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 ) File No. EB-07-TC-5001
Blue Casa Communications, Inc. ) NAL/Acct. No. 200832170014
Apparent Liability for Forfeiture ) FRN: 0009051731
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Adopted: February 19, 2008 Released: February 19, 2008
By the Chief, Enforcement Bureau:
1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
that Blue Casa Communications, Inc. ("Blue Casa") apparently violated
section 1.717 of the Commission's rules by failing to respond to two
(2) informal complaints served on Blue Casa by the Consumer &
Governmental Affairs Bureau ("CGB"). Based upon our review of the
facts and circumstances surrounding this apparent violation, we find
that Blue Casa is apparently liable for a forfeiture in the amount of
2. The Commission's informal complaint process, administered by CGB,
provides an avenue for consumers to have their complaints and
inquiries addressed through informal mediation and resolution by CGB
staff with the carrier. In this connection, CGB serves the informal
complaint(s) on the carrier and requires the carrier to provide a
written response within thirty (30) days discussing the satisfaction
of the complaint or the carrier's refusal or inability to satisfy the
complaint. Specifically, pursuant to section 1.717:
The Commission will forward informal complaints to the appropriate carrier
for investigation. The carrier will, within such time as may be
prescribed, advise the Commission in writing, with a copy to the
complainant, of its satisfaction of the complaint or of its refusal or
inability to do so. Where there are clear indications from the carrier's
report or from other communications with the parties that the complaint
has been satisfied, the Commission may, in its discretion, consider a
complaint proceeding to be closed, without response to the complainant. In
all other cases, the Commission will contact the complainant regarding its
review and disposition of the matters raised. If the complainant is not
satisfied by the carrier's response and the Commission's disposition, it
may file a formal complaint in accordance with S:1.721 of this part.
3. Pursuant to this process, CGB served on Blue Casa two (2) informal
complaints filed by two (2) consumers. Blue Casa, however, has failed
to respond to the informal complaints referenced herein.
A. Apparent Violation
4. Under section 503(b)(1) of the Act, 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. 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. 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 and the
Commission has so interpreted the term in the section 503(b)
context. The Commission also may assess a forfeiture for violations
that are merely repeated, and not willful. "Repeated" means that the
act was committed or omitted more than once, or lasts more than one
day. To impose such a forfeiture penalty, the Commission must issue a
notice of apparent liability 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. 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 order or rule.
5. Sections 4(i), 4(j), 218, and 403 of the Act afford the Commission
broad authority to investigate the entities it regulates. Section 4(i)
authorizes the Commission to "issue such orders, not inconsistent with
this Act, as may be necessary in the execution of its functions," and
section 4(j) states that "the Commission may conduct its proceedings
in such manner as will best conduce to the proper dispatch of business
and to the ends of justice." Section 218 of the Act specifically
authorizes the Commission to "obtain from ... carriers ... full and
complete information necessary to enable the Commission to perform the
duties and carry out the objects for which it was created." Section
403 of the Act grants the Commission "full authority and power at any
time to institute an inquiry, on its own motion ... relating to the
enforcement of any of the provisions of this Act." Finally, section
1.717 of the Commission's rules requires the Commission to forward
informal complaints to the appropriate carriers and requires a written
response from the carrier within such time as prescribed by the
6. We find that Blue Casa apparently violated section 1.717 of the
Commission's rules by failing to respond to the above-referenced
informal complaints served by CGB. Further, the Commission on March 2,
2007, reminded carriers of the importance of responding to informal
complaints, and the seriousness of the penalties for failure to do so.
Nevertheless, Blue Casa has not responded to the informal complaints
referenced herein. We conclude that Blue Casa's continuing failure to
respond to the informal complaints served by CGB constitutes an
apparent willful and repeated violation of a Commission rule.
A. Forfeiture Amount
7. Section 503(b)(1) of the Act provides that any person that willfully
or repeatedly fails 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. Section 503(b)(2)(B) of
the Act authorizes the Commission to assess a forfeiture of up to
$130,000 for each violation or each day of a continuing violation, up
to a statutory maximum of $1,325,000 for a single act or failure to
act. Section 1.80 of the Commission's rules and the Commission's
Forfeiture Policy Statement establish a base forfeiture amount of
$3,000 for failure to file required forms or information, and $4,000
for failure to respond to a Commission communication. Blue Casa's
failure to respond warrants the base forfeiture amount of $4,000 for
each informal complaint, for a proposed forfeiture of $8,000.
8. Blue Casa will have an opportunity to submit further evidence and
arguments in response to this NAL to show that no forfeiture should be
imposed or that some lesser amount should be assessed.
IV. CONCLUSION and ORDERING CLAUSES
9. We conclude that Blue Casa apparently willfully or repeatedly violated
a Commission rule by failing to provide a written response to the
Commission in response to two (2) informal complaints. Accordingly, a
proposed forfeiture is warranted against Blue Casa for this apparent
willful or repeated violation.
10. ACCORDINGLY, IT IS ORDERED THAT, pursuant to Section 503(b) of the
Communications Act of 1934, as amended, Section 1.80(f)(4) of the
Commission's rules, and authority delegated by Sections 0.111 and
0.311 of the Commission's rules, BLUE CASA COMMUNICATIONS, INC. IS
LIABLE FOR A MONETARY FORFEITURE in the amount of eight thousand
dollars ($8,000) for willfully or repeatedly failing to respond to two
(2) informal complaints served by CGB in violation of section 1.717 of
the Commission's rules.
11. 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, BLUE CASA COMMUNICATIONS, INC. SHALL PAY
the full amount of the proposed forfeiture or SHALL FILE a written
statement seeking reduction or cancellation of the proposed
12. 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/Account Number and FRN Number referenced
above. Payment by check or money order may be mailed to Federal
Communications Commission, P.O. Box 979088, St. Louis, MO 63197-9000.
Payment by overnight mail may be sent to U.S. Bank - Government
Lockbox #979088, SL-MO-C2-GL, 1005 Convention Plaza, St. Louis, MO
63101. Payment[s] by wire transfer may be made to ABA Number
021030004, receiving bank TREAS/NYC, and account number 27000001. For
payment by credit card, an FCC Form 159 (Remittance Advice) must be
submitted. When completing the FCC Form 159, enter the NAL/Account
number in block number 23A (call sign/other ID), and enter the letters
"FORF" in block number 24A (payment type code). Requests for full
payment under an installment plan should be sent to: Chief Financial
Officer -- Financial Operations, 445 12th Street, S.W., Room 1-A625,
Washington, D.C. 20554. Please contact the Financial Operations
Group Help Desk at 1-877-480-3201 or Email: ARINQUIRIES@fcc.gov with
any questions regarding payment procedures.
13. 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 BLUE CASA COMMUNICATIONS, INC., to its
address of record, attn: CT Corporation Services, 1025 Vermont Avenue,
NW, Washington, D.C. 20005.
FEDERAL COMMUNICATIONS COMMISSION
Kris A. Monteith
Chief, Enforcement Bureau
IC# 07-G64599, served on April 11, 2007
IC# 07-I0269772, served on April 11, 2007
47 U.S.C. S: 503(b)(1). The Commission has the authority under this
section of the Communications Act of 1934, as amended (the "Act") to
assess a forfeiture against any person who has "willfully or repeatedly
failed to comply with any of the provisions of this Act or of any rule,
regulation, or order issued by the Commission under this Act ...."
See 47 C.F.R. S: 1.717.
47 C.F.R. S: 1.717.
47 U.S.C. S: 503(b)(1)(B) and 47 C.F.R. S: 1.80(a)(1).
47 U.S.C. S: 312(f)(1).
H.R. Rep. No. 97-765, 97th Cong. 2d Sess. 51 (1982).
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.").
See, e.g., Callais Cablevision, Inc., Grand Isle, Louisiana, Notice of
Apparent Liability for Monetary Forfeiture, 16 FCC Rcd 1359, 1362, P: 10
(2001) ("Callais Cablevision") (issuing a Notice of Apparent Liability
for, inter alia, a cable television operator's repeated signal leakage).
Southern California Broadcasting Co., 6 FCC Rcd at 4388, P: 5; Callais
Cablevision, 16 FCC Rcd at 1362, P: 9.
47 U.S.C. S: 503(b); 47 C.F.R. S: 1.80(f).
See, e.g., SBC Communications, Inc., Forfeiture Order, 17 FCC Rcd 7589,
7591 (2002) ("SBC Forfeiture Order").
47 U.S.C. S:S: 154(i), (j), 218, & 403.
47 U.S.C. S: 154(i), (j).
47 U.S.C. S: 218.
47 U.S.C. S: 403; see also 47 U.S.C. S: 154(i), (j).
47 C.F.R. S: 1.717. As noted supra, CGB serves the informal complaint(s)
on the carrier and requires the carrier to provide a written response
within thirty (30) days.
Public Notice, Consumer & Governmental Affairs Bureau Reminds Common
Carriers of Their Obligation to Timely Respond to Informal Complaints, DA
07-989 (March 2, 2007).
47 U.S.C. S: 503(b)(1)(B); 47 C.F.R. S: 1.80(a)(2).
47 U.S.C. S: 503(b)(2)(B); see also 47 C.F.R. S: 1.80(b)(2); Amendment of
Section 1.80(b) of the Commission's Rules, Adjustment of Forfeiture Maxima
to Reflect Inflation, Order, 19 FCC Rcd 10945 (2004).
47 C.F.R. S: 1.80; Commission's Forfeiture Policy Statement and Amendment
of Section 1.80 of the Rules to Incorporate the Forfeiture Guidelines,
Report and Order, 12 FCC Rcd 17087, 17114 (1997), recon. denied 15 FCC Rcd
47 U.S.C. S: 503(b)(b)(4)(C); 47 C.F.R. S: 1.80(f)(3).
47 U.S.C. S: 503(b).
47 U.S.C. S: 1.80(f)(4).
47 C.F.R. S:S: 0.111, 0.311.
(...continued from previous page)
Federal Communications Commission DA 08-416
Federal Communications Commission DA 08-416