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 KRCA License, LLC Licensee of Station KPNZ Ogden, UT ) )
) ) ) ) ) File No.: EB-FIELDWR-13-00007251 NAL/Acct. No.: 201432800003
FRN: 0020239414 Facility ID No.: 77512
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Adopted: February 6, 2014 Released: February 7, 2014
By the District Director, Denver Office, Western Region, Enforcement
1. In this Notice of Apparent Liability for Forfeiture (NAL), we find
that KRCA License, LLC (KLL), licensee of Station KPNZ (Station)
serving Ogden, Utah, apparently willfully and repeatedly violated
Section 11.35(a) of the Commission's rules (Rules) by failing to
maintain operational Emergency Alert System (EAS) equipment and logs.
^ ^ We conclude that KLL is apparently liable for a forfeiture in the
amount of nine thousand dollars ($9,000).
2. Station KPNZ is a full-power television broadcast station licensed to
the community of Ogden, Utah, with a main studio in Salt Lake City,
Utah.^ On February 7, 2013, an agent of the Enforcement Bureau's
Denver Office (Denver Office) inspected the Station at its Salt Lake
City main studio location. At the time of the inspection, only an EAS
receiver was located at the main studio and employees were unable to
make any EAS records available for inspection. Station employees
advised the Denver agent that the EAS unit was located at the
station's Master Control in Burbank, California.
3. The following day, February 8, 2013, a KLL employee from the Burbank
office contacted the agent, and confirmed that KLL did not have any
EAS records for the Station. The representative emailed the agent
later the same day, and provided documentation regarding the Station's
EAS operation, which included a log of EAS Required Weekly Tests
(RWTs) that were generated from the station's unit in Burbank. The log
only included RWTs that the Station had transmitted on February 7 and
8, 2013. The email also included a schematic for the remote operation
of the Station's EAS equipment, illustrating how the EAS equipment in
Burbank communicated with the EAS receiver and the broadcast
transmitter, both located in Utah.
4. On May 16, 2013, the Denver Office issued a Notice of Violation (NOV)
to KLL for multiple violations of the EAS Rules because of its failure
to produce any records related to the Station's EAS and the
operational status of the unit, including logs related to EAS tests
and deficiencies.^ In its NOV Response, KLL stated that the Station's
EAS equipment "was not in fact regularly monitoring the required local
EAS sources, the required weekly and monthly tests were not being
properly and regularly received and transmitted, and a record of the
deficiencies had not been made regularly in the station logs."^ KLL
also stated that "the EAS equipment was not properly generating EAS
logs as it is designed to do." ^ ^
5. Section 503(b) of the Communications Act of 1934, as amended (Act),
provides that any person who willfully or repeatedly fails to comply
substantially with the terms and conditions of any license, or
willfully or repeatedly fails to comply with any of the provisions of
the Act or of any rule, regulation, or order issued by the Commission
thereunder, shall be liable 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
may also assess a forfeiture for violations that are merely repeated,
and not willful.^ The term "repeated" means the commission or omission
of such act more than once or for more than one day.^
A. Failure to Maintain Operational EAS Equipment and Logs
6. Every broadcast station is part of the nationwide EAS network and is
categorized as a participating national EAS source.^ The EAS enables
the President and state and local governments to provide immediate
communications and information to the general public.^ State and local
area plans identify local primary sources responsible for coordinating
carriage of common emergency messages from the sources such as the
National Weather Service or local emergency management officials.^
Required monthly and weekly tests originate from EAS Local or State
Primary sources and must be retransmitted by the participating
station. As the nation's emergency warning system, the EAS is critical
to public safety, and we recognize the vital role that broadcasters
play in ensuring its success. The Commission takes seriously any
violations of the Rules implementing the EAS and expects full
compliance from its licensees.
7. The record evidence in this case establishes that KLL violated Section
11.35(a) of the Rules. Section 11.35(a) of the Rules states that EAS
Participants are responsible for ensuring that EAS Encoders, EAS
Decoders, and Attention Signal generating and receiving equipment used
as part of the EAS are installed so that the monitoring and
transmitting functions are available during the times the stations and
systems are in operation.^ Section 11.35(a) also requires EAS
participants to record in station logs the reasons why any EAS tests
were not received.^ On February 7, 2013, a Denver agent inspected the
Station's main studio in Salt Lake City, Utah, and found that the
Station had no EAS logs. On February 8, 2013, a KLL representative
informed the agent that the Station had no EAS records or logs. In its
NOV Response, KLL acknowledged that the Station's EAS equipment was
not monitoring the required local EAS sources, the required weekly and
monthly tests were not being properly and regularly received and
transmitted, a record of the deficiencies was not being made regularly
in the station logs, and no EAS logs were being generated.^ Therefore,
based on the evidence before us, we find that KLL apparently willfully
and repeatedly violated Section 11.35(a) of the Rules by failing to
maintain operational EAS equipment and logs.
A. Proposed Forfeiture and Reporting Requirement
8. Pursuant to the Commission's Forfeiture Policy Statement and Section
1.80 of the Rules, the base forfeiture amount for failing to have
operational EAS equipment is $8,000, and the base forfeiture amount
for failure to maintain required records is $1,000.^ Applying the
Forfeiture Policy Statement, Section 1.80 of the Rules, and the
statutory factors to the instant case, we conclude that KLL is
apparently liable for a total forfeiture of $9,000 for failing to
maintain operational EAS equipment and logs.
IV. ORDERING CLAUSES
9. Accordingly, IT IS ORDERED that, pursuant to Section 503(b) of the
Communications Act of 1934, as amended, and Sections 0.111, 0.204,
0.311, 0.314, and 1.80 of the Commission's rules, KRCA License, LLC,
is hereby NOTIFIED of this APPARENT LIABILITY FOR A FORFEITURE in the
amount of nine thousand dollars ($9,000) for violation of Section
11.35(a) of the Commission's rules.^
10. IT IS FURTHER ORDERED that, pursuant to Section 1.80 of the
Commission's rules, within thirty (30) calendar days of the release
date of this Notice of Apparent Liability for Forfeiture, KRCA
License, LLC, SHALL PAY the full amount of the proposed forfeiture or
SHALL FILE a written statement seeking reduction or cancellation of
the proposed forfeiture.
11. Payment of the forfeiture must be made by check or similar instrument,
wire transfer, or credit card, and must include the NAL/Account Number
and FRN referenced above. KRCA License, LLC, will also send electronic
notification on the date said payment is made to WR-Response@fcc.gov.
Regardless of the form of payment, a completed FCC Form 159
(Remittance Advice) must be submitted.^ When completing the FCC Form
159, enter the Account Number in block number 23A (call sign/other ID)
and enter the letters "FORF" in block number 24A (payment type
code). Below are additional instructions you should follow based on
the form of payment you select:
* Payment by check or money order must be made payable to the order of
the Federal Communications Commission. Such payments (along with the
completed Form 159) must be mailed to Federal Communications
Commission, P.O. Box 979088, St. Louis, MO 63197-9000, or sent
via overnight mail to U.S. Bank - Government Lockbox #979088,
SL-MO-C2-GL, 1005 Convention Plaza, St. Louis, MO 63101.
* Payment by wire transfer must be made to ABA Number 021030004,
receiving bank TREAS/NYC, and Account Number 27000001. To complete
the wire transfer and ensure appropriate crediting of the wired funds,
a completed Form 159 must be faxed to U.S. Bank at (314) 418-4232 on
the same business day the wire transfer is initiated.
* Payment by credit card must be made by providing the required credit
card information on FCC Form 159 and signing and dating the Form 159
to authorize the credit card payment. The completed Form 159 must then
be mailed to Federal Communications Commission, P.O. Box 979088, St.
Louis, MO 63197-9000, or sent via overnight mail to U.S. Bank -
Government Lockbox #979088, SL-MO-C2-GL, 1005 Convention Plaza, St.
Louis, MO 63101.
12. Any request for making full payment over time under an installment
plan should be sent to: Chief Financial Officer--Financial
Operations, Federal Communications Commission, 445 12th Street, S.W.,
Room 1-A625, Washington, D.C. 20554.^ If you have questions
regarding payment procedures, please contact the Financial Operations
Group Help Desk by phone, 1-877-480-3201, or by e-mail,
13. The written statement seeking reduction or cancellation of the
proposed forfeiture, if any, must include a detailed factual statement
supported by appropriate documentation and affidavits pursuant to
Sections 1.16 and 1.80(f)(3) of the Rules.^ Mail the written statement
to Federal Communications Commission, Enforcement Bureau, Western
Region, Denver Office, P.O. Box 25446, DFC Building 1A, One Denver
Federal Center, Lakewood, Colorado, 80225, and include the NAL/Acct.
No. referenced in the caption. KRCA License, LLC, also shall e-mail
the written response to WR-Response@fcc.gov.
14. 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 principles (GAAP); 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
15. IT IS FURTHER ORDERED that a copy of this Notice of Apparent Liability
for Forfeiture shall be sent by both Certified Mail, Return Receipt
Requested, and First Class Mail, to KRCA License, LLC, at 1845 Empire
Ave., Burbank, CA 91504, and Marnie K. Sarver, Esquire, Wiley Rein
LLP, 1776 K Street, N.W., Washington DC 20006, its counsel of record.
FEDERAL COMMUNICATIONS COMMISSION
Nikki P. Shears
^ 47 C.F.R. S 11.35(a).
^ See License File No. BLCDT-20090617ABF, granted August 24, 2010.
^ See KRCA License, LLC, Notice of Violation, V201332800049 LLC (May 16,
2013) (NOV). The noted violations included: 47 C.F.R. S 11.35(a) (EAS
equipment monitoring and transmitting functions must be available during
the time the station is in operation and failure to receive EAS tests must
be logged by the station); 47 C.F.R. S 11.52(d) (EAS Participants must
monitor two EAS sources); 47 C.F.R. S 11.61(a)(1)(i) (Required Monthly
Tests must be transmitted within 60 minutes of receipt by EAS
Participants); 47 C.F.R. S 11.61(a)(2)(i)(A) (Required Weekly Tests must
be conducted at least once a week on random days); 47 C.F.R. S 11.61(b)
(Log entries must be made in EAS Participants' records).
^ Response to Notice of Violation of KRCA License, LLC (Jun. 4, 2013) (on
file in EB-FIELDWR-13-00007251) at 2 (NOV Response).
^ Id. KLL also stated, supported by declarations made under penalty of
perjury, that the EAS equipment had been reprogrammed to ensure that all
required monthly tests are received and relayed and that all RWTs are
appropriately transmitted. KLL also supplied an employee training and
equipment testing plan for the Station to ensure future compliance. See Id
at 1-4, Attachments A-C.
^ 47 U.S.C. S 503(b).
^ 47 U.S.C. S 312(f)(1).
^ H.R. Rep. No. 97-765, 97th Cong. 2d Sess. 51 (1982) ("This provision
[inserted in Section 312] defines the terms `willful' and `repeated' for
purposes of section 312, and for any other relevant section of the act
(e.g., Section 503) . . . . As defined[,] . . . `willful' means that the
licensee knew that he was doing the act in question, regardless of whether
there was an intent to violate the law. `Repeated' means more than once,
or where the act is continuous, for more than one day. Whether an act is
considered to be `continuous' would depend upon the circumstances in each
case. The definitions are intended primarily to clarify the language in
Sections 312 and 503, and are consistent with the Commission's application
of those terms . . . .").
^ See, e.g., Southern California Broadcasting Co., Memorandum Opinion and
Order, 6 FCC Rcd 4387, 4388, para. 5 (1991), recons. denied, 7 FCC Rcd
^ See, e.g., Callais Cablevision, Inc., Notice of Apparent Liability for
Monetary Forfeiture, 16 FCC Rcd 1359, 1362, P 10 (2001) (Callais
Cablevision, Inc.) (proposing a forfeiture for, inter alia, a cable
television operator's repeated signal leakage).
^ Section 312(f)(2) of the Act, 47 U.S.C. S 312(f)(2), which also applies
to violations for which forfeitures are assessed under Section 503(b) of
the Act, provides that "[t]he term `repeated', when used with reference to
the commission or omission of any act, means the commission or omission of
such act more than once or, if such commission or omission is continuous,
for more than one day." See Callais Cablevision, Inc., 16 FCC Rcd at
1362, P 9.
^ 47 C.F.R. SS 11.11, 11.41.
^ 47 C.F.R. SS 11.1, 11.21.
^ 47 C.F.R. S 11.18. State EAS plans contain guidelines that must be
followed by broadcast and cable personnel, emergency officials and
National Weather Service personnel to activate the EAS for state and local
emergency alerts. The state plans include the EAS header codes and
messages to be transmitted by the primary state, local and relay EAS
sources. 47 C.F.R. S 11.21.
^ 47 C.F.R S 11.35(a). See also 47 C.F.R. S 73.1820(a)(1)(iii) (requiring
licensees to create an entry for each test and activation of the EAS in
the station log or in a special EAS log).
^ 47 C.F.R. S 11.35(a). See also 47 C.F.R. S 11.35(b) (requiring licensees
to record when defective EAS equipment is removed from service).
^ See NOV Response at 2.
^ The 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 (1997) (Forfeiture Policy Statement), recons.
denied, 15 FCC Rcd 303 (1999); 47 C.F.R. S 1.80. See Centro Colegial
Cristiano, Inc., Notice of Apparent Liability for Forfeiture and Order, 28
FCC Rcd 329 (Enf. Bur. 2013) (proposing an $8,000 forfeiture for failing
to maintain fully operational EAS equipment); Iglesia Cristiana Ebenezer
of Greenville, TX, Notice of Apparent Liability for Forfeiture and Order,
28 FCC Rcd 6300 (Enf. Bur. 2013) (proposing an $8,000 forfeiture for
failing to maintain fully operational EAS equipment with a $1,000 upward
adjustment for failing to maintain EAS logs).
^ 47 U.S.C. S 503(b); 47 C.F.R. SS 0.111, 0.204(b), 0.311, 0.314, 1.80,
^ An FCC Form 159 and detailed instructions for completing the form may be
obtained at http://www.fcc.gov/Forms/Form159/159.pdf.
^ See 47 C.F.R. S 1.1914.
^ 47 C.F.R. SS 1.16, 1.80(f)(3).
(...continued from previous page)
Federal Communications Commission DA 14-141
Federal Communications Commission DA 14-141