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Licensee, Station WTTW(TV) 5400 North St. Louis Ave. Chicago, IL 60625 Dear Licensee:   xThis letter constitutes a NOTICE OF APPARENT LIABILITY FOR A FORFEITURE pursuant  xto Section 503(b) of the Communications Act of 1934, as amended (the "Act"), for violations of 47 U.S.C.  xMSection 399B and Section 73.621(e) of the Commission's Rules. This action is taken under authority delegated to the Chief, Mass Media Bureau, pursuant to Section 0.283(c)(3) of the Commission's Rules. x   xSection 399B of the Communications Act, as implemented by Section 73.621 of the Commission's  xRules, prohibits public broadcast stations from broadcasting advertisements. Advertisements are defined  xby the Communications Act as program material broadcast "in exchange for any remuneration" and  xintended to "promote any service, facility, or product" of forprofit entities. 47 U.S.C.  399B. Although  xjcontributors of funds to a noncommercial station may receive onair acknowledgements, the Commission  xLhas unequivocally stated that such acknowledgements may be made for identification purposes only and  xshould not promote the contributor's products, services, or business. Specifically, such announcements  xmay not contain comparative or qualitative descriptions, price information, calls to action, or inducements  S- xto buy, sell, rent or lease. See Public Notice, "In the Matter of the Commission Policy Concerning the  xNoncommercial Nature of Educational Broadcasting Stations," 7 FCC Rcd 827 (1986). In this case, we  xKreceived information suggesting that various announcements broadcast by your station, videotapes of which  xMwe previously provided to you, appear to promote the products, services or businesses of forprofit enterprises.   x In response to this information, we issued a letter of inquiry dated July 14, 1997. In your August  x22, 1997 reply, you contend that, with the exception of the announcement broadcast on behalf of Zenith,  x.none of the announcements in question violated the applicable statute or the relevant Commission rules.  xYou assert that the number, length, frequency and scheduling of the announcements at issue were at all  xLtimes consistent with Commission policy and case precedent on donor acknowledgements. Specifically,  x[you indicate that the announcements were uniformly thirty seconds or less in length, and were broadcast  xLno more than twice a day. You argue that, except for the Zenith announcement noted above, none of the"),**UU+"  x[cited announcements promote the relevant underwriters' products, services or businesses. In this regard,  x[you contend that they contain no comparative or qualitative descriptions, calls to action, inducements to  x[buy, or price information. Furthermore, you contend that because the announcements made on behalf of  S- xyA.G. Edwards and Sons, Inc. ("A.G. Edwards") and Prudential Securities ("Prudential") were not aired in  xexchange for monetary consideration, they cannot be deemed to violate Section 399B of the Act or the  S8-relevant Commission rules, even if found to be promotional in nature. 8 yO- xhԍYou explain that these announcements were "program underwriting credits" broadcast in conjunction with "Wall  x<Street Week with Louis Rukeyser," a program distributed nationally by Public Broadcasting Service ("PBS"), and  x: that no consideration was received by the station from the corporate underwriters for broadcasting the announcements.    xUpon careful consideration of the record in this case, taking into account your response, we find  xthat you did broadcast impermissible advertisements for the benefit of forprofit entities, in violation of  xSection 399B of the Communications Act, and Section 73.621(e) of the Commission's Rules. We note that,  xin your response, you conceded that the Zenith announcement was promotional and should not have been  x?broadcast. That announcement contained inappropriate text identifying favorable qualities of the  xyunderwriter's product, a remote control device, in which the device was described as rendering televisions  x"easier to control," and providing "colors more vivid," and "images more realistic than ever before."  xFurthermore, we find that the Amoco, Sun America and Prudential announcements, when considered in their entire context, are, in fact, promotional in nature, and constitute prohibited advertisements.   xIn this regard, we find that the Amoco announcement promoted the underwriter's product, Amoco  xpremium gasoline. In the announcement's storyline, a customer introduces the underwriter's product into  xan automobile, which thereupon revives, becoming animated dollfigures on its rear deck are depicted  x>bobbing their heads in apparent smiling approval, while the customer stomps her foot to background  xmusic. In response to our query, you explain that the dollfigures, in bobbing their heads, respond not  xto the product, but to the background music, "provoking an amazed reaction from the [customer] which  xis inconsistent with product approval." However, this explanation ignores other promotional elements of  xthe announcement, and seems implausible. In this case, the announcement contained both visual and aural  S- x!elements. The musical lyric in question directly accompanied the product's introduction into the  S- xautomobile, and its text, "can't get enough of that funky stuff," also appears to refer approvingly to the  x.product. Moreover, visual messages concerning the product were spliced between scenes of the revived  xautomobile storyline. Contrary to your assertion, the announcement conveyed more than the mere  xidentification or description of the underwriter's product to the viewer in a nonqualitative fashion. Rather,  xthe announcement, in its full context, appears to promote a favorable quality associated with a specific  x.product, Amoco premium gasoline, viz., that it will help revive your automobile, and is thus prohibited.  S- xIn this connection, we have found similar presentations to be qualitative and promotional. See, e.g., In  S- xre WNYETV, 7 FCC Rcd 6864 (1992) (where an announcement depicted the demonstration, use,  xconsumption, and customers' apparent satisfaction with an underwriter's products, the message was found to be qualitative and promotional).   "xWe also reject your argument that the Sun America announcement contained merely "factual"  xinformation about the underwriter and was therefore nonpromotional. In the first instance, the  x["factual[ity]," or truth, of underwriting text has no relevance to the analysis of whether such information  x=promotes as opposed to merely identifies a product, service or business. Moreover, even assuming that  xthe phrase "Sun America, because it's not just your retirement, it's your future," standing alone, should be"r#,C)C)UU$"  xdeemed acceptable as an established corporate slogan, that text was prefaced with a cautionary remark  x"calling to action" potential investors, i.e., "many Americans haven't saved enough to enjoy it [retirement].  xyThat's why there's Sun America . . . ." Consequently, the overall presentation was promotional in nature  S-and prohibited. See, e.g., Public Notice, supra.   ?xFinally, we find that the text of the Prudential announcement exceeds the bounds of our rules and  xpolicies governing underwriting credits by impermissibly "calling to action" potential investors and  S- xpromoting its favorable qualities, i.e., "[w]ith more than 5,600 financial advisers nationwide, Prudential  S- xySecurities can help you invest your money wisely." See, e.g., Penfold Communications, Inc., 8 FCC Rcd  x78 (MMB 1992) (where text reciting that "bank reaches out to the business community to deliver quality  Sp- x[financial services" was found promotional); cf. Xavier University, 5 FCC Rcd 4920 (1990) (broadcast of  xtext making reference to longevity of business or specific category of product or service not necessarily  S - xpromotional and within exercise of licensee's discretion).5X  yO - xԍWe accept your explanation that the text of the A.G. Edwards announcement, identifying the brokerage as  xJproviding "exceptional service," is an established corporate slogan that, employed in this context, should be deemed nonpromotional.5 We further reject your argument that because  xthe station received no payment for the broadcast of this announcement, it could not be deemed an  x"advertisement," as a matter of law, under Section 399B of the Act. Remuneration or consideration has  S - xbeen construed to include various forms. See, e.g., Fuqua Communications, Inc., 30 FCC 2d 94, 97  x(1971). In this case, you indicate that the announcement was broadcast as an "underwriting credit" on  xbehalf of PBS, who supplied the program "Wall Street Week with Louis Rukeyser." The "consideration"  xreceived by the station for broadcasting the announcement appears, in this case, to have been the program  xyitself. Although licensees are obligated to monitor the content of their own programming, and we caution  xthe station to take greater care to do so in the future, we take cognizance, as a mitigating factor, that the  xPrudential announcement was supplied by PBS, a national program supplier, and was not produced by the  x[station itself. Consequently, we will not consider the broadcast of this announcement in determining the forfeiture amount.   xAccordingly, we find that you have apparently violated: (1) Section 399B of the Communications  xAct and Section 73.621(e) of the Commission's Rules regarding permissible donor and underwriting  x]announcements on noncommercial educational stations, for the reasons set forth above. From the  xinformation that you have supplied, it appears that the announcements made on behalf of Zenith, Amoco,  xzand Sun America were broadcast a total of 181 times during the period January, 1996 through March,  x]1997. Accordingly, pursuant to Section 503(b) of the Communications Act of 1934, as amended,  xWindows to the World Communications, Inc., licensee of WTTW(TV), Chicago, Illinois, is hereby advised  xyof its apparent liability for a forfeiture of five thousand dollars ($5,000) for its apparent willful, repeated violations of 47 U.S.C. Section 399b and Section 73.621(e) of the Commission's Rules.   xIn assessing this monetary forfeiture, we have taken into account the nature, circumstances, extent  xand gravity of the violations, as well as the degree of culpability and the station's prior enforcement  xhistory. Section 503(b)(2)(D) of the Communications Act of 1934, as amended, 47 U.S.C. Sec.  xM503(b)(2)(D). In this connection, our prior letter of caution, in October, 1995, regarding the station's  xbroadcast of programming inconsistent with the Commission's noncommercial fundraising policy, warned  xLthat you should take greater care to "comply with the Commission's noncommercial rules and policies in  S"- xthe future." Given these circumstances, we believe that a forfeiture of $5,000 is appropriate. See, e.g.,  Sp#- x\Penfold Communications, Inc., DA 971740, __ FCC Rcd __ (MMB August 15, 1997) (forfeiture of $6,000 imposed against noncommercial licensee in case of repeated violation of Section 399B of the Act)."H$,C)C)UU%"Ԍ   NxIn regard to this forfeiture proceeding, you are afforded a period of thirty (30) days from the date  x=of this letter "to show, in writing, why a forfeiture penalty should not be imposed or should be reduced,  xor to pay the forfeiture. Any showing as to why the forfeiture should not be imposed or should be  xreduced shall include a detailed factual statement and such documentation and affidavits as may be  xpertinent." 47 C.F.R. Section 1.80(f)(3). Other relevant provisions of Section 1.80 are summarized in the attachment to this letter. x` `  hh@FEDERAL COMMUNICATIONS COMMISSION x` `  hh@Roy J. Stewart x` `  hh@Chief, Mass Media Bureau Enclosure cc: Lawrence M. Miller, Esq.  S- Katherine Lauderdale, Esq.hh  X%-  X(#P#Xj\  P6G; DXP#