Click here for Adobe Acrobat version
Click here for Microsoft Word version
This document was converted from Microsoft Word.
Content from the original version of the document such as
headers, footers, footnotes, endnotes, graphics, and page numbers
will not show up in this text version.
All text attributes such as bold, italic, underlining, etc. from the
original document will not show up in this text version.
Features of the original document layout such as
columns, tables, line and letter spacing, pagination, and margins
will not be preserved in the text version.
If you need the complete document, download the
Microsoft Word or Adobe Acrobat version.
Federal Communications Commission
Washington, D.C. 20554
In the Matter of )
Communications Specialists, Inc. ) File No. EB-06-SE-349
Orange, CA ) NAL/Acct. No. 200732100005
) FRN 0001520170
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Adopted: November 20, 2006 Released: November 22, 2006
By the Chief, Spectrum Enforcement Division, Enforcement Bureau:
1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
Communications Specialists, Inc. ("CSI") apparently liable for a
forfeiture in the amount of seven thousand dollars ($7,000) for
apparent willful and repeated violation of Section 302(b) of the
Communications Act of 1934, as amended ("Act"), and Section
2.803(a)(1) of the Commission's Rules ("Rules"). The noted apparent
violations involve CSI's marketing of radio frequency devices in the
United States that do not comply with the radiated emission limits set
forth in Section 15.209 of the Rules and the periodic operation limits
set forth in Section 15.231 of the Rules.
2. CSI manufactures and markets the PT-1 "Petlocator" transmitter, which
is used to track pets, children and model airplanes. Transmitters and
other intentional radiators and are required by Section 15.201 of the
Rules to be approved prior to marketing through the equipment
certification procedures described in Sections 2.1031 - 2.1060 of the
Rules. CSI holds an equipment certification for the PT-1 under FCC
3. The Commission's Office of Engineering and Technology Laboratory ("OET
Lab") requested a sample of the PT-1 from CSI pursuant to Section
2.945 of the Rules and tested the sample for compliance with the
Rules. The OET Lab found that the PT-1 substantially exceeds the
radiated emissions limits for intentional radiators specified in
Section 15.209 of the Rules. In addition, the OET Lab determined that
the PT-1 transmits continuously and therefore does not comply with the
periodic operation limits set forth in Section 15.231 of the Rules.
The OET Lab subsequently referred the matter to the Enforcement Bureau
4. On September 29, 2006, the Spectrum Enforcement Division ("Division")
of the Enforcement Bureau observed that CSI was offering the PT-1 for
sale on its website, www.com-spec.com. The Division sent CSI a letter
of inquiry ("LOI") on October 3, 2006. In its October 10, 2006,
response, CSI states that it has manufactured and sold the PT-1 in the
United States from June 2004 to the present. CSI claims that it did
not modify the PT-1 after certification. CSI, however, does not
dispute the OET Lab's findings that the PT-1 is not in compliance with
Sections 15.209 and 15.231 of the Rules. The Division's internet
research on November 1, 2006, indicates that CSI is continuing to
offer the PT-1 for sale on its website.
A. Illegal Marketing of Transmitters
5. 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 Rules provides 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 radio frequency device 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 S
2.925 and other relevant sections in this chapter.
Section 15.209 of the Rules specifies the radiated emissions limits
applicable to intentional radiators. Section 15.231 of the Rules
establishes periodic operation limits for radio frequency devices which
operate in the band 40.66 - 40.70 MHz and above 70 MHz.
6. Furthermore, in accepting the grant of an equipment authorization, CSI
each unit of equipment marketed under such grant and bearing the
identification specified in the grant will conform to the unit that was
measured and that the data (design and rated operational characteristics)
filed with the application for certification continues to be
representative of the equipment being produced under such grant within the
variation that can be expected due to quantity production and testing on a
7. CSI admits that it manufactured and marketed the PT-1 from June 2004
to the present. The OET Laboratory's tests demonstrate that PT-1 is
not compliant with the radiated emission limits set forth in Section
15.209 of the Rules and the periodic operation limits set forth in
Section 15.231. We find, based on a preponderance of the evidence,
that CSI apparently willfully and repeatedly violated Section 302(b)
of the Act and Section 2.803(a)(1) Rules by marketing equipment that
does not comply with Sections 15.209 and 15.231 of the Rules.
B. Proposed Forfeiture
8. 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. 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
9. 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 the marketing of unauthorized or
non-compliant equipment is $7,000. Section 503(b)(2)(C) of the Act
authorizes the Commission to assess a maximum forfeiture of $11,000
for each violation, or each day of a continuing violation, up to a
statutory maximum forfeiture of $97,500 for any single continuing
violation. We have no information that warrants any downward or upward
adjustment of the base forfeiture amount. Accordingly, applying the
Forfeiture Policy Statement and statutory factors to the instant case,
we conclude that CSI is apparently liable for a $7,000 forfeiture.
10. Finally, CSI is apparently continuing to offer the PT-1 for sale on
its website. Accordingly, we direct CSI, pursuant to Section 403 of
the Act, to 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 the Rules.
IV. ORDERING CLAUSES
11. Accordingly, IT IS ORDERED that, pursuant to pursuant to Section
503(b) of the Act and Section 1.80 of the Rules, Communications
Specialists, Inc., IS hereby NOTIFIED of its APPARENT LIABILITY FOR A
FORFEITURE in the amount of seven thousand dollars ($7,000) for
willfully and repeatedly violating Section 302(b) of the Act and
Section 2.803(a)(1) of the Rules.
12. IT IS FURTHER ORDERED that, pursuant to Section 403 of the Act,
Communications Specialists, Inc., SHALL SUBMIT the report described in
paragraph 10 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
12^th Street, S.W., Washington, D.C. 20054.
13. 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, Communications Specialists, Inc., SHALL PAY
the full amount of the proposed forfeiture or SHALL FILE a written
statement seeking reduction or cancellation of the proposed
14. 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. Requests for
payment of the full amount of the NAL under an installment plan should
be sent to: Associate Managing Director - Financial Operations, 445
12^th Street, S.W., Room 1-A625, Washington, D.C. 20554.
15. 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.
16. 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
17. 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 Communications Specialists,
Inc., 426 West Taft Avenue, Orange, CA 92865-4296.
FEDERAL COMMUNICATIONS COMMISSION
Kathryn S. Berthot
Chief, Spectrum Enforcement Division
47 U.S.C. S 302a(b).
47 C.F.R. S 2.803(a)(1).
47 C.F.R. S 2.801 defines a radiofrequency device as "any device which in
it its operation is capable of emitting radiofrequency energy by
radiation, conduction, or other means."
47 C.F.R. S 15.209.
47 C.F.R. S 15.231.
An intentional radiator is "[a] device that intentionally generates and
emits radio frequency energy by radiation or induction." 47 C.F.R. S 15.3
47 C.F.R. S 15.201.
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. S 2.907(a).
47 C.F.R. SS 2.1031 - 2.1060
47 C.F.R. S 2.945
Letter from Kathryn S. Berthot, Deputy Chief, Spectrum Enforcement
Division, Enforcement Bureau, to Communications Specialists, Inc. (October
Letter from Albert Spencer, President, Communications Specialists, Inc.,
to Thomas D. Fitz-Gibbon, Spectrum Enforcement Division, Enforcement
Bureau (October 10, 2006).
The PT-1 transmits in the 216-235 MHz frequency band.
See 47 C.F.R. S 2.931.
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,' ... 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).
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. S
"Marketing" includes the sale or lease, offer for sale or lease (including
advertising for sale or lease), importing, shipping, and/or distribution
for the purpose of selling or leasing or offering for sale or lease. 47
C.F.R. S 2.803(e)(4).
47 U.S.C. S 503(b).
47 U.S.C. S 503(b)(2)(D).
12 FCC Rcd 17087 (1997), recon. denied 15 FCC Rcd 303 (1999).
47 C.F.R. S 1.80.
47 U.S.C. S 503(b)(2)(C). The Commission twice amended Section 1.80(b)(3)
of the Rules, 47 C.F.R. S 1.80(b)(3), to increase the maximum forfeiture
amounts, in accordance with the inflation adjustment requirements
contained in the Debt Collection Improvement Act of 1996, 28 U.S.C. S
2461. See Amendment of Section 1.80 of the Commission's Rules and
Adjustment of Forfeiture Maxima to Reflect Inflation, 15 FCC Rcd 18221
(2000) (adjusting the maximum statutory amounts from $10,000/$75,000 to
$11,000/$87,500); Amendment of Section 1.80 of the Commission's Rules and
Adjustment of Forfeiture Maxima to Reflect Inflation, 19 FCC Rcd 10945
(2004) (adjusting the maximum statutory amounts from $11,000/$87,500 to
$11,000/$97,500); see also 47 C.F.R. S 1.80(c).
47 U.S.C. S 403
See 47 C.F.R. S 1.1914.
Federal Communications Commission DA 06-2350
Federal Communications Commission DA 06-2350