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



In Re Application of             )
                                )    File No. EB-03-IH-0555
Milton Goodman                   )    NAL/Acct. No. 200432080302 
                                )    FCC Account ID No. 
Applicant For Narrowband PCS     )    0501643234
Facilities                       )    FRN 0009415233



           NOTICE OF APPARENT LIABILITY FOR FORFEITURE

Adopted:  September 14, 2004                 Released:  September 
14, 2004

By the Chief, Enforcement Bureau:

I.   INTRODUCTION

     1.   By this Notice of Apparent Liability for Forfeiture 
(``NAL''), we find Milton Goodman, an applicant in two Commission 
narrowband PCS spectrum auctions,1 apparently liable for a 
monetary forfeiture in the amount of $10,000.  For the reasons 
stated below, we conclude that Mr. Goodman apparently willfully 
violated a Commission order by failing to respond fully and in 
writing to a directive of the Enforcement Bureau (``Bureau'') 
requiring that he provide certain information and documents 
concerning his participation in these auctions and his 
communications during the auctions with Linda Taylor, another 
applicant in the auctions.2  

II.  BACKGROUND

     2.   In November 2003, the Enforcement Bureau received 
information from the Wireless Telecommunications Bureau that Mr. 
Goodman and Ms. Taylor, competing applicants in Auction No. 50 
and Auction No. 51, may have discussed auctions-related matters 
during a time when communications between auction applicants 
about bids and bidding strategy were restricted by section 
1.2105(c) of the Commission's rules.3  Subsequently, the Bureau 
began an investigation to determine whether the communications 
between Mr. Goodman and Ms. Taylor had violated the anti-
collusion rule.4  As a part of its investigation, on May 3, 2004, 
the Bureau sent a letter of inquiry to Mr. Goodman seeking 
information regarding such matters as the relationship between 
Mr. Goodman and Ms. Taylor and the dates and content of any 
auction-related communications with each other during the 
auctions.5  The letter directed Mr. Goodman to respond in writing 
within 14 days and to provide copies of all documents relevant to 
the investigation.  It also required that Mr. Goodman provide a 
declaration verifying the truth and accuracy of any information 
provided.6  On May 28, 2004, Mr. Goodman telephoned Bureau staff 
and stated that he had just returned home from a trip and 
received the Bureau's letter.  He stated that he would file his 
written response to the letter the next week.  More than three 
months later, however, Mr. Goodman still has not responded or 
provided the information or documents required by the Bureau's 
letter of inquiry.

III.      DISCUSSION

     3.   Under section 503(b)(1) of the Act and section 1.80(a) 
of the Commission's rules, any person who is determined by the 
Commission to have willfully or repeatedly failed to comply with 
any provision of the Act or any rule, regulation, or order issued 
by the Commission shall be liable to the United States for a 
forfeiture penalty.7  In order to impose such a forfeiture 
penalty, the Commission must issue a notice of apparent 
liability, the notice must be received, and the person against 
whom the notice has been issued must have an opportunity to show, 
in writing, why no such forfeiture penalty should be imposed.8  
The Commission will then issue a forfeiture if it finds by a 
preponderance of the evidence that the person has willfully or 
repeatedly violated the Act or a Commission rule.9  

     4.   Section 403 of the Communications Act of 1934, as 
amended (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.10  
Section 308(b) provides that the Commission ``may require from an 
applicant or licensee further written statements of fact to 
enable it to determine whether such original application should 
be granted or denied . . .''11  Pursuant to that and other 
authority,12 the Bureau ordered Mr. Goodman to submit a timely 
written response to its inquiry letter and to provide the 
information and documents requested.  Instead, Mr. Goodman 
telephoned Bureau staff after the response deadline had passed, 
verbally denied any wrongdoing and stated that he would promptly 
file his written responses to the Bureau's inquiries.  To this 
date, however, Mr. Goodman has not filed the required response.  
A party cannot ignore the directives in a Bureau inquiry 
letter.13  We therefore conclude that Milton Goodman is 
apparently liable for a forfeiture for failing to respond to a 
Bureau order.

     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.14  The Commission's Forfeiture Policy Statement sets 
a base forfeiture amount of $4,000 for failure to respond to 
Commission communications.15  The Forfeiture Policy Statement 
also specifies that the Commission shall adjust a forfeiture 
based upon consideration of the factors enumerated in section 
503(b)(2)(D) of the Act, such as ``the nature, circumstances, 
extent and gravity of the violation, and, with respect to the 
violator, the degree of culpability, any history of prior 
offenses, ability to pay, and such other matters as justice may 
require.''16  

     6.   It appears that Mr. Goodman willfully violated a Bureau 
order by failing to respond to the Bureau's letter of inquiry of 
May 3, 2004.  Mr. Goodman's failure to respond to the Bureau's 
inquiries impeded and protracted the Bureau's investigation into 
the facts surrounding the communications at issue.  The resulting 
delay in the investigation compromised the Bureau's ability to 
respond to the circumstances presented in an effective, 
appropriate and timely manner.  In view of the nature and gravity 
of the violation, we are warranted in exercising our discretion 
to propose a forfeiture amount of $10,000.

 IV.       ORDERING CLAUSES

     7.   ACCORDINGLY, IT IS ORDERED THAT, pursuant to section 
503(b) of the Communications Act of 1934, as amended, 47 U.S.C.  
503(b), and section 1.80 of the Commission's rules, 47 C.F.R.  
1.80, Milton Goodman, is hereby NOTIFIED of his APPARENT 
LIABILITY FOR FORFEITURE in the amount of Ten Thousand Dollars 
($10,000) for willfully failing to fully respond in writing to a 
Bureau order directing him to do so.

     8.   IT IS FURTHER ORDERED THAT, pursuant to section 1.80 of 
the Commission's rules, 47 C.F.R.  1.80, within thirty (30) days 
of the release of this NOTICE OF APPARENT LIABILITY, Mr. Goodman 
SHALL PAY the full amount of the proposed forfeiture or SHALL 
FILE a written statement seeking reduction or cancellation of the 
proposed forfeiture.

     9.   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.

     10.  The response, if any, to this NOTICE OF APPARENT 
LIABILITY, must be mailed to William H. Davenport, Chief, 
Investigations and Hearings Division, Enforcement Bureau, Federal 
Communications Commission, 445 12th Street, S.W., Room 4-C321, 
Washington DC 20554 and MUST INCLUDE the NAL/Acct. No. referenced 
above.

     11.  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 
submitted.

     12.  Requests for payment of the full amount of this Notice 
of Apparent Liability under an installment plan should be sent 
to: Chief, Credit and Management Center, 445 12th Street, S.W., 
Washington, D.C. 20554.17

     13.  Under the Small Business Paperwork Relief Act of 2002, 
Pub.L.No. 107-198, 116 Stat. 729 (June 28, 2002), the Commission 
is engaged in a two-year tracking process regarding the size of 
entities involved in forfeitures.  If you qualify as a small 
entity and wish to be treated as a small entity for tracking 
purposes, please so certify to us within 30 days of this NAL, 
either in his response to the NAL or in a separate filing to be 
sent to the Investigations and Hearings Division, Enforcement 
Bureau, 445 12th Street, S.W., Washington, D.C. 20554.  Your 
certification should indicate whether you meet one of the 
definitions set forth in the list in Attachment A of this NAL.  
This information will be used for tracking purposes only.  Your 
response or failure to respond to this question will have no 
effect on your rights and responsibilities pursuant to section 
503(b) of the Communications Act of 1934, as amended.  If you 
have any questions regarding any of the information contained in 
Attachment A, please contact the Commission's Office of 
Communications Business Opportunities at (202) 418-0990.


                         FEDERAL COMMUNICATIONS COMMISSION


     
                         David H. Solomon
                         Chief, Enforcement Bureau                          ATTACHMENT A


                FCC List of Small Entities

   As described below, a ``small entity'' may be a small 
                       organization,
  a small governmental jurisdiction, or a small business.

(1)  Small Organization 
Any not-for-profit enterprise that is independently owned 
and operated and 
is not dominant in its field.

  
(2)  Small Governmental Jurisdiction
Governments of cities, counties, towns, townships, villages, 
school districts, or 
special districts, with a population of less than fifty 
thousand.


(3)  Small Business
Any business concern that is independently owned and 
operated and 
is not dominant in its field, and meets the pertinent size 
criterion described below.
  

      Industry Type          Description of Small Business 
                                     Size Standards
                 Cable Services or Systems
                            Special Size Standard - 
Cable Systems                Small Cable Company has 400,000 
                            Subscribers Nationwide or Fewer
Cable and Other Program 
Distribution                     $12.5 Million in Annual 
                                    Receipts or Less

Open Video Systems 
       Common Carrier Services and Related Entities
Wireline Carriers and 
Service providers 
                                1,500 Employees or Fewer
Local Exchange Carriers, 
Competitive Access 
Providers, Interexchange 
Carriers, Operator Service 
Providers, Payphone 
Providers, and Resellers


Note:  With the exception of Cable Systems, all size 
standards are expressed in either millions of dollars or 
number of employees and are generally the average annual 
receipts or the average employment of a firm.  Directions 
for calculating average annual receipts and average 
employment of a firm can be found in 
13 CFR 121.104 and 13 CFR 121.106, respectively.





                  International Services
International Broadcast 
Stations






                                $12.5 Million in Annual 
                                    Receipts or Less
International Public Fixed 
Radio (Public and Control 
Stations)
Fixed Satellite 
Transmit/Receive Earth 
Stations
Fixed Satellite Very Small 
Aperture Terminal Systems
Mobile Satellite Earth 
Stations
Radio Determination 
Satellite Earth Stations
Geostationary Space Stations
Non-Geostationary Space 
Stations
Direct Broadcast Satellites
Home Satellite Dish Service
                    Mass Media Services
Television Services

                             $12 Million in Annual Receipts 
                                        or Less
Low Power Television 
Services and Television 
Translator Stations
TV Auxiliary, Special 
Broadcast and Other Program 
Distribution Services
Radio Services
                             $6 Million in Annual Receipts 
                                        or Less
Radio Auxiliary, Special 
Broadcast and Other Program 
Distribution Services
Multipoint Distribution      Auction Special Size Standard -
Service                      Small Business is less than 
                            $40M in annual gross revenues 
                            for three preceding years
          Wireless and Commercial Mobile Services
Cellular Licensees
                                1,500 Employees or Fewer
220 MHz Radio Service - 
Phase I Licensees
220 MHz Radio Service -      Auction special size standard -
Phase II Licensees           Small Business is average gross 
                            revenues of $15M or less for 
                            the preceding three years 
                            (includes affiliates and 
                            controlling principals)
                            Very Small Business is average 
                            gross revenues of $3M or less 
                            for the preceding three years 
                            (includes affiliates and 
                            controlling principals)
700 MHZ Guard Band Licensees


Private and Common Carrier 
Paging
Broadband Personal 
Communications Services          1,500 Employees or Fewer
(Blocks A, B, D, and E)
Broadband Personal           Auction special size standard -
Communications Services      Small Business is $40M or less 
(Block C)                    in annual gross revenues for 
                            three previous calendar years
                            Very Small Business is average 
                            gross revenues of $15M or less 
                            for the preceding three 
                            calendar years (includes 
                            affiliates and persons or 
                            entities that hold interest in 
                            such entity and their 
                            affiliates)
Broadband Personal 
Communications Services 
(Block F)
Narrowband Personal 
Communications Services


Rural Radiotelephone Service     1,500 Employees or Fewer
Air-Ground Radiotelephone 
Service
800 MHz Specialized Mobile   Auction special size standard -
Radio                        Small Business is $15M or less 
                            average annual gross revenues 
                            for three preceding calendar 
                            years
900 MHz Specialized Mobile 
Radio
Private Land Mobile Radio        1,500 Employees or Fewer
Amateur Radio Service                      N/A
Aviation and Marine Radio 
Service                          1,500 Employees or Fewer
Fixed Microwave Services
                            Small Business is 1,500 
Public Safety Radio Services employees or less
                            Small Government Entities has 
                            population of less than 50,000 
                            persons
Wireless Telephony and 
Paging and Messaging             1,500 Employees or Fewer
Personal Radio Services                    N/A
Offshore Radiotelephone          1,500 Employees or Fewer
Service
Wireless Communications      Small Business is $40M or less 
Services                     average annual gross revenues 
                            for three preceding years
                            Very Small Business is average 
                            gross revenues of $15M or less 
                            for the preceding three years 

39 GHz Service
                            Auction special size standard 
                            (1996) -
Multipoint Distribution      Small Business is $40M or less 
Service                      average annual gross revenues 
                            for three preceding calendar 
                            years
                            Prior to Auction -
                            Small Business has annual 
                            revenue of $12.5M or less
Multichannel Multipoint 
Distribution Service             $12.5 Million in Annual 
                                    Receipts or Less
Instructional Television 
Fixed Service
                            Auction special size standard 
                            (1998) -
Local Multipoint             Small Business is $40M or less 
Distribution Service         average annual gross revenues 
                            for three preceding years
                            Very Small Business is average 
                            gross revenues of $15M or less 
                            for the preceding three years 
                            First Auction special size 
                            standard (1994) -
                            Small Business is an entity 
                            that, together with its 
                            affiliates, has no more than a 
218-219 MHZ Service          $6M net worth and, after 
                            federal income taxes (excluding 
                            carryover losses) has no more 
                            than $2M in annual profits each 
                            year for the previous two years
                            New Standard - 
                            Small Business is average gross 
                            revenues of $15M or less for 
                            the preceding three years 
                            (includes affiliates and 
                            persons or entities that hold 
                            interest in such entity and 
                            their affiliates)
                            Very Small Business is average 
                            gross revenues of $3M or less 
                            for the preceding three years 
                            (includes affiliates and 
                            persons or entities that hold 
                            interest in such entity and 
                            their affiliates)
Satellite Master Antenna 
Television Systems               $12.5 Million in Annual 
                                    Receipts or Less
24 GHz - Incumbent Licensees     1,500 Employees or Fewer
24 GHz - Future Licensees    Small Business is average gross 
                            revenues of $15M or less for 
                            the preceding three years 
                            (includes affiliates and 
                            persons or entities that hold 
                            interest in such entity and 
                            their affiliates)
                            Very Small Business is average 
                            gross revenues of $3M or less 
                            for the preceding three years 
                            (includes affiliates and 
                            persons or entities that hold 
                            interest in such entity and 
                            their affiliates)
                       Miscellaneous
On-Line Information Services  $18 Million in Annual Receipts 
                                        or Less
Radio and Television 
Broadcasting and Wireless 
Communications Equipment          750 Employees or Fewer
Manufacturers
Audio and Video Equipment 
Manufacturers
Telephone Apparatus 
Manufacturers (Except            1,000 Employees or Fewer
Cellular)
Medical Implant Device            500 Employees or Fewer
Manufacturers
Hospitals                     $29 Million in Annual Receipts 
                                        or Less
Nursing Homes                    $11.5 Million in Annual 
                                    Receipts or Less
Hotels and Motels             $6 Million in Annual Receipts 
                                        or Less
Tower Owners                 (See Lessee's Type of Business)





_________________________

1 The Commission's September 24-26, 2003, Narrowband PCS Spectrum 
Auction (``Auction  No.  50'')  and the  September  24-25,  2003, 
Regional Narrowband PCS Spectrum Auction (``Auction No. 51'').
2 See Letter from William D. Freedman, Deputy Chief, 
Investigations and Hearings Division of Commission's Enforcement 
Bureau, to Milton Goodman, dated May 3, 2004.  
3 47 C.F.R. 1.2105(c).  Section 1.2105(c)(1) states, in 
pertinent part:  ``[A]fter the [FCC Form 175] short-form 
application filing deadline, all applicants for licenses in any 
of the same geographic license areas are prohibited from 
cooperating or collaborating with respect to, discussing with 
each other, or disclosing to each other in any manner the 
substance of their own, or each other's, or any other competing 
applicant's bids or bidding strategies, or discussing or 
negotiating settlement agreements, until after the down payment 
deadline, unless such applicants are members of a bidding 
consortium or other joint bidding arrangement identified on the 
bidder's short-form application pursuant to  
1.2105(a)(2)(viii).''  47 C.F.R.  1.2105(c)(1).  This rule is 
known as the ``anti-collusion'' rule.  
4 See supra, note 2.  The communications between Mr. Goodman and 
Ms. Taylor reportedly occurred between August 8 and 21, 2003, 
after the August 8, 2003 short form filing deadline for both 
auctions and prior to the October 2003 down payment deadlines for 
both auctions.  See Public Notice, Narrowband PCS Spectrum 
Auction Revised Inventory and Start Date for Auction No. 50, DA 
03-372 (WTB rel. February 7, 2003); Public Notice, Auction of 
Regional Narrowband PCS Licenses Scheduled For September 24, 
2003, DA 03-1994 (WTB rel. June 18, 2003); Public Notice, 
Narrowband PCS Spectrum Auction Closes, DA 03-3012, (WTB rel. 
October 2, 2003); Public Notice, Regional Narrowband PSC Spectrum 
Auction Closes, DA 03-3006 (WTB rel. October 1, 2003).
5 Supra, note 1. 
6 Id.
7 47 U.S.C.  503(b)(1)(B); 47 C.F.R.  1.80(a)(1).  See also 47 
U.S.C.  312(f)(1). Section 312(f)(1) defines willful as "the 
conscious and deliberate commission or omission of [any] act, 
irrespective of any intent to violate" the law.  Consistent with 
congressional intent, the Commission has interpreted willful in 
forfeiture proceedings to mean actions or omissions that are 
committed knowingly (i.e, that a violator intended to commit the 
act or omission that was found to have violated a statutory 
and/or regulatory provision)  See also 47 U.S.C.  503(b)(1)(D) 
(forfeitures for violation of 14 U.S.C.  1464).  Section 
312(f)(1) of the Act defines willful as ``the conscious and 
deliberate commission or omission of [any] act, irrespective of 
any intent to violate'' the law.  47 U.S.C.  312(f)(1). The 
legislative history to section 312(f)(1) of the Act clarifies 
that this definition of willful applies to both sections 312 and 
503(b) of the Act, H.R. Rep. No. 97-765, 97th Cong. 2d Sess. 51 
(1982), and the Commission has so interpreted the term in the 
section 503(b) context.  See, e.g., Application for Review of 
Southern California Broadcasting Co., Memorandum Opinion and 
Order, 6 FCC Rcd 4387, 4388 (1991) (``Southern California 
Broadcasting Co.'').  The Commission may also assess a forfeiture 
for violations that are merely repeated, and not willful.  See, 
e.g., Callais Cablevision, Inc., Grand Isle, Louisiana, Notice of 
Apparent Liability for Monetary Forfeiture, 16 FCC Rcd 1359 
(2001) (issuing a Notice of Apparent Liability for, inter alia, a 
cable television operator's repeated signal leakage).  
``Repeated'' means that the act was committed or omitted more 
than once, or lasts more than one day.  Southern California 
Broadcasting Co., 6 FCC Rcd at 4388,  5; Callais Cablevision, 
Inc., 16 FCC Rcd at 1362  9.
8 47 U.S.C.  503(b); 47 C.F.R.  1.80(f).
9 See, e.g., SBC Communications, Inc., Apparent Liability for 
Forfeiture, Forfeiture Order, 17 FCC Rcd 7589, 7591 4 (2002).  
In SBC Communications, the Commission assessed a $100,000 
forfeiture against a carrier for its willful refusal to supply a 
sworn declaration in response to an Enforcement Bureau letter of 
inquiry.  The Commission stated:  ``[T]he order here was squarely 
within the Commission's authority and, in any event, parties are 
required to comply with Commission orders even if they believe 
them to be outside the Commission's authority.''  Id. at  5.  
See also World Communications Satellite Systems, Inc., Forfeiture 
Order, 19 FCC Rcd 2718 (Enf. Bur. 2004) ($10,000 forfeiture for 
submitting a jurisdictional objection in lieu of a response to a 
Bureau inquiry letter); American Family Ass'n, Notice of Apparent 
Liability For Forfeiture, DA 04-2330 (Enf. Bur. rel July 28, 
2004); In re Richard E. LaPierre, Forfeiture Order, 15 FCC Rcd 
23525 (Enf. Bur. 2000) ($4,000 forfeiture for repeated failure to 
respond to written Commission inquiries).

10 See 47 U.S.C.  403.
11 47 U.S.C.  308(b).  See also 47 C.F.R.  73.1015.
12 See 47 U.S.C.  154(i),(j).
13 See, e.g., supra, note 9; Radio Moultrie, Inc., Order to  Show 
Cause and Notice  of Opportunity  for Hearing, 17  FCC Rcd  24304 
(2002) (order to show  cause to revoke  license for, inter  alia, 
failure to respond to Bureau inquiry letters.
14 See 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). 
15 Id.
16 Id.  See also 47 U.S.C.  503(b)(2)(D); Forfeiture Policy 
Statement 12 FCC Rcd at 17100  27.
17 See 47 C.F.R.  1.1914.