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Federal Communications Commission
Washington, D.C. 20554
In the Matter of
Ora Roberts Smallwood, III File Number: EB-06-NF-048
Licensee of WCRR (AM) NAL/Acct. No.: 200732640001
Rural Retreat, Virginia FRN: 8733727
Facility ID No. 27190
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Released: October 20, 2006
By the Resident Agent, Norfolk Office, South Central Region, Enforcement
1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
that Ora Roberts Smallwood, III, the licensee of AM radio station
WCRR in Rural Retreat, Virginia, apparently willfully violated
Sections 11.35 and 73.3526 of the Commission's Rules ("Rules") by
failing to maintain operational receiving equipment for required
Emergency Alert System ("EAS") monitoring functions and by failing to
make available a complete public inspection file. We conclude,
pursuant to Section 503(b) of the Communications Act of 1934, as
amended ("Act"), that Mr. Smallwood is apparently liable for a
forfeiture in the amount of eighteen thousand dollars ($18,000).
2. On June 22, 2006, an agent from the Commission's Norfolk Office of
the Enforcement Bureau ("Norfolk Office") conducted a main studio
inspection of radio station WCRR in Rural Retreat, Virginia during
normal business hours. WCRR's station manager identified a portable
receiver and a rack mounted receiver as the station's EAS Attention
receiving equipment. The portable receiver was inoperative, but this
fact or the date of the malfunction was not noted in any logs. The
agent noticed that the station's rack mounted receiver was not
connected to the AC outlet, but the receiver was still inoperative
after reconnecting its power cord. Furthermore, there were no records
to indicate that the station had ever received required Weekly or
Monthly EAS Tests during the year 2006. Also, in response to a request
to inspect the station's public inspection file, the station manager
was unable to make the file or any of the documents required to be
kept in the file available. The station manager stated that Mr.
Smallwood probably knew the whereabouts of the file.
3. On or about June 29, 2006, Mr. Smallwood left a voice message for the
agent in the Norfolk Office. He did not deny any of the violations
found at the station, did not provide an explanation of the
whereabouts of the station's public file, and requested leniency in
any possible enforcement actions.
4. 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 thereunder, shall be liable for a forfeiture
penalty. The term "willful" as used in Section 503(b) has been
interpreted to mean simply that the acts or omissions are committed
5. Section 11.35(a) of the Rules states that Broadcast stations are
responsible to ensure that EAS Encoders, EAS Decoders and Attention
signal generating and receiving equipment used as part of the EAS are
installed so that the monitoring and transmitting functions are
available during the times the stations are in operation. On June 22,
2006, neither of station WCRR's EAS receivers were operative, so the
station had no way to monitor or receive EAS messages. There were no
records to indicate that the station had ever received required Weekly
or Monthly EAS Tests during the year 2006. There were also no records
documenting when the EAS receivers became inoperative.
6. Section 73.3526(a)(2) of the Rules states that every licensee of an
AM station in the commercial broadcast services shall maintain a
public inspection file containing the material, relating to that
station, described in paragraphs (e)(1) through (e)(10) and paragraph
(e)(13) of this section. On June 22, 2006, in response to a request to
inspect the public file during normal business hours, the station
manager was unable to make the file or any of the documents required
to be maintained in the file available. There was no evidence that the
station maintained a public inspection file.
7. Based on the evidence before us, we find that Mr. Smallwood
apparently willfully violated Sections 11.35 and 73.3526 of the
Rules by failing to maintain operational EAS equipment and by failing
to make available a complete public inspection file.
8. 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 for violation of public inspection file
requirements is $10,000 and the base forfeiture amount for violation
of EAS equipment requirements is $8,000. 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. Applying the Forfeiture Policy Statement, Section 1.80,
and the statutory factors to the instant case, we conclude that Mr.
Smallwood is apparently liable for a $18,000 forfeiture.
IV. ORDERING CLAUSES
9. Accordingly, IT IS ORDERED that, pursuant to Section 503(b) of the
Communications Act of 1934, as amended, and Sections 0.111, 0.311,
0.314 and 1.80 of the Commission's Rules, Ora Roberts Smallwood, III
is hereby NOTIFIED of this APPARENT LIABILITY FOR A FORFEITURE in the
amount of eighteen thousand dollars ($18,000) for violation of
Sections 11.35 and 73.3526 of the Rules.
10. IT IS FURTHER ORDERED that, pursuant to Section 1.80 of the
Commission's Rules within thirty days of the release date of this
Notice of Apparent Liability for Forfeiture, Ora Roberts Smallwood,
III SHALL PAY the full amount of the proposed forfeiture or SHALL FILE
a written statement seeking reduction or cancellation of the proposed
11. 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 by check or money order may be mailed to Federal
Communications Commission, P.O. Box 358340, Pittsburgh, PA
15251-8340. Payment by overnight mail may be sent to Mellon
Bank /LB 358340, 500 Ross Street, Room 1540670, Pittsburgh, PA
15251. Payment by wire transfer may be made to ABA Number 043000261,
receiving bank Mellon Bank, and account number 911-6106.
12. The response, if any, must be mailed to Federal Communications
Commission, Enforcement Bureau, Norfolk Resident Agent Office, 1457
Mount Pleasant Road., Suite 113, Chesapeake, Virginia 23322 and must
include the NAL/Acct. No. referenced in the caption.
13. 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.
14. Requests for payment of the full amount of this Notice of Apparent
Liability for Forfeiture under an installment plan should be sent to:
Associate Managing Director, Financial Operations, 445 12th Street,
S.W., Room 1A625, Washington, D.C. 20554.
15. IT IS FURTHER ORDERED that a copy of this Notice of Apparent Liability
for Forfeiture shall be sent by Certified Mail, Return Receipt
Requested, and regular mail, to Ora Roberts Smallwood, III, at his
address of record.
FEDERAL COMMUNICATIONS COMMISSION
Norfolk Resident Office
South Central Region
47 C.F.R. SS 11.35, 73.3526.
47 U.S.C. S 503(b).
Section 312(f)(1) of the Act, 47 U.S.C. S 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).
12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999); 47 C.F.R.
47 U.S.C. S 503(b)(2)(D).
47 U.S.C. S 503(b), 47 C.F.R. SS 0.111, 0.311, 0.314, 1.80, 11.35,
See 47 C.F.R. S 1.1914
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Federal Communications Commission
Federal Communications Commission