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Federal Communications Commission
Washington, D.C. 20554
In the Matter of )
) File No. EB-04-KC-135
Paul D. Westcott ) NAL/Acct. No. 200532560001
RR1 Box 87A ) FRN 0007599210
Purdy, MO 65734 )
Licensee of Amateur Radio
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
November 30, 2004
By District Director, Kansas City Office, South Central Region,
1. In this Notice of Apparent Liability for Forfeiture
(``NAL''), we find Paul D. Westcott, licensee of Amateur Radio
Station KC0OAB, apparently liable for a monetary forfeiture in
the amount of $4,000. For the reasons stated below, we conclude
that Mr. Westcott apparently willfully and repeatedly failed to
respond to Commission correspondence requesting information about
his station pursuant to Section 308(b) of the Communications Act
of 1934, as amended (``Act'').1
2. In June 2004, the Enforcement Bureau (``Bureau'')
received numerous complaints that Mr. Westcott's Amateur station
KC0OAB operated 24 hours a day, seven days a week, and interfered
with Amateur communications due to an apparent lack of station
control.2 On June 21, 2004, the Bureau requested information
from Mr. Westcott regarding the complaints and the operation of
his station.3 After reviewing Mr. Westcott's response, the
Bureau issued a Warning Notice and Request for Additional
Information on September 2, 2004 (``Inquiry Letter'').4 U.S.
Postal Service records show that the Inquiry Letter was signed
for by Mr. Westcott on September 7, 2004. The Inquiry Letter
explained Mr. Westcott's obligations as a licensee to furnish the
information requested pursuant to Section 308(b) of the Act.
3. After receiving no response from Mr. Westcott, the
Bureau issued a ``Warning Notice¾Failure to Reply'' to Mr.
Westcott on October 18, 2004 (``Warning Notice'').5 U. S. Postal
Service records show that the Warning Notice was delivered to Mr.
Westcott's address of record on October 22, 2004. To date, Mr.
Westcott has not responded to either the Inquiry Letter or the
4. Section 403 of the Act authorizes the Commission to
institute on its own motion any inquiry into, inter alia, any
matter relating to the enforcement of the Act or the Commission's
rules.6 Section 308(b) provides that the Commission ``during the
term of any (such) licensees, may require from ...a licensee
further written statements of fact to enable it to determine
whether such original application should be granted or denied or
such license revoked . . .''7 Pursuant to that authority, the
Bureau ordered Mr. Westcott to submit a timely written response
to its Inquiry Letter and to provide the requested information.
The Bureau also issued a Warning Notice to Mr. Westcott of his
failure to respond to a Bureau inquiry. To this date, however,
Mr. Westcott has not filed the required response. A licensee
cannot ignore the directives in a Bureau inquiry letter.8 We,
therefore, conclude that Paul D. Westcott apparently willfully9
and repeatedly10 failed to respond to Commission correspondence.
5. The Commission has implemented its authority under
Section 503 of the Act by adopting forfeiture guidelines and
rules that establish uniform base forfeiture amounts for
violations.11 The Commission's Forfeiture Policy Statement sets
a base forfeiture amount of $4,000 for failure to respond to
Commission communications.12 The resulting delay in this case
has compromised the Bureau's ability to respond to the complaints
presented in an effective, appropriate and timely manner.
Accordingly, we find Mr. Westcott apparently liable for a
forfeiture in the amount of $4,000.
IV. ORDERING CLAUSES
6. Accordingly, IT IS ORDERED that, pursuant to Section
503(b) of the Communications Act of 1934, as amended,13 and
Section 1.80 of the Commission's Rules,14 Paul D. Westcott, is
hereby NOTIFIED of this APPARENT LIABILITY FOR FORFEITURE in the
amount of four thousand dollars ($4,000) for willfully and
repeatedly failing to respond in writing to Commission
7. IT IS FURTHER ORDERED that, pursuant to Section 1.80 of
the Commission's Rules, within thirty (30) days of the release of
this NOTICE OF APPARENT LIABILITY, Mr. Westcott SHALL PAY the
full amount of the proposed forfeiture or SHALL FILE a written
statement seeking reduction or cancellation of the proposed
8. Payment of the forfeiture must be made by check or
similar instrument, payable to the order of the Federal
Communications Commission. The payment must include the
NAL/Acct. Number and FRN referenced above. Payment by check or
money order may be mailed to Forfeiture Collection Section,
Finance Branch, Federal Communications Commission, P.O. Box
73482, Chicago, Illinois 60673-7482. Payment by overnight mail
may be sent to Bank One/LB 73482, 525 West Monroe, 8th Floor
Mailroom, Chicago, IL 60661. Payment by wire transfer may be
made to ABA Number 071000013, receiving bank Bank One, and
account number 1165259. Requests for payment of the full amount
of this NAL under an installment plan should be sent to: Chief,
Credit and Management Center, 445 12th Street, S.W., Washington,
9. The response, if any, to this NAL must be mailed to the
Kansas City Field Office, Federal Communications Commission, 520
NE Colbern Road, Lee's Summit, MO 64086, within thirty days of
the release of the NAL and MUST INCLUDE the NAL/Acct. No.
10. The Commission will not consider reducing or canceling
a forfeiture in response to a claim of inability to pay unless
the respondent submits: (1) federal tax returns for the most
recent three-year period; (2) financial statements prepared
according to generally accepted accounting practices (``GAAP'');
or (3) some other reliable and objective documentation that
accurately reflects the respondent's current financial status.
Any claim of inability to pay must specifically identify the
basis for the claim by reference to the financial documentation
11. IT IS FURTHER ORDERED that a copy of this NAL shall be
sent by Certified Mail, Return Receipt Requested, and regular
mail, to Paul D. Westcott, RR1 Box 87A, Purdy, MO 65734.
FEDERAL COMMUNICATIONS COMMISSION
Robert C. McKinney
Kansas City Office
South Central Region
147 U.S.C. § 308(b).
2Section 97.7 of the Commission's Rules, 47 C.F.R. §97.7,
requires each Amateur station to have a control operator when
3Letter from W. Riley Hollingsworth, Special Counsel, Enforcement
Bureau. June 21, 2004.
4Letter from W. Riley Hollingsworth, Special Counsel, Enforcement
Bureau. September 2, 2004.
5Letter from W. Riley Hollingsworth, Special Counsel, Enforcement
Bureau. October 18, 2004.
647 U.S.C. § 403.
747 U.S.C. § 308(b).
8See, e.g., World Communications Satellite System, Inc.,
Forfeiture Order, 19 FCC Rcd 2718 (EB 2004).
9Section 312(f)(1) of the Act, 47 U.S.C. § 312(f)(1), which
applies to violations for which forfeitures are assessed under
Section 503(b) of the Act, provides that ``[t]he term `willful',
when used with reference to the commission or omission of any
act, means the conscious and deliberate commission or omission of
such act, irrespective of any intent to violate any provision of
this Act . . . .'' See Southern California Broadcasting Co., 6
FCC Rcd 4387-88 (1991).
10The term ``repeated,'' when used with reference to the
commission or omission of any act, ``means the commission or
omission of such act more than once or, if such commission or
omission is continuous, for more than one day.'' 47 U.S.C. §
11See 47 C.F.R. § 1.80(b)(4) Note (``Guidelines for Assessing
Forfeitures, Section I - Base Amounts for Forfeitures''); see
also The Commission's Forfeiture Policy Statement and Amendment
of Section 1.80 of the Rules to Incorporate the Forfeiture
Guidelines, Notice of Proposed Rulemaking, 12 FCC Rcd 17087,
17113-15 (1997) (``Forfeiture Policy Statement''), recon. denied,
15 FCC Rcd 303 (1999).
1347 U.S.C. § 503(b).
1447 C.F.R. § 1.80.
15See 47 C.F.R. § 1.1914.