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                            Before the
                Federal Communications Commission
                      Washington, D.C. 20554

In the Matter of                 )
                                 )
Smith Broadcasting of Santa      )
Barbara, LP                      )    File No. EB-02-LA-143
Licensee of Station KEYT(AM)     )    NAL/Acct. No. 200232900007
Santa Barbara, California        )    FRN 0001650019  
Facility ID # 3156               ) 






              NOTICE OF APPARENT LIABILITY FOR FORFEITURE

                                             Released:  July 26, 2002 

By the District Director, Los Angeles Office, Enforcement Bureau:


                         I.  INTRODUCTION

     1. In this Notice of Apparent Liability for Forfeiture ("NAL"), 
we find that Smith Broadcasting of Santa Barbara, LP, (Smith), 
licensee of station KEYT(AM), Santa Barbara, California, apparently 
willfully violated Section 11.35(a) of the Commission's Rules 
("Rules")1 by failing to have operational Emergency Alert System 
("EAS") equipment.  We conclude, pursuant to Section 503(b) of the 
Communications Act of 1934, as amended ("Act")2, that Smith is 
apparently liable for a forfeiture in the amount of eight thousand 
dollars ($8,000).


                         II.  BACKGROUND

     2. On February 13, 2002, Agents of the Los Angeles Office 
inspected KEYT(AM).  At the time of inspection, the EAS equipment was 
present but not operational.  The chief engineer stated that the EAS 
equipment had very recently failed as a result of a power surge that 
caused it to lose all commands.  At the time of inspection, the 
station log revealed no EAS activity since December 30, 2001.  
Specifically, the log indicated no weekly tests issued or received and 
no retransmission of the required monthly tests during the period from 
December 30, 2001 through February 13, 2002.  Further, there was no 
entry in the station log indicating when the EAS equipment went out of 
service, the nature of the problem, what steps were being taken to 
repair the equipment or when the equipment would be back in service. 



                         III.  DISCUSSION

     3. Section 503(b) of the Act provides that any person who 
willfully fails to comply substantially with the terms and conditions 
of any license, or willfully 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.3  
The term "willful" as used in Section 503(b) has been interpreted to 
mean simply that the acts or omissions are committed knowingly.4 

     4. The Rules provide that every AM and FM broadcast station is 
part of the nationwide EAS network and is categorized as a 
participating national EAS source unless the station affirmatively 
requests authority to not participate.5  The EAS provides the 
President and state and local governments with the capability to 
provide immediate and emergency communications and information to the 
general public.6  State and local area plans identify local primary 
sources responsible for coordinating carriage of common emergency 
messages from sources such as the National Weather Service or local 
emergency management officials.7 

     5. Section 11.35(a) of the Rules states that "[b]roadcast 
stations?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."  Based on the evidence before us, we find that on 
February 13, 2002, Smith willfully violated Section 11.35(a) of the 
Commission's Rules by failing to have EAS equipment operational at 
station KEYT(AM) so that the monitoring and transmitting functions 
were available.  

     6. The base forfeiture amount set by The Commission's Forfeiture 
Policy Statement and Amendment of Section 1.80 of the Rules to 
Incorporate the Forfeiture Guidelines, ("Forfeiture Policy 
Statement"),8 and Section 1.80 of the Commissions Rules,9 for EAS 
equipment not installed or operational is $8,000.  In assessing the 
monetary forfeiture amount, we must also take into account the 
statutory factors set forth in Section 503(b)(2)(D) of the Act,10 
which include the nature, circumstances, extent, and gravity of the 
violation(s), and with respect to the violator, the degree of 
culpability, and history of prior offenses, ability to pay, and other 
such matters as justice may require.  Application of the base amount 
to the captioned Smith Broadcasting of Santa Barbara, LP station 
violation results in a base forfeiture amount of $8,000.  Applying the 
Forfeiture Policy Statement and the statutory factors to the instant 
case, an $8,000 forfeiture is warranted.  




                      IV.  ORDERING CLAUSES

     7. Accordingly, IT IS ORDERED THAT, pursuant to Section 503(b) of 
the Communications Act of 1934, as amended,11 and Sections 0.111, 
0.311 and 1.80 of the Commission's Rules, Smith Broadcasting of Santa 
Barbara, LP is hereby NOTIFIED of an APPARENT LIABILITY FOR A 
FORFEITURE in the amount of eight thousand dollars ($8,000) for 
violation of Section 11.35(a) of the Rules, representing a total 
forfeiture of $8,000.12 

     8. IT IS FURTHER ORDERED THAT, pursuant to Section 1.80 of the 
Commission's Rules13 within thirty days of the release date of this 
NOTICE OF APPARENT LIABILITY, Smith Broadcasting of Santa Barbara, LP, 
SHALL PAY the full amount of the proposed forfeiture or SHALL FILE a 
written statement seeking reduction or cancellation of the proposed 
forfeiture.

     9. Payment of the forfeiture may be made by mailing a check or 
similar instrument, payable to the order of the Federal Communications 
Commission, to the Forfeiture Collection Section, Finance Branch, 
Federal Communications Commission, P.O. Box 73482, Chicago, Illinois 
60673-7482.  The payment must include the FCC Registration Number 
(FRN) and the NAL/Acct. No. referenced in the caption.

     10.  The response, if any, must be mailed to Federal 
Communications Commission, Enforcement Bureau, Technical and Public 
Safety Division, 445 12th Street, S.W., Washington, D.C. 20554 and 
must include the NAL/Acct. No. referenced in the caption.  

     11.  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 ("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 documentation submitted.  

     12.  Requests for payment of the full amount of this Notice of 
Apparent Liability under an installment plan should be sent to:  
Chief, Revenue and Receivables Operations Group, 445 12th Street, 
S.W., Washington, D.C. 20554.14

     13.  IT IS FURTHER ORDERED THAT this NOTICE OF APPARENT LIABILITY 
shall be sent by Certified Mail # 7001 2510 0001 5861 0193, Return 
Receipt Requested, to Smith Broadcasting of Santa Barbara, LP, 730 
Miramonte Drive, Santa Barbara, California 93102.

                              FEDERAL COMMUNICATIONS COMMISSION



                              Catherine Deaton
                              District Director, Los Angeles Office



_________________________

     1  47 C.F.R. § 11.35(a).

     2  47 U.S.C. § 503(b).

     3  47 U.S.C. § 503(b).

     4  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', when used with 
reference to the commission or omission of any act, means the 
conscious and deliberate commission or omission of such act, 
irrespective of any intent to violate any provision of this Act ?."  
See Southern California Broadcasting Co., 6 FCC Rcd 4387 (1991).

     5  47 C.F.R. §§ 11.11 and 11.41.

     6  47 C.F.R. §§ 11.1 and 11.21.

     7  47 C.F.R. § 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.

     8  12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999).

     9  47 C.F.R. § 1.80.

     10  47 U.S.C. § 503(b)(2)(D).

     11  47 U.S.C. § 503(b).

     12  47 C.F.R. §§ 0.111, 0.311, 1.80, 11.35(a).

     13  47 C.F.R. § 1.80.

     14  See 47 C.F.R. § 1.1914.