many roads, stopping is not considered
safe, and you would be better off driving past and autopatching the
local police authority.

     At the scene of an accident, can you hand your radio to an
unlicensed person, such as a Fire Chief?

     Yes, as long as you remain the control operator, this is merely
standard third-party operation.  This is usually the most efficient
way to provide communications to an agency during an emergency.
Rather than relay the message yourself, why not put the sender and the
recipient on the radio?  This eliminates errors and is much more
efficient.

Public Service Communications

     The FCC encourages public service activities within the Amateur
Service.  The very first rule in the FCC regulations states:

          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 communications
                   service, particularly with respect to
                   providing emergency communications.

     Much of the confusion over ham radio public service
communications stems both from a confusing Report and Order issued by
the FCC in 1983 [see reference 10] and from a letter written to the
FCC in 1984, in regards to support of the New York City Marathon.
[See references 3, 6, 9 and 10].

     One of the purposes of the amateur network had been to inform the
general public, and possibly the news media, of the race status via a
public address system at each mile marker.  Clearly, this amounted to
using Amateur Radio for purposes that are prohibited by the rules.

     The letter basically asked if it was okay for the ham network to
be broadcast over a public address system.   Quite correctly, the FCC
replied that reporting the position of lead runners via the amateur
network and the public address system ran afoul of the prohibition on
broadcasting to the general public.

     But contrary to widespread misbelief, the FCC did not prohibit
amateurs from participating at running races nor did the FCC prohibit
hams from assisting at events where there are paid participants.
Acceptable activities, the FCC wrote, are not determined "by the
profit objectives of the sponsor, nor by the pay status of other
participants ....  Although some communications transmitted could
incidentally benefit a sponsor, we do not view such communications as
violations of the rules where their main purpose is to provide a
service to the public."

     Further, and again contrary to popular opinion, the FCC did not
rule that, in general, it is illegal to transmit lead runner position
reports.  At many races, the race director needs to know the locations
of the lead runners, the "pack", and the last runners, so that he can
correctly position the first aid, ambulance and water support crews.
If that is indeed the purpose of lead runner reports, then this
function is in the interest of runner and spectator safety and is a
legal function for the Amateur Radio Service.  Where position reports
are intended for a P.A. broadcast, an alternate radio service must be
used [See Alternatives to the Amateur Radio Service, in this article].

     Other examples of public service include bike races and tours,
parades, air shows, a tornado or 4th of July fire watch, festivals,
games and other activities that are open to the public or use your
services to benefit the public.

     However, not all public service activities are allowed. For
example, using ham radio to coordinate ticket sales at a public
festival is forbidden since this is clearly a business function (See
Alternatives to Ham Radio).  On the other hand, using ham radio to
coordinate supplies for an open-to-the-public, 100 mile bike tour,
because such supplies, even if they include food, is essential to the
well-being, health, and safety of the riders. Can you use tactical
callsigns?

     Tactical callsigns are often used when working with other
agencies during an emergency, or during large public service
activities.  For example, during a running race, names like "Finish
line", "Mile 1", "Mile 2", "First Aid 1", "Water truck" quickly
identify each function and eliminate confusion when working with other
agencies, such as a fire department, where amateur callsigns are
meaningless.

     The FCC does not prohibit tactical call signs, as long as the
standard station identification rules are met (Section 97.84).
Standard procedure is to identify at the end of each communication
[the FCC's terminology] and at least every ten minutes during a
communication.

     Can you receive payment for your Amateur Radio assistance?

     No, the FCC regulations prohibit payments for the use of an
Amateur Radio station.  Specifically,

          97.112 No renumeration for use of station.
            (a)  An amateur station shall not be used to
                 transmit or receive messages for hire, nor
                 for communication for material compensation,
                 direct or indirect, paid or promised.

     Note that this rule does not prohibit you from being reimbursed
for incidental expenses unrelated to your radio communication.  If you
assist at a disaster scene 100 miles from your home, you are not
prohibited from receiving reimbursement for out of pocket travel
expenses unrelated to your radio communication.  For example, if as an
American Red Cross Disaster Services Volunteer, you are flown to the
scene of a disaster where you happen to use Amateur Radio as part of
the relief effort, you are not required to pay your own air fare.

     In summary, the FCC encourages activities that benefit the
public.  In the FCC letter regarding the NYC Marathon, FCC Private
Radio Bureau Chief Robert Foosaner wrote, "Please inform your group
that their licenses are not endangered by participating in the
marathon.  They have my support and my personal thanks for serving the
public."

     Public service activities are an important, if not the primary
method, of training for participation in actual disasters and
emergencies.  When the public needs your help, often in a life or
death emergency, they need trained assistance.  You would not want
untrained paramedics at an injury accident - nor do you want
inexperienced hams handling communications at a quake damaged
hospital.

Press use of Amateur Radio

     Both business use and broadcasting, which the FCC defines as "the
dissemination of radio communications intended to be received by the
public directly ...." are prohibited within the Amateur Radio Service.

     In general, the media may not directly use Amateur Radio to
collect information for their broadcasts.  However, there are two
important exceptions.

     First, anyone may listen to ham radio conversations.  In the
FCC's Report and Order 79-47, they wrote that it is okay for
broadcasters to retransmit Amateur Radio transmissions. The
broadcaster does not need permission of the FCC nor of the stations
involved.  This means that broadcasters were legal in retransmitting
live descriptions of earthquake destruction emanating from Mexico
City.

     Second, the FCC discussion in 79-47 wrote of a "rule of reason"
that applies in interpreting the prohibition on broadcasting and news
gathering.

          We note that a rule of reason applies when
          interpreting this emergency exception to the
          broadcast prohibitions in the Amateur Radio
          Service.  Thus, conveying news information directly
          relating to an unforeseen event which involves the
          safety of human life or the immediate protection of
          property falls within this rule of reason, if it
          cannot be transmitted by any means other than
          Amateur Radio because of the remote location of the
          originating transmission or because normal
          communications have been disrupted by earthquake,
          fire, flood, tornado, hurricane, severe storm or
          national emergency ...

     In spite of this opinion, the regulations explicitly prohibit
broadcast use and news gathering on the ham bands. The above quotation
recognizes, however, that there may be extremely rare instances that
warrant news gathering using Amateur Radio stations.

     Nevertheless, what you heard during certain recent disasters may
not have been legal, even under this opinion. Clearly, the
communications should relate to the actual disaster, and not the
coordination of media activities, such as scheduling reporters or
ordering equipment or food for a TV crew.  And remember, this rule of
reason applies in extremely rare cases only.

Alternatives to the Amateur Radio Service

     Running races and fire departments do not have "ham radio
problems" - they have communications problems.  To them, ham radio is
just a telephone.  They are asking for your help because they need
your expert assistance to solve a communications problem; that you use
ham radio frequencies to meet their need is only incidental to them.
At times, particularly when business-like functions are requested,
alternatives to the Amateur Radio Service may be more appropriate.

     When a group asks for a function that we can not legally perform
under current FCC regulations, we typically say we can not help them.
We then miss out on an important training opportunity and we diminish
our public service role in the eyes of our local community.

     But if we view ourselves as reliable communications problem
solvers, we must do better.  There is nothing in the rules prohibiting
us, if properly licensed, from using another radio service for the
communications that we are not authorized to perform.  Operational
techniques on frequency bands allocated to other services can be just
as professional and valuable as on the ham bands.

     At some events you need to keep in touch with a key group of
organizers, such as event directors, head of first aid, and so on.
One approach has been to have a ham tail them continuously and to
provide a radio when needed. Obviously, this is people intensive and a
more convenient solution would be to hand the key person a simple,
non-ham radio, hand held or beeper.

     Another example is that of the festival which needs to coordinate
ticket sales.  For these events, an alternative is to use business
radio service transceivers.

     Besides, the Citizen's Band, there are three other services that
could help.  Low cost, short range, 49 MHz FM handheld radios are
available from several suppliers. These radios cover 1/4 to 1/2 mile
with a clean FM signal and are useful for short range communications.

     The General Mobile Radio Service operates on 16 FM channels at
462 MHz and 467 MHz.  This service provides for both personal and
business communication using relatively low cost radios.

     Portable and mobile cellular radiotelephone equipment should not
be overlooked; anyone who can operate a telephone can use a cellular
radiophone.  Disadvantages are that cellular systems seldom work
outside metropolitan areas or in mountainous terrain, and they are
expensive.

     These alternate radio systems and other business systems should
be suggested to those who ask for functions inappropriate for the
Amateur Radio Service.  In some instances, these radios can be
purchased at low cost, provided by the sponsor of the event, or they
are available for rent or loan from various sources (See the telephone
book Yellow Pages).

Summary

     Amateur Radio serves an important role in emergency and public
service communications.  Contrary to common misconception, the FCC
regulations encourage public service and emergency communications by
the Amateur Radio Service.

     In some situations, misunderstandings about emergency
communications have reduced our effectiveness.  To do our best, we
must be familiar with the regulations and be ready to provide
assistance when called upon.

     We, as Amateur Radio operators, must continue to provide our
important public service or risk losing important public recognition,
and hence, frequency spectrum, and even new hams.  At a recent
licensing class, more than two-thirds of the students said their
primary reason for becoming a ham was because they wanted to help
their communities through public service and disaster assistance.  Our
public service also serves as a deterrent to local city councils who
wish to establish restrictive antenna ordinances.

     With the increasing use of cellular radio telephones, commercial
packet systems, wide spread availability of radios for rent, and
increased use of 800 MHz private, trunked radio systems by public
service agencies, we must be innovative in applying Amateur Radio, and
where legally necessary, non-Amateur Radio to communications problems;
we, as licensed Amateur Radio operators are expert communications
system designers.

     The days are long past when a hand held radio, or even a phone
patch, could impress your local police and fire officials into
incorporating ham radio in their disaster planning.  Today, these
planning officials have their own phone patches, their own cellular
radiotelephones, and are building packet systems on their public
safety frequencies.

     To meet today's challenges, we must work together as a skilled
team, to provide creative communications solutions, inventing both new
technologies and finding innovative uses for traditional systems, like
HF SSB, VHF FM, and ATV.

Acknowledgements

     I wish to thank the following individuals for their review of
this article:

     From the Santa Clara Valley Section:  Dave Larton, N6JQJ, Section
Training Coordinator and Asst. Section Manager, Sharon Moerner, N6MWD,
District Emergency Coordinator, Weo Moerner, WN6I, Jim Lomasney,
WA6NIL, Palo Alto Emergency Coordinator, Patty Winter, N6BIS, and Ted
Harris, N6IIU, Director of Disaster Services, Palo Alto Area Chapter
of the American Red Cross.

     I'd also very much like to express appreciation to Craig Smith,
N6ITW, District Emergency Coordinator for San Mateo County.

Sidebar Text Box

"But is this legal?"

     If you are in doubt as to the legality of a particular Amateur
Radio operation, the ARRL recommends contacting your local Section
Manager or other ARRL official.  He or she can provide an answer or
pass the question to the appropriate Amateur Radio advisor.
Contacting the FCC for an opinion is generally not recommended.

     The FCC prefers for the Amateur Radio Service to be self-
policing.  Writing to the FCC asking for a legal opinion is generally
the wrong way to approach your question and has, at times, resulted in
opinions developed without a full presentation of the facts.

     In one instance, a hypothetical question involving phone patches
was posed to two separate FCC offices:  Not surprisingly, the ham
received two contradictory opinions. Depending upon who you asked, you
could have created a new policy to which not even the FCC would agree
to!

References ----------

1.  "Happenings", QST, December 1985, pg 67
2.  "Washington Mailbox", QST, September 1985, pg 73
3.   The FCC Rule Book, ARRL, March 1987
4.  "Scanning Today", ed. by Robert Hanson, Popular Communications,
     November 1987, pg 8
5.  "Operation Vatican via ATV", Ted Harris, N6IIU, Worldradio,
     December 1987, pg 22
6.  "Washington Mailbox:  The Dos and Don'ts for Business
     Communications and Third-Party Messages", QST, March, 1985, pg 64
7.   The ARRL Operating Manual, editor Robert J.  Halprin, Chapter 14,
    "Emergency Communications", by Richard Regent, K9GDF, ARRL, 1987
8.  "League Lines", QST, May 1987, page 13 9.  Personal correspondence
     with one of the ham particpants.
10. "Washington Mailbox:  Ajax Halibut Company 'Run for the Halibut'
     Marathon", QST, September 1983, pg 65