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                           Before the
                Federal Communications Commission
                     Washington, D.C. 20554



In the Matter of                 )
                                )    File No. EB-04-BS-111
Glenn A. Baxter                  )    NAL/Acct. No. 200532260001
RR 1  Box 776                    )    FRN 0013164975
Belgrade Lakes, ME 04918         )
                                )
Licensee of Amateur Radio        )
Station K1MAN


           NOTICE OF APPARENT LIABILITY FOR FORFEITURE

                                        Released:  June 7, 2005

By the District Director, Boston Office, Northeastern Region, 
Enforcement Bureau:

I.   INTRODUCTION

     1.   In this Notice of Apparent Liability for Forfeiture 
(``NAL''), pursuant to Section 503(b) of the Communications Act 
of 1934, as amended (the ``Act''),1we find Glenn A. Baxter, 
licensee of Amateur Radio Station K1MAN, apparently liable for a 
monetary forfeiture in the amount of twenty-one thousand dollars 
($21,000).  We conclude that Mr. Baxter apparently willfully and 
repeatedly interfered with ongoing communications of other 
stations in violation of Section 97.101(d) of the Commission's 
Rules (the ``Rules'')2.  We further conclude that Mr. Baxter 
apparently willfully and repeatedly transmitted communications in 
which he had a pecuniary interest in violation of Section 
97.113(a)(3) of the Rules. We find that Mr. Baxter apparently 
willfully and repeatedly failed to file requested information 
pursuant to an Enforcement Bureau (``Bureau'') directive.  We 
further find that Mr. Baxter apparently willfully engaged in 
broadcasting in violation of 97.113(b) of the Rules3 and 
apparently willfully failed to exercise control of his station in 
violation of Section 97.105(a) of the Rules.4  

II.  BACKGROUND

  2.      Mr. Baxter has a license to operate an amateur radio 
     station, call sign K1MAN.  Mr. Baxter also is executive 
     director of the American Amateur Radio Association 
     (``AARA''), which has a website at www.K1MAN.com.  Mr. 
     Baxter uses his amateur station to advertise his website, 
     which offers items for sale, including an annual newsletter 
     published by ``Glenn Baxter, K1MAN'' for forty-five (45) 
     dollars per year.  The website also provides a schedule of 
     K1MAN radio transmissions.

  3.      In response to numerous complaints of deliberate 
     interference caused by transmissions from Mr. Baxter's 
     Amateur station K1MAN to ongoing radio communications of 
     other stations, including stations participating in the 
     Salvation Army Team Emergency Radio Net, the Bureau issued a 
     Warning Notice to Mr. Baxter on September 15, 2004.  The 
     Bureau requested information from Mr. Baxter with regard to 
     the method of station control and what action, if any, was 
     being taken in response to the complaints of interference.5  
     The Warning Notice also reminded Mr. Baxter that the Bureau 
     previously warned him in a letter dated April 14, 2004 that 
     enforcement action would be taken if he failed to correct 
     the deliberate interference being caused by his station.6  
     The April 14, 2004 letter also cautioned Mr. Baxter that if 
     he continued to use the station for pecuniary interest by 
     advertising his website he could be subject to further 
     enforcement action.  

  4.      By letter dated October 14, 2004, Mr. Baxter responded 
     to the September 15, 2004 Warning Notice stating ``[n]o 
     corrective actions are necessary at K1MAN'' and ``[n]o 
     changes are needed with regard to station control which is 
     in full compliance with all FCC rules.''  Mr. Baxter's 
     letter further stated that ``K1MAN is in full compliance 
     with all FCC rules, state laws, and federal laws.  I 
     encourage you to take `enforcement actions' and look forward 
     to seeing you in court (s).''7  Mr. Baxter's response did 
     not provide the required information requested regarding 
     station control.

  5.      The Bureau issued a second Warning Notice to Mr. Baxter 
     on October 29, 2004.8 The Warning Notice explained that Mr. 
     Baxter's response to the September 15, 2004, Warning Notice 
     was insufficient and explained Mr. Baxter's obligations as a 
     licensee to furnish the information requested by the Bureau.  
     The Bureau provided Mr. Baxter an additional twenty days to 
     provide the specific information requested.  The Warning 
     Notice also indicated that the Bureau had received two 
     additional complaints of deliberate interference caused by 
     Mr. Baxter's station.  The Bureau requested information from 
     Mr. Baxter regarding the identity of the control operator 
     and method of station control for station K1MAN on the dates 
     and times specified in the recently-received interference 
     complaints.  

  6.      Mr. Baxter responded by letter dated November 2, 2004, 
     stating that ``[m]y letter to you dated 14 October 2004 in 
     response to your letter to me dated 15 September 2004 
     provided all the information required by FCC rules and by 
     federal law.''9  Mr. Baxter did not provide any information 
     regarding the identity of the control operator or the method 
     of station control.

  7.      On November 25, 2004, Commission personnel monitored 
     Mr. Baxter's Amateur station on 14.275 MHz between 9:21 a.m. 
     and 2:12 p.m. EST.  During that time, Mr. Baxter's station 
     transmitted numerous on-the-air references to his web page 
     at www.K1MAN.com.  On November 27, 2004, Mr. Baxter's 
     Amateur station K1MAN began transmitting on top of ongoing 
     communications at 5:54 p.m. EST on 3.890 MHz, disrupting the 
     communications by the other licensees.

  8.      On November 30, 2004, agents from the FCC's Boston 
     Office conducted an inspection of Mr. Baxter's Amateur 
     station K1MAN.  The method of station control appeared to be 
     a telephone line connected to an interface board, which was 
     connected to the transmitter.  Mr. Baxter claimed that he 
     monitored the station from a mobile receiver when not at the 
     transmitter and that he could control the transmitter 
     through a land-line or cellular phone.  During the 
     inspection, Mr. Baxter demonstrated that he could control 
     the transmitter.

  9.      On December 1, 2004, on the frequencies 3.975 MHz and 
     14.275 MHz, Mr. Baxter's station K1MAN transmitted a pre-
     recorded program lasting nearly seventy minutes, which 
     consisted of an interview by Mr. Baxter with Mr. Jeff Owens.  
     During the broadcast, Mr. Baxter explained that Baxter 
     Associates was a firm that engaged in ``management 
     consulting, executive search and executive career 
     management.''  The program consisted of a lengthy broadcast 
     of the telephone interview with Mr. Owens.  Mr. Baxter 
     explained the fees involved, how Mr. Owens could invest in 
     franchises of Baxter Associates, and how Mr. Baxter planned 
     to market the franchises of Baxter Associates.  Nothing in 
     the program related to Amateur radio and no station call 
     sign was given until the conclusion of the seventy-minute 
     program.

  10.     On December 8, 2004, FCC agents found that Baxter's 
     station K1MAN commenced transmitting at 7:10 p.m. EST on top 
     of existing radio communications on 3.890 MHz.  On December 
     19, 2004, from 5:44 p.m. to 6:30 p.m. EST, on frequency 
     3.975 MHz, Mr. Baxter's Amateur station K1MAN broadcast  
     transmissions of an apparently defective pre-recorded audio 
     tape, which resulted in the repeated transmission of a nine-
     word phrase, and segments thereof, without any intervention 
     of a control operator and without the identification of the 
     station's call sign.  Mr. Baxter's Amateur station went off 
     the air abruptly at 6:30 p.m. EST in mid-sentence.

  11.     On March 30, 2005, monitoring personnel observed 
     station K1MAN advertising the www.K1MAN.com web site at 
     approximately 7:19, 7:28, 7:33 and 8:05 P.M. EST on 3.890 
     MHz.  On March 31, 2005, at 7:28 P.M. EST, monitoring 
     personnel observed transmissions from station K1MAN begin on 
     top of existing communications on 3.890 MHz. 

III.      DISCUSSION

  12.     Section 503(b) of the Act provides that any person who 
     willfully or repeatedly fails to comply substantially with 
     the terms and conditions of any license, or willfully or 
     repeatedly fails to comply with any of the provisions of the 
     Act or of any rule, regulation or order issued by the 
     Commission there under, shall be liable for a forfeiture 
     penalty.  The term "willful" as used in Section 503(b) of 
     the Act has been interpreted to mean simply that the acts or 
     omissions are committed knowingly.10  The term ``repeated'' 
     means the commission or omission of such act more than once 
     or for more than one day.11 

  13.     Section 97.101(d) of the Rules states that ``[n]o 
     amateur operator shall willfully or maliciously interfere 
     with or cause interference to any radio communication or 
     signal.''12  On November 27, 2004, December 8, 2004, and 
     March 31, 2005, Baxter's Amateur station K1MAN commenced 
     transmitting on top of existing communications on 3.890 MHz 
     in apparent willful and repeated violation of 97.101(d) of 
     the Commission's rules. 

  14.     Section 97.113(a)(3) of the Rules prohibits an Amateur 
     station from transmitting any communications in which the 
     station licensee or control operator has a pecuniary 
     interest.  On November 25, 2004 and March 30, 2005, Mr. 
     Baxter's station repeatedly transmitted references to his 
     website, which offers various products for sale, including a 
     monthly newsletter published by Glenn Baxter and offered for 
     sale for forty-five dollars per year.  In addition, on 
     December 1, 2004, Station K1MAN transmitted a seventy-minute 
     interview with a person who was considering whether to 
     retain Baxter Associates, an employment-search firm owned by 
     Mr. Baxter.  During the transmission, Mr. Baxter discussed 
     fees, investments, and franchising opportunities.  We find 
     that Mr. Baxter apparently willfully and repeatedly violated 
     Section 97.113(a)(3) of the Rules on each of these occasions 
     by transmitting communications regarding matters in which he 
     has a pecuniary interest. 

  15.     Section 308(b) of the Act provides that the Commission 
     ``during the term of any (such) licenses, 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 . . . .''13  
     Although Mr. Baxter replied in part to the Bureau's demand 
     for information in the Warning Notices dated September 15, 
     2004 and October 29, 2004, Mr. Baxter failed to provide 
     information regarding how the station is controlled and the 
     identity of the control operator.  Mr. Baxter's statements 
     that ``[n]o corrective actions are necessary'' and ``[n]o 
     changes are needed with regard to station control'' are 
     insufficient.  We therefore conclude that Glenn A. Baxter 
     apparently willfully and repeatedly failed to comply with a 
     Bureau directive to file information regarding control of 
     Station K1MAN.  

  16.     Section 97.113(b) of the Rules prohibits, with limited 
     exceptions not applicable here, an Amateur station from 
     engaging in any form of broadcasting or transmitting one-way 
     transmissions. Section 97.3(a)(10) of the Rules defines 
     broadcasting as ``transmissions intended for reception by 
     the general public.'' 14  We find that the pre-recorded 
     seventy-minute interview with a person interested in 
     retaining Baxter Associates, during which there was no 
     station identification, constitutes a ``broadcast'' and an 
     impermissible one-way transmission.  Therefore, Mr. Baxter 
     apparently willfully violated Section 97.113(b) of the 
     Rules.

  17.     Section 97.105(a) of the Rules provides that the 
     control operator must ensure the proper operation of the 
     station.15  On December 19, 2004, station K1MAN repeated the 
     same pre-recorded phrase, and segments thereof, for 45 
     minutes on 3.975 MHz after which the transmissions ended 
     abruptly in mid-sentence without the station identification 
     required by Section 97.119(a) of the Rules.16  The 
     continuous transmissions of the same pre-recorded phrase and 
     segments thereof, and the abrupt ending of those 
     transmissions in mid-sentence without identification, 
     suggests that Mr. Baxter did not exercise control of his 
     station.  We conclude that Mr. Baxter apparently willfully 
     violated Section 97.105(a) of the Rules. 

  18.     Pursuant to The Commission's Forfeiture Policy 
     Statement and Amendment of Section 1.80 of the Rules to 
     Incorporate the Forfeiture Guidelines ("Forfeiture Policy 
     Statement"), and Section 1.80 of the Rules, the base 
     forfeiture amount is $7,000 for willful or malicious 
     interference, $3,000 for failure to file required 
     information, and $3,000 for violation of transmitter 
     control. 17  There are no base forfeiture amounts for 
     violations of the rules prohibiting broadcasting or 
     pecuniary interest in Part 97 of the Commission's rules.  We 
     conclude, however, that violations of the Part 97 rules 
     prohibiting broadcasting and the transmission of any 
     communication in which the operator has a pecuniary interest 
     are similar to violations of the Commission's requirements 
     pertaining to broadcasting of lotteries and contests, which 
     carry a base forfeiture amount of $4,000 for each such 
     violation.18  In assessing the monetary forfeiture amount, 
     we must also take into account the statutory factors set 
     forth in Section 503(b)(2)(D) of the Act, which include the 
     nature, circumstances, extent, and gravity of the 
     violations, and with respect to the violator, the degree of 
     culpability, and history of prior offenses, ability to pay, 
     and other such matters as justice may require.19  Applying 
     the Forfeiture Policy Statement, Section 1.80, and the 
     statutory factors, a $21,000 forfeiture is warranted.

IV.  ORDERING CLAUSES

  19.     Accordingly, IT IS ORDERED that, pursuant to Section 
     503(b) of the Communications Act of 1934, as amended,20 and 
     Section 1.80 of the Commission's Rules,21 Glenn A. Baxter, 
     is hereby NOTIFIED of this APPARENT LIABILITY FOR FORFEITURE 
     in the amount of twenty-one thousand dollars ($21,000) for 
     willfully and repeatedly failing to furnish information 
     requested by the Bureau, willful and repeated violation of 
     Section 97.101(d) of the Rules, willful violation of Section 
     97.105(a) of the Rules, willful and repeated violation of 
     Section 97.113(a)(3) of the Rules, and willful violation of 
     Section 97.113(b) of the Rules.

  20.     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. Baxter 
     SHALL PAY the full amount of the proposed forfeiture or 
     SHALL FILE a written statement seeking reduction or 
     cancellation of the proposed forfeiture.

  21.     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. No. and FRN No. referenced above. Payment 
     bycheck or money order may be mailed to Federal 
     Communications Commission, P.O. Box358340,Pittsburgh, PA 
     15251-8340. Payment by overnight mail may be sent toMellon 
     Bank/LB358340,500 Ross Street, Room 1540670, Pittsburgh, 
     PA 15251. Payment by wire transfer may be made to ABA 
     Number043000261, receiving bankMellon Bank, and account 
     number911-6106.

  22.     The response, if any, must be mailed to Federal 
     Communications Commission, Enforcement Bureau, Northeast 
     Region, Boston Office, 1 Batterymarch Park, Quincy, MA 
     02169-7448 within thirty (30) days from the release date of 
     this Notice of Apparent Liability for Forfeiture and must 
     include the NAL/Acct. No. referenced in the caption.  

  23.     The Commission will not consider reducing or canceling 
     a forfeiture in response to a claim of inability to pay 
     unless the petitioner 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 petitioner's 
     current financial status.  Any claim of inability to pay 
     must specifically identify the basis for the claim by 
     reference to the financial documentation submitted.  

  24.     Requests for payment of the full amount of this Notice 
     of Apparent Liability for Forfeiture under an installment 
     plan should be sent to: Chief, Revenue and Receivables 
     Operations Group, 445 12th Street, S.W., Washington, D.C. 
     20554.22

  25.     IT IS FURTHER ORDERED that a copy of this NAL shall be 
     sent by Certified Mail, Return Receipt Requested, and 
     regular mail, to Glenn A. Baxter, at his address of record. 


                                FEDERAL COMMUNICATIONS 
COMMISSION



                                Dennis V. Loria
                                District Director
                                Boston Office
                                Northeastern Region
                                Enforcement Bureau

_________________________

147 U.S.C. 503(b).
247 C.F.R. 97.101(d).
347 C.F.R.  97.113(a)(3), 97.113(b).
447 C.F.R. 97.105(a).
5Letter from W. Riley Hollingsworth, Special Counsel, Enforcement 
Bureau, September 15, 2004.
6The April 14, 2004 letter was a follow-up to letters dated 
January 29, 2002 and March 4, 2003.  In the January 29, 2002 
letter, the Bureau detailed numerous complaints that were 
received alleging rule violations by Mr. Baxter's station.  The 
letter advised Mr. Baxter about the Commission's rules regarding 
interference, station control, broadcasting, and pecuniary 
interest.  The March 4, 2003 letter advised Mr. Baxter that the 
Bureau continued to receive complaints about his station's 
operation, indicating that he had not corrected the problems 
outlined in the January 29, 2002 letter.
7Letter from Glenn A. Baxter, October 14, 2004.
8Letter from W. Riley Hollingsworth, Special Counsel, Enforcement 
Bureau, October 29, 2004.
9Letter from Glenn A. Baxter, November 2, 2004.
10Section 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 or any rule or regulation of the Commission authorized 
by this Act...."  See Southern California Broadcasting Co., 6 FCC 
Rcd 4387 (1991).
11Section 312(f)(2) of the Act, 47 U.S.C.  312(f)(2), which also 
applies to violations for which forfeitures are assessed under 
Section 503(b) of the Act, provides that "[t]he 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.'' 
12Section 97.101(b) provides that each station licensee must 
cooperate in selecting transmitting channels and in making the 
most effective use of the amateur service frequencies.  The rule 
further provides that no frequency will be assigned for the 
exclusive use of any station.  See 47 C.F.R.  97.101(b).  
Because amateur radio station licensees share frequencies, the 
prohibition against willful or malicious interference is 
essential to the viability of amateur radio.
1347 U.S.C.  308(b).  
1447 C.F.R. 97.3(a)(10).
1547 C.F.R.  97.105.  Section 97.7 of the Rules requires each 
Amateur station to have a control operator when transmitting.  47 
C.F.R.  97.7.  Pursuant to Sections 97.103(a) and 97.103(b), the 
station licensee is responsible for the proper operation of the 
station in accordance with the FCC rules, and the FCC will 
presume that the station licensee is also the control operator, 
unless documentation to the contrary is in the station records.   
Mr. Baxter is the licensee of Station K1MAN and there is no 
evidence in the Commission's records that Mr. Baxter has 
designated another control operator.
1647 C.F.R. 97.119.
1712 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999); 
47 C.F.R. 1.80.
18Id.
1947 U.S.C.  503(b)(2)(D).
2047 U.S.C.  503(b).
2147 C.F.R.  1.80.
2247 C.F.R.  1.1914.