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S\  `&Times New RomanS <:Paragraph 1 0.TOC 1 X X     S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS0.TOC 2  X  ` `    S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS0.TOC 3  X       S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS0.TOC 4 ` X     S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS0.TOC 5  X  hh   S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS0.TOC 6 X  (#  S\  `&Times New RomanS  8.` hp x (#8  S\  `&Times New RomanS0.TOC 7 X 5+ ` hp x (#5  S\  `&Times New RomanS  8.` hp x (#8  S\  `&Times New RomanS0.TOC 8 X  (#  S\  `&Times New RomanS  8.` hp x (#8  S\  `&Times New RomanS0.TOC 9 X  (#  S\  `&Times New RomanS  8.` hp x (#8  S\  `&Times New RomanS42Index 1  X  ` `   P S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS42Index 2  X  ` `    S\  `&Times New RomanS   8.` hp x (#8  S\  `&Times New RomanS<g:TOA Heading  (#S\  `&Times New RomanS8.` hp x (#8S\  `&Times New RomanS4ll2Caption XXXS\  `&Times New RomanSS\  `&Times New RomanS&$686Body Text ;1X` hp x (#;XXXS\  `&Times New RomanS#aa8.` hp x (#8S\  `&Times New RomanS#aa'    0 .     H'  7mX7Xm7m   @   3 p x (#X3XXm #aaddQJJFederalCommunicationsCommissionDA991400   K1X` hp x (#XK-  mXX#ddaap`\ ~Kp@0 ddxKEKKGJ-  (q2H$ 5!    7mX7Xm7m  'dxd&Draw Object <<=8C HKKKK :   H)  7mX7Xm7m   @ t$tSm  SXX  -  mXXhXT~x p @  dd@E+xxe<-  (q2H$ 5!    7mX7Xm7m  (q2H$ 5!    7mX7Xm7m  o&"D&raw Object Text <C HKKKKdd  H"  7mX7Xm7m   @ ! (#X!XXmQ <mXX#bbdd  1  (q2H$ 5!    7mX7Xm7m  $35;?CGKOS71.1111111($      5! @   7mX7Xm7m  &%mH4X` hp x (#XH E1X` hp x (#XE&%%&     c,  XX%& XdXXX  ,c,  1  5 & %X Xd&% % &  m%& ,,Ӏ47U.S.C.301(d). * 5! @   7mX7Xm7m  &%mH4X` hp x (#XH E1X` hp x (#XE&%%&     c,  XX%& XdXXX  ,c,  2  5 & %X Xd&% % &  m%& ,,Ӏ47C.F.R.101.53.OnFebruary12,1999,Section101.53oftheCommission'sRuleswasreplacedbySection1.948  oftheCommission'sRules.SeeIntheMatteroftheBiennialRegulatoryReviewAmendmentofParts0,1,13,22, x 24,26,27,80,87,90,95,97and101oftheCommission'sRulestoFacilitatetheDevelopmentandUseoftheUniversalLicensingServiceintheWirelessTelecommunicationsServices,13FCCRcd21027(1998).Thepriorruleis X applicableherebecauseIBMbecamethelicenseeofthestationspriortoFebruary12,1999.  5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀTwoofthelicenses,WNEZ480andWNEZ481,werecancelledatIBMsrequestonFebruary8,1999.SinceIBMacquiredcontrolofthesefacilitieswithouttheCommissionsconsent,andsinceIBMwasthelicenseeofrecordofthesestationsfromDecember2,1998toFebruary8,1999(See4,infra),thereisnoimpedimenttoissuinganNALagainstIBMforitsviolationswithrespecttothoseformerlicenses.        5!  &>4X` hp x (#>      ;1X` hp x (#;   US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀSeeRequestforSpecialTemporaryAuthority,filedNovember2,1998,byIBM,p.1.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       * 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.,p.2.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       M 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.(STARequestisstamped Granted).       : 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀFileNos.746030,746032746052.       V 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀSeePublicNoticeNo.2018,releasedDecember8,1998.       U 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀIBM1998AnnualReport,ConsolidatedStatementofEarnings.       P 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47U.S.C.310(d).    5!  &8.` hp x (#8      ;1X` hp x (#;  c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47C.F.R.101.53.   ? 5!  &8.` hp x (#8         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀ47U.S.C.503(b);47C.F.R.1.80.       [ 5!  &8.` hp x (#8   US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀSouthernCaliforniaBroadcastingCompany,6FCCRcd4387(1991)(thedefinitionofwillfulnesscontainedin47U.S.C.312(f)appliesequallyto47U.S.C.503).  5!  &8.` hp x (#8         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀSeeCourtesyCommunications,Inc.,FCC9926(releasedMarch17,1999)at6(whenlicenseefailstofileFCCForm489sforthreetransmitterslicensedunderthesamecallsign,therearethreeviolationsofthepertinentrule).        5!  &>4X` hp x (#>      ;1X` hp x (#;    c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  ԀIntheMatterofFederalCommunicationBarAssociation'sPetitionforForbearancefromSection310(d)oftheCommunicationsActRegardingNonSubstantialAssignmentsofWirelessLicensesandTransfersofControlInvolvingTelecommunicationsCarriersandPersonalCommunicationsIndustryAssociation'sBroadbandPersonalCommunicationsServices,13FCCRcd6293,6299(1998).   # 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀId.       0 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀ47U.S.C.310(d).       0 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀ47C.F.R.101.53.        5!  &>4X` hp x (#>       SeeJ.B.CommunicationsofBaltimore,Ltd.,31RR2d1145(1974). U 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀSeeFCCForm415,February1997edition,Question43.        5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀTheCommissionsForfeiturePolicyStatementandAmendmentofSection1.80oftheCommissionsRules(ForfeiturePolicyStatement),12FCCRcd17087,1710817109(1997).       6 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀ47U.S.C.503(b)(2)(D).       5!  &>4X` hp x (#>       ForfeiturePolicyStatement,supra,12FCCRcdat17099. 6 5!  &>4X` hp x (#>         US XXXC <6X9`(CourierC        S\  `&Times New RomanSԀ47U.S.C.503(b)(2)(D).       P 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47U.S.C.503(b).   N 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47C.F.R.1.80.   P 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47U.S.C.310(d).   P 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47C.F.R.101.53.   N 5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  Ԁ47C.F.R.1.80.    5!  &>4X` hp x (#>        c,   US XXXC <6X9`(CourierC  ,       ,S\  `&Times New RomanS  ԀPaymentoftheforfeituremaybemadebycreditcardthroughtheCommission'sBillingsandCollectionsBranchat(202)4181995orbymailingacheckorsimilarinstrument,payabletotheorderoftheFederalCommunicationsCommission,totheFederalCommunicationsCommission,P.O.Box73482,Chicago,Illinois606737482.Thepaymentshouldnotethefilenumberofthisproceeding.  (2$ 5!    7mX7Xm7m  &%m  0  #|x(V$    7mX7Xm7mHP LaserJet IIP,,,,0(9 Z6Times New Roman Regular7XWPCZ<5131d3d5. %%43#37=CIQYag1.a.i.(1)(a)(i)1)a) d&h&gvJU 5!    7mX7Xm7m          3 p x (#X3&%m #bbdd_Qpp%BeforetheB  C  Ԉ s Q||FederalCommunicationsCommissionQddWashington,D.C.20554  + K1X` hp x (#XK3 p x (#XX3IntheMatterofXX%&#aabbQ*   p )  p Q*   p )    \ NoticeofApparentLiabilityforForfeitureofQ*   p )  H K1` hp x (#XKӀ   `     h   Q*   p )     4 INTERNATIONALBUSINESSMACHINES Q*   p )  FileNo.920EF0047   < p x (#XX<Q*   p )K1X` hp x (#XKXXXXXXXX#aaaa      LicenseeofPointtoPointMicrowave h Stations   p )A݌ o  Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa  k  WNTT360(HuntingtonBeach,CA);WHJ651(Huntington p )k!݌ [  Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa  -   Beach,CA);WNEZ481(Monrovia,CA);WNEZ480  )- ݌ G  Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa     (LaHabra,CA);WHJ653(Cypress,CA);WHJ649   p ) ݌ 3  Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa     (Hazelwood,CA);WHJ650(Torrance,CA);WHJ816  ) f ݌   Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa  n  (SaintCharles,MO); WNER966(DominguezHills,CA); p )  n$݌    Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa  G  WNET350(Gardena,CA);WNEU335(GrayButte,CA); p )G݌  Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa    WNEU679(LongBeach,CA);WNEW515(LongBeach, p )݌ p Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa    CA);WNEY550(LongBeach,CA);WNEZ482(Compton, p )  {݌ \ Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa    CA);WNTB361(LongBeach,CA);WNTH667(Edwards p )F݌ H Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa  O  AFB,CA);WNTL350(Anaheim,CA);WNTT359(Long p )O݌ 4 Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa     Beach,CA);WNTX919(Wrightwood,CA);WNTX920 p ) ݌   Ќ$XXX$XXXXXXXX#aaaa  K1X` hp x (#XKXXXXXXXX#aaaa    (LongBeach,CA);andWPJF891(LongBeach,CA)  )݌   Ќ$XXX$XXXXXXXX#aaaa      &%XX #ddaaNOTICEOFAPPARENTLIABILITYFORFORFEITURE  W   #bbdd6p x (#X6   Adopted:July19,1999 p   Released:July20,1999 x  BytheDeputyChief,EnforcementandConsumerInformationDivision,WirelessTelecommunicationsBureau:#ddbb !  9 p x (#pX9 #bbddQ"I. Introduction 7#     #ddbbC  $3;CN4X4` hp x (#XN XXX%&2  1  .3   4 &%XXInthisNoticeofApparentLiabilityforForfeiture,wefindthat#bbddInternationalBusinessMachines $" ( IBM),licenseeofthe22abovecaptionedpointtopointmicrowavestations,engagedinunauthorizedpro %l# formatransfersofcontrolofthestations,inapparentrepeatedviolationofSection310(d) &H $  X  '$!% Q4X` hp x (#X4` XQoftheCommunicationsActof1934,asamended("Act")XX%& XdXXX  }"  & %h Xd&% J &       1      ׀andSection101.53oftheCommission'sRules.XX%& XdXXX  #  & %h Xd&% J &   & %%&#ccbb X    2      ׀&% % &#bbccԀFor s thereasonsdiscussedbelow,weconcludethatIBMisapparentlyliableforaforfeitureinthetotalamountof$20,000. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc     ׀&&&S\  `&Times New RomanS#bb  >4[% hM2!(#>  >4X` hp x (#>#bb  II. Background     >4[% hM2!(#>    >4X` hp x (#>#bb..2.ThestationsinquestionwereoriginallylicensedtoAdvantis,ageneralpartnershipowned70percentbyIBMand30percentbySearsRoebuck&Co.( Sears). US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀IBMs70percentinterestwasheldbyTarrytownHoldings,awhollyownedsubsidiaryofISSC,whichwasinturnawhollyownedsubsidiaryofIBM. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bbԀOnJune11,1997,TarrytownHoldingsbecameasubsidiaryofISSCHoldings,Inc.,anewlycreatedsubsidiaryofISSC. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀OnJune12,1997,THP,Inc.,anotherwhollyownedsubsidiaryofISSCHoldings,Inc.,acquiredSearsinterestinAdvantis. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bbԀAtthattime,IBMowned100percentofAdvantis. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bbԀOnJuly1,1997,TarrytownHoldingsmergedintoTHP,Inc.,causingthedissolutionoftheAdvantispartnership. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀THP,Inc.,thesurvivingentity,wasrenamedAdvantisCorporation. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bbԀOnOctober1,1997,IBMsrestructuringofitsinterestinAdvantiswascompletedwhenAdvantisCorporation,ISSC,andISSCHoldings,Inc.wereallmergedintoIBM. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    #dd..3.IBM,Advantis,andtheothercorporationsinvolveddidnotfileapplicationsforCommissionconsenttothetransfersofcontrolofthesubjectstationsthattookplacewhenthesetransactionswereeffectuated.IBMadmitsthat neitherthelicenseenortheparentcorporationunderstoodthatevenaproformachangeinownershipsuchasoccurredhererequirespriorCommissionapproval. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&S\  `&Times New RomanS    ׀IBMattributesthismisunderstanding,inpart,to thefactthatlicenseesofprivateoperationalfixedmicrowaveradiostationsarenotrequiredtoprovidedetailedownershipinformationatthetimeoffilingoftheirinitialapplicationsfornewlicenses. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&S\  `&Times New RomanS    ׀IBMadmitsthatitdidnotseekadvicefromcommunicationscounsel becausethetransactionwas,atthetime,viewedsimplyasaproformacorporaterestructuringdrivenprimarilybystateandlocaltaxramifications.... US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&S\  `&Times New RomanS#bb    ..4.IBMstatesthatshortlybeforeOctober26,1998,itdeterminedthatithadfailedtoobtainCommissionconsenttotheproformatransfersofcontrol. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bbԀOnNovember2,1998,IBMfiledaRequestforSpecialTemporaryAuthority,whichwasgrantedonNovember12,1998. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀AlsoonNovember2,1998,IBMfiledanapplicationfortheCommissionsconsenttoassignthelicensestoIBM. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀ThatapplicationwasgrantedonDecember2,1998. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ..5.FortheyearendedDecember31,1998,IBManditssubsidiarycompaniesreportedtotalrevenuesof$81,667,000,000.Itsnetincomeforthesameperiodwas$6,308,000,000. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb      #ddIII . Discussion  #bb..6.Section310(d)oftheCommunicationsAct US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb    ׀providesinpertinentpart: X X ;1X` hp x ;  ..Noconstructionpermitorstationlicense,oranyrightsthereunder,shallbetransferred,assigned,ordisposedofinanymanner,voluntarilyorinvoluntarily,directlyorindirectly,orbytransferofcontrolofanycorporationholdingsuchpermitorlicense,toanypersonexceptuponapplicationtotheCommissionanduponfindingbytheCommissionthatthepublicinterest,convenience,andnecessitywillbeservedthereby.       >4[% hM2!(#>    >4X` hp x (#>#bb8.` hp x (#8ThissectionwascodifiedforfixedmicrowaveservicesatSection101.53(a)oftheCommission'sRules. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc    ׀&&&S\  `&Times New RomanS#bb#ddSection503(b)oftheActandSection1.80oftheCommissionsRulesfurtherprovidethataforfeiturepenaltymaybeassessedagainstapersonwhoisfoundtohavewillfullyorrepeatedlyfailedtocomplywiththeCommissionsrules. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&C <6X9`(CourierC     ׀&&&S\  `&Times New RomanSԀTheCommissionhasheldthatanactoromissionis willfulifitisaconsciousactoromission,whetherornotthereisanyintenttoviolatetherule. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&C <6X9`(CourierC !   ׀&&&S\  `&Times New RomanSԀWithrespecttoanunauthorizedtransferofcontrolinvolvingmultiplestations,eachstationforwhichcontrolwastransferredwithoutauthorityisaseparateviolationoftheActandtheCommissionsRules. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&S\  `&Times New RomanS#bb "   >4X` hp x (#>Ӏ..7.BaseduponourreviewoftherecordandIBMsadmissions,wefindthatIBMengagedinaseriesofproformatransfersofcontrolwithrespecttothelicensesoriginallyheldbyAdvantis.ThefirstproformatransferofcontroloccurredinJune1997,whenIBMrestructureditsinterestinAdvantisandacquiredSearspartnershipinterestinAdvantis.TheCommissionhasstatedthataproformatransferofcontrolincludesan assignmentoflessthanacontrollinginterestinapartnership. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb #   ׀AnotherproformatransferofcontroloccurredonOctober1,1997whenAdvantisCorporationwasmergedintoIBM,theparentcorporation.Anassignmentfromawhollyownedsubsidiarytoitsparentcorporationisaproformatransaction. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc $   ׀&&&S\  `&Times New RomanS#bbThesetransfersofcontrolwerecarriedoutinapparentwillfulandrepeatedviolationofSection310(d)oftheAct US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb %   ׀andSection101.53oftheCommissionsRules. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb &   ..8.IBMsclaimthatitmisunderstoodtheCommissionsrequirementsdoesnottoservetoexcuseortomitigateitsviolations.#ddTheCommissionhasstatedthatlicenseeshaveanaffirmativeobligationtobeinformedandcomplywiththeCommission'sRules.&&&C <6X9`(CourierC   2  '   ׀&&&S\  `&Times New RomanSԀFurthermore,IBMcouldhavereadilyascertainedthatCommissionconsentwasrequiredfortheproformatransfersofcontrolbyconsultingwithitscommunicationscounsel.WhileIBMcorrectlypointsoutthatFCCForm415doesnotrequiredetailedownershipinformation,wenotethatQuestionNo.43ofthatsameformdealingwithtransfersofcontrolinquires, IsthisaproformaTransferofControl? US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&C <6X9`(CourierC (   ׀&&&S\  `&Times New RomanSԀThus,thereisnomerittoIBMsclaimthatthecompanymisconstruedFCCForm415assomehowrelievinglicenseesoftheiritsobligationtoobtainCommissionconsenttoproposedproformatransfersofcontrol.#bb#dd..9.TheCommissionsForfeiturePolicyStatement,whichbecameeffectiveonOctober14,1997,providesthatcasesarisingfromfactsthatoccurredpriortotheeffectivedateoftheForfeiturePolicyStatementshallbedecidedonacasebycasebasis. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC  &&&S\  `&Times New RomanS#aa )   ׀SincetheviolationsinquestionbeganinJune1997,wewilldeterminetheappropriateforfeitureusingthecasebycasemethod.Section503(b)(2)(D)oftheActrequiresthattheCommissionconsider thenature,circumstances,extentandgravityoftheviolation,and,withrespecttotheviolator,thedegreeofculpability,anyhistoryofprioroffenses,abilitytopay,andsuchothermattersasjusticemayrequirewhenassessingaforfeiture. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#bb  &&&S\  `&Times New RomanS#aa *   ׀#ddInTelecourierCommunicationsCorp.,10FCCRcd10014(WirelessTel.Bureau1995),theEnforcementDivisionoftheWirelessTelecommunicationsBureaudeterminedthat$3,500wasanappropriatebaseforfeitureforanunauthorizedproformatransferofcontroloftwopubliclandmobilestations.TheBureaureducedtheforfeitureto$2,500($1,250perstation),however,duetoTelecourier'svoluntarynotificationofitsviolationanditshistoryofoverallcompliancewithCommissionRules.#bbInthiscase,IBMsvoluntarydisclosureofitsviolationsisasubstantialmitigatingfactor.Ontheotherhand,therearetwofactorsthatwarrantasubstantialforfeiture:thedurationoftheviolation(fromJune1997until,attheearliest,October1998),andIBMsabilitytopayaforfeiture,giventhecorporationsnetincomeandrevenues.Withrespecttothelatterfactor,theCommissionhas#ddstateditsintention totakeintoaccountthesubjectviolator'sabilitytopayindeterminingtheamountofaforfeituretoguaranteethatforfeituresissuedagainstlargeorhighlyprofitableentitiesarenotconsideredmerelyanaffordablecostofdoingbusiness.&&&C <6X9`(CourierC   2  +   ׀&&&S\  `&Times New RomanS#aa..10.Inthiscase,takingintoconsiderationallofthefactorsrequiredbySection503(b)(2)(D)oftheAct, US XXXC <6X9`(CourierC    &&&S\  `&Times New RomanS#aa ,   ׀including,butnotlimitedto,thenatureofthestationsinquestion,IBMsvoluntarydisclosureofitsviolationstotheCommission,thelengthoftimeduringwhichtheunauthorizedtransferstookplace,thenumberofstationsinvolved,IBMsapparentpromptremedialactiononceitdiscoveredtheerror,andIBMsabilitytopayasubstantialforfeiture,webelieveatotalforfeitureintheamountof$20,000isappropriate.  #bbIV.OrderingClauses   ..11.ACCORDINGLY,ITISORDERED,pursuanttoSection503(b)oftheCommunicationsActof1934,asamended, US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb -   ׀andSection1.80oftheCommission'sRules, US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc .   ׀&&&S\  `&Times New RomanS#bbIBMisherebyNOTIFIEDofitsAPPARENTLIABILITYFORAFORFEITUREintheamountoftwentythousanddollars($20,000)forwillfullyandrepeatedlyviolatingSection310(d)oftheCommunicationsActof1934, US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&C <6X9`(CourierC#cc /   ׀&&&S\  `&Times New RomanS#bbasamended,andSection101.53oftheCommission'sRules. US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb 0   ..12.ITISFURTHERORDERED,pursuanttoSection1.80oftheCommission'sRules, US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb 1   ׀thatwithinthirtydaysofthereleaseofthisNotice,IBMSHALLPAYthefullamountoftheproposedforfeiture US XXXC <6X9`(CourierC  &&&C <6X9`(CourierC#cc  &&&S\  `&Times New RomanS#bb 2   ׀orSHALLFILEawrittenstatementseekingreductionorcancellationoftheproposedforfeiture...13.ITISFURTHERORDEREDthatacopyofthisNoticeshallbesentbyCertifiedMail,ReturnReceiptRequestedtoIBMscounsel,DouglasL.Povich,Esq.,Squire,Sanders&Dempsey,L.L.P.,1201PennsylvaniaAvenue,N.W.,Washington,D.C.200440407...........FEDERALCOMMUNICATIONSCOMMISSION  >4[% hM2!(#>  >4X` hp x (#>#bb..........MyronC.Peck..............DeputyChief,EnforcementandConsumerInformationDivision..........WirelessTelecommunicationsBureau  8.` hp x (#8