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Federal Communications Commission
Washington, D.C. 20554
In the Matter of ) File No. EB-03-TS-144
Blackstone~NEY ) NAL/Acct. No. 200432100013
Ultrasonics, Inc. ) FRN # 0011217999
Adopted: August 5, 2004 Released: August 10,
By the Chief, Enforcement Bureau:
1. In this Order, we adopt the attached Consent Decree
entered into between the Enforcement Bureau and Blackstone~NEY
Ultrasonics, Inc. (``Blackstone~NEY''). The Consent Decree
terminates an investigation into Blackstone~NEY's compliance with
the equipment requirements set forth in Parts 2 and 18 of the
Commission's Rules (``Rules'') with respect to certain ultrasonic
cleaning devices manufactured and marketed by Blackstone~NEY.
2. The Enforcement Bureau and Blackstone~NEY have
negotiated the terms of a Consent Decree that would resolve this
matter and terminate the investigation. A copy of the Consent
Decree is attached hereto and incorporated by reference.
3. Based on the record before us, we conclude that no
substantial or material questions of fact exist with respect to
this matter as to whether Blackstone~Ney possesses the basic
qualifications, including those related to character, to hold or
obtain any FCC license or authorization.
4. After reviewing the record and the terms of the Consent
Decree, we believe that the public interest will be served by
adopting the Consent Decree and terminating the investigation.
5. Accordingly, IT IS ORDERED that, pursuant to Section
4(i) of the Communications Act, as amended,1 and Sections 0.111
and 0.311 of the Rules,2 the Consent Decree attached to this
Order IS ADOPTED.
6. IT IS FURTHER ORDERED that the Enforcement Bureau's
investigation of Blackstone~NEY IS TERMINATED.
7. IT IS FURTHER ORDERED that Blackstone~NEY Ultrasonics,
Inc. shall make its voluntary contribution to the United States
Treasury, as specified in the Consent Decree, by mailing a check
or similar instrument, payable to the order of the Federal
Communications Commission, to the Forfeiture Collection Section,
Finance Branch, Federal Communications Commission, P.O. Box
73482, Chicago, Illinois 60673-7482. The payment should note the
referenced NAL/Acct. No. and FRN.
8. IT IS FURTHER ORDERED that a copy of this Order and
Consent Decree shall be sent by first class mail and certified
mail, return receipt requested, to Eugene Phaneuf, President,
Blackstone~NEY Ultrasonics, Inc., 9 North Main Street, Jamestown,
N.Y., 14701, and to Shirley S. Fujimoto, Esq., McDermott, Will &
Emery, LLP, 600 Thirteenth Street, N.W., Washington, D.C., 20005.
FEDERAL COMMUNICATIONS COMMISSION
David H. Solomon
Chief, Enforcement Bureau
The Enforcement Bureau (``Bureau'') of the Federal
Communications Commission (``Commission'') and Blackstone~NEY
Ultrasonics, Inc. (``Blackstone~NEY'') hereby enter into this
Consent Decree resolving possible violations of Parts 2 and 18 of
the Commission's Rules concerning certain ultrasonic cleaning
devices manufactured and marketed by Blackstone~NEY.
1. In June 2003, Blackstone~NEY, a manufacturer of
ultrasonic cleaning devices for use in industrial environments,
reported to the Bureau efforts to evaluate the compliance of its
product line with the requirements of Part 18 of the Commission's
Rules. In response to this disclosure, the Bureau initiated an
investigation into Blackstone~NEY's compliance with Parts 2 and
18 of the Commission's Rules with respect to the following models
of ultrasonic cleaning devices manufactured and sold between
March 1, 2002 and December 31, 2003:
25 kHz Neptune Family
40 kHz Neptune Family
25 kHz Neptune B Family
40 kHz Neptune B Family
25 kHz Dual Neptune, Y chassis
40 kHz Dual Neptune, Y chassis
25 kHz Neptune on a plate, G chassis
40 kHz Neptune on a plate, G chassis
25 kHz Neptune High Power
40 kHz Neptune High Power
40 kHz sweepSONIK 2D Family
72 kHz sweepSONIK 2D Family
104 kHz sweepSONIK 2D Family
132 kHz microSONIK
40 kHz proSONIK 2
multiSONIK, 3 frequency
multiSONIK, 4 frequency
multiSONIK 2, 6 frequency
multiSONIK 2, 7 frequency
2. For the purposes of this Consent Decree the following
definitions shall apply:
2)a. ``Commission'' or ``FCC'' means the Federal
2)b. ``Bureau'' means the Enforcement Bureau of the
2)c. ``Blackstone~NEY'' means Blackstone~NEY
Ultrasonics, Inc., its subsidiaries, affiliates and any
successors or assigns;
2)d. ``Parties'' means Blackstone~NEY and the Bureau;
2)e. ``Subject Devices'' means those ultrasonic
cleaning devices identified in paragraph 1 above.
2)f. ``Adopting Order'' means an order of the Bureau
adopting the terms and conditions of this Consent Decree;
2)g. ``Effective Date'' means the date the Adopting
Order is released by the Bureau;
2)h. ``Rules'' means the Commission's Rules found in
Title 47 of the Code of Federal Regulations; and
2)i. ``Act'' means the Communications Act of 1934, as
amended, 47 U.S.C. §§ 151 et seq.
Terms of Settlement
3. The Parties agree that the provisions of this Consent
Decree shall be subject to final approval by the Bureau by
incorporation of such provisions by reference in the Adopting
4. The Parties agree that this Consent Decree shall become
binding on the Parties on the Effective Date. Upon release, the
Adopting Order and this Consent Decree shall have the same force
and effect as any other final order of the Commission and any
violation of the terms or conditions of this Consent Decree shall
constitute a violation of a Commission order.
5. Blackstone~NEY acknowledges that the Bureau has
jurisdiction over the matters contained in this Consent Decree
and the authority to enter into and adopt this Consent Decree.
6. The Parties waive any rights they may have to seek
administrative or judicial reconsideration, review, appeal, or
stay, or to otherwise challenge or contest the validity of this
Consent Decree and the Adopting Order, provided that the Adopting
Order adopts this Consent Decree without change, addition or
7. Blackstone~NEY waives any rights it may have under any
provision of the Equal Access to Justice Act, 5 U.S.C. § 504 and
47 C.F.R. § 1.1501 et seq., relating to the matters discussed in
this Consent Decree.
8. The Parties agree that this Consent Decree does not
constitute either an adjudication on the merits or a factual or
legal finding or determination of any compliance or noncompliance
with the Act or the Rules. The Parties further agree that this
Consent Decree is for settlement purposes only and that by
agreeing to this Consent Decree, Blackstone~NEY does not admit or
deny any liability for violating the Act or the Rules in
connection with the matters that are the subject of this Consent
9. In express reliance on the covenants and
representations in this Consent Decree, the Bureau agrees to
terminate its investigation into whether Blackstone~NEY may have
violated the Act or the Rules with respect to any ultrasonic
cleaning devices manufactured or distributed before the effective
date of this Consent Decree.
10. Blackstone~NEY represents that every model of
ultrasonic cleaning device manufactured after December 31, 2003,
is in full compliance with the technical requirements set forth
in the Commission's Rules and agrees that all future models will
be in full compliance with the Commission's Rules.
11. Blackstone~NEY will implement a Federal Communications
Commission Regulatory Compliance Plan (``RCP''). The RCP, which
is attached hereto and incorporated herein, will include
Blackstone~NEY's appointment of a regulatory compliance officer
charged with oversight of personnel responsible for ensuring that
ultrasonic cleaning devices comply with all applicable Commission
Rules prior to distribution. Blackstone-NEY will maintain its
RCP for twenty-four (24) months from the Effective Date of this
12. Blackstone~NEY agrees to resolve all complaints of
harmful interference, as defined in Part 18 of the Commission's
Rules, from the Subject Devices. To the extent that Blackstone
receives any complaints or reports of harmful interference from
the Subject Devices, Blackstone will submit reports to the Bureau
on a quarterly basis, beginning three (3) months from the
Effective Date of this Consent Decree and continuing for twenty-
four (24) months from the Effective Date of this Consent Decree,
detailing the complaints and the steps taken to resolve the
13. The Parties acknowledge and agree that this Consent
Decree shall constitute a final and binding settlement between
Blackstone~NEY and the Bureau regarding possible violations of
the Act and the Rules with respect to any ultrasonic cleaning
devices manufactured or sold by Blackstone~NEY prior to the
Effective Date of this Consent Decree. In consideration for
termination by the Bureau of its investigation into whether
Blackstone~NEY may have violated the Act or the Rules with
respect to any ultrasonic cleaning devices manufactured or sold
by Blackstone~NEY prior to the Effective Date of this Consent
Decree and in accordance with the terms of this Consent Decree,
Blackstone~NEY agrees to the terms set forth herein.
14. The Bureau agrees that it will not entertain, or
institute on its own motion, any new proceeding, formal or
informal, take any action on its own motion, or recommend to the
full Commission any forfeiture or other sanction, against
Blackstone~NEY for any alleged violation of the Act or the Rules
with respect to any ultrasonic cleaning device manufactured or
sold by Blackstone~NEY prior to the Effective Date of this
Consent Decree. Nothing in this Consent Decree shall prevent the
Bureau from instituting new investigations or enforcement
proceedings against Blackstone~NEY in the event of any alleged
future misconduct for violation of this Consent Decree or for
violation of the Act and the Rules consistent with the provisions
of this Consent Decree.
15. The Parties agree that each is required to comply with
each individual condition of this Consent Decree. Each specific
condition is a separate condition of the Consent Decree as
approved. To the extent that Blackstone~NEY fails to satisfy any
condition, in the absence of Commission alteration of the
condition, it will be deemed noncompliant and may be subject to
possible future enforcement action with respect to such failure
to satisfy the condition.
16. The Parties agree that any provision of this Consent
Decree which conflicts with any subsequent rule, order of general
applicability or other decision of general applicability adopted
by the Commission will be superseded by such Commission rule,
order or other decision.
17. Blackstone~NEY agrees to make a voluntary contribution
to the United States Treasury in the amount of seventy-five
thousand dollars ($75,000) within thirty (30) days of the
Effective Date. Such contribution shall be made, without further
protest or recourse, by credit card through the Commission's Debt
and Credit Management Center at (202) 418-1995, or by mailing a
check or similar instrument, payable to the order of the Federal
Communications Commission, to the Federal Communications
Commission, Forfeiture Collection Section, Finance Branch, P.O.
Box 73482, Chicago, Illinois, 60673-7482. The payment should
reference NAL/Acct. No. 200432100013 and FRN 0011217999.
18. If any Party (or the United States on behalf of the
Commission) brings a judicial action to enforce the terms of the
Adopting Order, neither Blackstone~NEY nor the Commission shall
contest the continuing validity of the Consent Decree or Adopting
Order. The Parties agree to comply with, defend and support the
validity of this Consent Decree and the Adopting Order in any
proceeding seeking to nullify, void, or otherwise modify the
Consent Decree or the Adopting Order.
19. The Parties agree that in the event that any court of
competent jurisdiction renders this Consent Decree invalid, this
Consent Decree shall become null and void and may not be used in
any manner in any legal proceeding.
20. This Consent Decree cannot be modified without the
advance written consent of all of the Parties.
21. This Consent Decree may be signed in counterparts.
For the Enforcement Bureau:
David H. Solomon
Chief, Enforcement Bureau
For Blackstone~NEY Ultrasonics, Inc.:
Blackstone~NEY Ultrasonics, Inc.
I. PERSONNEL AND TRAINING
1. Compliance Officer
Blackstone~NEY will appoint a Regulatory Compliance Officer
(``Compliance Officer''), who will administer the compliance
program described below. The Compliance Officer will also
supervise Blackstone~NEY's compliance with Parts 2 and 18 and
Section 1.17 of the FCC's Rules and the requirements of the
2. Written Advisory
Within 45 days of the Effective Date of the Consent Decree,
the Compliance Officer will send a written advisory on Parts 2
and 18 of the FCC's Rules, Section 1.17 of the FCC's Rules, and
the requirements of the Consent Decree to each officer and
employee of Blackstone~NEY, who have or will have
responsibilities related to the design, development, testing,
marketing, and distribution of ultrasonic devices on behalf of
Blackstone~NEY will train and provide materials concerning
Parts 1, 2 and 18 of the FCC's Rules and the requirements of the
Consent Decree to all of its employees who are involved directly
or indirectly in the design, development, testing, marketing, and
distribution of ultrasonic devices. Specifically, Blackstone~NEY
will, within 60 days of the Effective Date of the Consent Decree:
(a) train its employees regarding compliance with the
technical requirements of Part 18 of the FCC's Rules in
the design and manufacture of ultrasonic devices;
(b) train its employees regarding compliance with Part 2 of
the FCC's Rules regarding the sale, marketing, and
distribution of ultrasonic devices;
(c) train its employees regarding compliance with the
obligation pursuant to Sections 1.17 and 1.65 of the
FCC's Rules to ensure and maintain the accuracy and
completeness of any materials or information provided
to the FCC; and
(d) train its employees regarding the requirements of the
4. Disciplinary Action
If, after an internal investigation and based upon a
preponderance of the evidence, Blackstone~NEY concludes that one
of its employees has intentionally made any misrepresentation, or
engaged in any lack of candor in any submission to the FCC,
either orally or in writing, Blackstone~NEY will take appropriate
disciplinary action. II. RESOLUTION OF COMPLAINTS
The Compliance Officer will be responsible for (1) receiving
and reviewing any complaints of harmful interference, (2)
initiating and maintaining an ongoing log of the status and
actions taken regarding each complaint, (3) supervising those
employees assigned to resolve each complaint, and (4)
coordinating the preparation and submission to the FCC of reports
regarding any complaints of harmful interference received by
Blackstone~NEY will use its best efforts to resolve any
complaints of harmful interference it receives with respect to
the ultrasonic devices identified in the Consent Decree. Upon
receipt of a complaint, Blackstone~NEY will:
(a) Investigate the circumstances related to the complaint
in order to determine: (1) whether the Blackstone~NEY
device complained of is in fact the source of the
harmful interference, and (2) if so, what steps must be
taken in order to resolve the harmful interference.
(b) Inform the complainant if Blackstone~NEY should
conclude that its device is not the source of the
alleged harmful interference and provide the
complainant with the relevant facts and information
used by Blackstone~NEY in reaching this conclusion.
(c) To the extent that Blackstone~NEY's device is the
source of the complained-of harmful interference, work
with the operator to implement solutions to mitigate
the harmful interference.
The disposition of each complaint shall be tracked and monitored
by the Compliance Officer. The Compliance Officer will ensure
that current and accurate information regarding each complaint is
provided to the FCC in connection with any report or other
``Harmful interference'' shall be interpreted in accordance
with the definition of that term contained in Section 18.107(b)
of the FCC's Rules.
1 47 U.S.C. § 4(i).
2 47 C.F.R. §§ 0.111, 0.311.