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Federal Communications Commission
Washington, D.C. 20554
In the Matter of )
) File No. EB-04-SE-244
Ramsey Electronics, Inc. ) NAL/Acct. No. 200632100004
Victor, New York ) FRN # 0012065009
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Adopted: January 23, 2006 Released: January
By the Chief, Spectrum Enforcement Division, Enforcement
1. In this Notice of Apparent Liability for
Forfeiture (``NAL''), we find Ramsey Electronics, Inc.
(``Ramsey''), apparently liable for a forfeiture in the
amount of twenty-five thousand dollars ($25,000) for willful
and repeated violation of Section 302(b) of the
Communications Act of 1934, as amended (``Act''),1 and
Sections 2.803(a) and (g) and 2.815(b) of the Commission's
Rules (``Rules'').2 The noted apparent violations involve
Ramsey's marketing of two models of unauthorized FM
broadcast transmitters and two models of external radio
frequency (``RF'') power amplifiers (``amplifiers'').
2. The Enforcement Bureau (``Bureau'') obtained
information indicating that Ramsey was apparently marketing
unauthorized FM broadcast transmitters and RF amplifiers in
the United States. The Bureau subsequently began an
investigation of Ramsey's marketing activities and obtained
a copy of Ramsey's equipment catalog. The catalog indicates
that Ramsey is offering for sale fully assembled FM
broadcast transmitters designated as ``FM35WT'' and
``FM100BWT'' and fully assembled RF amplifiers designated as
``PA100'' and ``LPA1WT.'' 3 The catalog indicates that
these devices have the following output powers and frequency
ranges: FM35WT, one watt, 87.9 - 108.1 MHz; FM100BWT,
variable between 5 µW and one watt, 88 - 108 MHz; PA100,
variable between two and 40 watts, 87.5 - 108.1 MHz; and
LPA1WT, one watt, 300 kHZ - 1,000 MHz. With respect to the
FM35WT and FM100BWT, the catalog states that those devices
``can only be shipped outside the USA, or within the US if
accompanied by a signed statement that the unit will be
exported.'' With respect to the FM35WT, FM100BWT and PA100,
the catalog states that ``The end user is responsible for
complying with all FCC rules and regulations within the US,
or any regulations of their respective governing body''
[emphasis in original]. The FCC's equipment authorization
database indicates that Ramsey has not received a grant of
equipment certification4 for the FM35WT, FM100BWT or PA100.
3. On November 8, 2004, December 2, 2004, February
18, 2005, April 22, 2005, and August 12, 2005, the Bureau
conducted internet research on Ramsey's website,
www.ramseyelectronics.com. The research indicates that
Ramsey offered the PA 100 for sale on its website on
November 8, 2004; and offered the FM35WT on December 2,
2004, February 18, 2005, April 22, 2005, and August 12,
2005. The information on Ramsey's website concerning those
devices is consistent with the information in Ramsey's
catalog. Additionally, the Bureau's internet research
indicates that various other retail websites have offered
fully assembled Ramsey FM transmitters for sale including
the ``R-FM100B-WT'' (which appears to be the same device as
4. On March 4, 2005, the Bureau sent Ramsey a letter
of inquiry (LOI).5 In its response,6 Ramsey states that its
primary business is the manufacturing and marketing of ``do
it yourself'' hobby kits, including broadcast transmitter
kits, but that it also manufactures and markets fully
assembled broadcast equipment. Ramsey acknowledges that it
is currently manufacturing the FM35WT, FM100BWT and LPA1WT
in the United States, and that it formerly manufactured the
PA100 in the United States but discontinued manufacturing
that device on December 27, 2004.7 Ramsey reports the
following production and sales figures (including both
foreign and domestic sales) as of February 6, 2005: FM35WT,
254 manufactured (beginning February 7, 2005) and 101 sold;
FM100BWT, 1,457 manufactured (beginning April 26, 2004) and
1,441 sold; LPA1WT, 358 manufactured (beginning March 3,
1994) and 343 sold; PA100, 145 manufactured (beginning June
21, 2002) and 131 sold. Ramsey claims that the Commission's
equipment certification requirement does not apply to the
FM35WT and FM100BWT because it requires buyers in the United
States to provide signed statements that those devices will
be exported, and that it does not apply to the PA100 and
LPA1WT because those devices are not intentional radiators.8
5. Ramsey provides, with its response to the LOI,
copies of the materials used to market the FM35WT, FM100BWT,
PA100 and LPA1WT. The information contained in these
materials concerning those devices is consistent with the
information in Ramsey's catalog. The marketing materials
include a form entitled ``FM100B and FM35 Series FM
Transmitter Certification.'' The form states that ``[t]his
form is used to verify that your purchase of the FM100B and
FM35 will be used in accordance with appropriate laws
regulating intentional radiators. ... Your order cannot be
shipped until you return this form by fax or mail.'' The
form requires the purchaser to certify as follows:
I hereby certify that the FM100B and FM35 series
transmitters will be operated in accordance with
applicable laws of the land for the intended destination
If resold, I additionally certify that we will enforce
this compliance to the purchaser.
I do understand that the output level of the FM100BEX,
FM100BWT and FM35WT exceeds the authorized output levels
set by the FCC and cannot be operated within the
territory of the United States.
I do understand that the output level of the FM100BEX,
FM100BWT and FM35WT may exceed the authorized output
levels as set forth by the local governing body within
your jurisdiction outside the US and its territories.
As the end user or reseller I do take full responsibility
for compliance of these terms, and hereby release and
hold harmless, and waive any claims against Ramsey
Electronics regarding the operation or application of
6. Section 302(b) of the Act provides that ``[n]o
person shall manufacture, import, sell, offer for sale, or
ship devices or home electronic equipment and systems, or
use devices, which fail to comply with regulations
promulgated pursuant to this section.'' Section 2.803(a)(1)
of the Commission's implementing regulations provides in
pertinent part that:
Except as provided elsewhere in this section, no
person shall sell or lease, or offer for sale or
lease (including advertising for sale or lease),
or import, ship, or distribute for the purpose of
selling or leasing or offering for sale or lease,
any radiofrequency device9 unless ... [i]n the
case of a device that is subject to certification,
such device has been authorized by the Commission
in accordance with the rules in this chapter and
is properly identified and labeled as required by
§ 2.925 and other relevant sections in this
In addition, Section 2.803(g) of the Commission's
implementing regulations provides in pertinent part
[R]adio frequency devices that could not be
authorized or legally operated under the current
rules ... shall not be operated, advertised,
displayed, offered for sale or lease, sold or
leased, or otherwise marketed absent a license
issued under part 5 of this chapter or a special
temporary authorization issued by the Commission.
Further, Section 2.815(b) of the Commission's
implementing regulations provides that:
After April 27, 1978, no person shall manufacture,
sell or lease, offer for sale or lease (including
advertising for sale or lease), or import, ship,
or distribute for the purpose of selling or
leasing or offering for sale or lease, any
external radio frequency power amplifier or
amplifier kit capable of operation on any
frequency or frequencies between 24 and 35 MHz.
FM Broadcast Transmitters
7. The record establishes that Ramsey manufactured
the FM broadcast transmitters designated as FM35WT and
FM100BWT; that it marketed the FM35WT in the United States
at least until August 12, 2005, and marketed the FM100BWT in
the United States at least until February 6, 2005; and that
Ramsey has not received a grant of equipment certification
for either transmitter. Section 15.201(b) of the Rules10
requires certification (with inapplicable exceptions) of
intentional radiators. As intentional radiators, the FM35WT
and FM100BWT are, therefore, required to be certified11
before being marketed in the United States.
8. We reject Ramsey's argument that it does not need
equipment authorizations for the FM35WT and FM100BWT because
it requires buyers in the United States to provide signed
statements certifying that the devices ``will be operated in
accordance with applicable law of the land for the intended
destination of cooperation.'' Section 2.807(b) of the
Rules12 exempts devices ``manufactured solely for export''
from the marketing prohibition of Section 2.803(a)(1) of the
Rules. This exemption, however, applies only to devices
that the manufacturer actually exports.13 Ramsey admits
that it does not actually export all of the FM35WT and
FM100BWT devices it sells. Rather, it attempts to shift the
burden for compliance with the Commission's rules entirely
to the buyer by requiring the buyer to sign a certification
form which purports to absolve Ramsey of any responsibility
regarding the operation and redistribution of the devices.
This ``FM100B and FM35 Series FM Transmitter Certification''
does not explicitly state that the buyer must export the
device, nor does it even mention exportation at all.14 We
find, accordingly, that Ramsey apparently marketed two
models of uncertified FM broadcast transmitters in the
United States, in willful15 and repeated16 violation of
Section 302(b) of the Act and Section 2.803(a) of the Rules.
External RF Power Amplifiers
9. The record also establishes that Ramsey
manufactured the external RF power amplifiers designated as
PA100 and LPA1WT and marketed them in the United States at
least until February 6, 2005. Ramsey argues that no
equipment authorizations are required for those devices
because they are not intentional radiators. This argument
misses the point. Section 2.815(c) of the Rules17
specifically requires certification of all external RF power
amplifiers capable of operating below 144 MHz.18 Since the
LPA1WT and the PA100 both are capable of operating below 144
MHz, both devices are subject to the certification
requirement. The record indicates that Ramsey has not
received a grant of equipment certification for the PA100.
Furthermore, as explained in paragraph 10, below, the LAP1WT
cannot be legally certified or operated under the rules. We
find, accordingly, that Ramsey apparently marketed two
models of uncertified external RF power amplifiers in the
United States, in willful and repeated violation of Section
302(b) of the Act and Section 2.803(a) of the Rules.
10. The record establishes that the LPA1WT is capable
of operating on frequencies between 300 kHz and 1000 MHz,
including the frequency band between 24 and 35 MHz. Section
2.815(b) of the Rules prohibits manufacturing or marketing
any external RF power amplifier capable of operation in the
frequency band between 24 and 35 MHz. 19 In addition,
Section 2.803(g) prohibits the marketing of radio frequency
devices that could not be authorized or legally operated
under the current rules. We therefore find that Ramsey
apparently manufactured and marketed in the United States
one external RF power amplifier model capable of operation
in the frequency band between 24 and 35 MHz, in willful and
repeated violation of Section 302(b) of the Act and Sections
2.803(g) and 2.815(b) of the Rules.
11. Section 503(b) of the Act authorizes the
Commission to assess a forfeiture for each willful or
repeated violation of the Act or of any rule, regulation, or
order issued by the Commission under the Act.20 In
exercising such authority, we are required to take into
account ``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.''21
12. Under The Commission's Forfeiture Policy Statement
and Amendment of Section 1.80 of the Rules to Incorporate
the Forfeiture Guidelines (``Forfeiture Policy
Statement'')22 and Section 1.80 of the Rules,23 the base
forfeiture amount for the marketing of unauthorized
equipment is $7,000. In this case, Ramsey marketed two
models of unauthorized broadcast transmitters (FM35WT and
FM100BWT) and two models of unauthorized external RF power
amplifiers (PA100 and LPA1WT). Ramsey's marketing of each
of these four unauthorized models is a separate violation.
We find that a forfeiture amount of $7,000 is apparently
warranted for each of the four models for total of
$28,000.24 Because the Commission has not taken prior
enforcement action against Ramsey, we find that Ramsey has a
history of overall compliance. Under the Forfeiture Policy
Statement and Section 1.80(b)(4) of the Rules,25 history of
overall compliance is a downward adjustment factor for
Section 503 forfeitures. We find that a reduction of
$3,000 from the $28,000 base forfeiture amount is warranted
on the basis of Ramsey's history of overall compliance.
Accordingly, we conclude that Ramsey is apparently liable
for a $25,000 forfeiture.
13. Finally, Ramsey apparently is continuing to market
unauthorized broadcast equipment. Accordingly, we require,
pursuant to Section 403 of the Act,26 that Ramsey submit a
report within 30 days of the date of this NAL describing the
steps it has taken to come into compliance with the Act and
IV. ORDERING CLAUSES
14. Accordingly, IT IS ORDERED that, pursuant to
pursuant to Section 503(b) of the Act27 and Sections 0.111,
0.311 and 1.80 of the Rules,28 Ramsey Electronics, Inc., IS
hereby NOTIFIED of its APPARENT LIABILITY FOR A FORFEITURE
in the amount of twenty-five thousand dollars ($25,000) for
willfully and repeatedly violating Section 302(b) of the Act
and Sections 2.803(a) and 2.815(b) of the Rules.
15. IT IS FURTHER ORDERED that, pursuant to Section
403 of the Act, Ramsey Electronics, Inc., SHALL SUBMIT the
report described in paragraph 13 within thirty days of the
release date of this Notice of Apparent Liability for
Forfeiture to: Federal Communications Commission,
Enforcement Bureau, Spectrum Enforcement Division, 445 12th
Street, S.W., Washington, D.C. 20054.
16. IT IS FURTHER ORDERED THAT, pursuant to Section
1.80 of the Rules, within thirty days of the release date of
this Notice of Apparent Liability for Forfeiture and Order,
Ramsey Electronics, Inc., SHALL PAY the full amount of the
proposed forfeiture or SHALL FILE a written statement
seeking reduction or cancellation of the proposed
17. 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
18. The response, if any, must be mailed to the
Office of the Secretary, Federal Communications Commission,
445 12th Street, S.W., Washington, D.C. 20554, ATTN:
Enforcement Bureau - Spectrum Enforcement Division, and must
include the NAL/Acct. No. referenced in the caption.
19. 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; 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
20. Requests for payment of the full amount of this
NAL under an installment plan should be sent to: Chief,
Revenue and Receivable Operations Group, 445 12th Street,
S.W., Washington, D.C. 20554.29
21. IT IS FURTHER ORDERED that a copy of this Notice
of Apparent Liability for Forfeiture shall be sent by first
class mail and certified mail return receipt requested to
Ramsey Electronics, Inc., 590 Fishers Station Drive, Victor,
New York 14564, Attention: Michael A. Leo.
FEDERAL COMMUNICATIONS COMMISSION
Joseph P. Casey
Chief, Spectrum Enforcement
1 47 U.S.C. § 302a(b).
2 47 C.F.R. §§ 2.803(a) and (g), 2.815(b).
3 External RF power amplifiers, such as the PA100 and
LPA1WT, are used to boost the power of radio transmitters.
4 A certification is an equipment authorization issued by
the Commission, based on representations and test data
submitted by the applicant. See 47 C.F.R. § 2.907(a).
5 Letter of March 4, 2005, from Kathryn S. Berthot to
Michael A. Leo.
6 Letter of March 28, 2005, from Michael A. Leo to the
Enforcement Bureau, Spectrum Enforcement Division,
Attention: Thomas Fitz-Gibbon.
7 We note that Ramsey also manufactures and markets a
professional 50 watt low power FM transmitter, model PX50,
which is certified under FCC ID: PF3PX50.
8 47 C.F.R. § 15.3(o) defines an intentional radiator as
``[a] device that intentionally generates radio frequency
energy by radiation or induction.''
9 47 C.F.R. § 2.801 defines a radiofrequency device as
``any device which in it its operation is capable of
emitting radiofrequency energy by radiation, conduction, or
10 47 C.F.R. § 15.201(b).
11 Ramsey acknowledges in the ``FM100B and FM35 Series FM
Transmitter Certification'' form provided with its
marketing materials that the FM35WT and FM100BWT are
12 47 C.F.R. § 2.807(b).
13 See New Image Electronics, 17 FCC Rcd 3594, 3596 (Enf.
14 As noted above, Ramsey's catalog states that the FM35WT
and FM100BWTdevices ``can only be shipped outside the USA,
or within the US if accompanied by a signed statement that
the unit will be exported.''
15 Section 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,' ... 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
16 Section 312(f)(2) of the Act provides that ``[t]he term
`repeated,' ... 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. §
17 47 C.F.R. § 2.815(c).
18 47 C.F.R. § 2.815(e) exempts amateur licensees from this
prohibition if they market no more than one unit per
calendar year to another amateur licensee for the amateur's
personal use and certain technical standards are met. This
exemption is clearly inapplicable here.
19 47 C.F.R. § 2.815(d) exempts amateur licensees from this
prohibition if they fabricate and market no more than one
unit per calendar year to another amateur licensee for the
amateur's personal use and certain technical standards are
met. This exemption is clearly inapplicable here.
20 47 U.S.C. § 503(b).
21 47 U.S.C. § 503(b)(2)(D).
22 12 FCC Rcd 17087 (1997), recon. denied 15 FCC Rcd 303
23 47 C.F.R. § 1.80.
24 See Samson Technologies, Inc., 19 FCC Rcd 4221, 4225
25 See Forfeiture Policy Statement, 12 FCC Rcd at 17100; 47
C.F.R. § 1.80(b)(4), Note to paragraph (b)(4): Section II.
Adjustment Criteria for Section 503 Forfeitures.
26 47 U.S.C. § 403
27 47 U.S.C. § 503(b).
28 47 C.F.R. § 0.111, 0.311 and 1.80.
29 See 47 C.F.R. § 1.1914.