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Federal Communications Commission
Washington, D.C. 20554
In the Matter of )
Alan-Leonard Brockway ) File No. EB-01-ST-040
Kalispell, Montana ) NAL/Acct. No.
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Released: March 23, 2001
By the District Director, Seattle Office, Enforcement Bureau:
1. In this Notice of Apparent Liability for Forfeiture
("NAL"), we find that Alan-Leonard Brockway, has apparently
violated Section 301 of the Communications Act of 1934
(``Act'')1, as amended, by operating an unlicensed radio
transmitter on frequency 101.9 MHz and Section 303(n) of the
Act,2 by failing to allow inspection of his radio station. We
conclude that Alan-Leonard Brockway is apparently liable for a
forfeiture in the amount of seventeen thousand dollars ($17,000).
2. On January 12, 2001, the Commission's Seattle District
Office received a complaint from a resident in the Kalispell,
Montana area, asserting that a radio station was operating an
unauthorized radio transmitter on the frequency of 101.9 MHz.
3. On January 23, 2001, Commission agents conducted an
investigation in the Kalispell, Montana area and located the
source of unauthorized radio transmissions on 101.9 MHz at 5663
Highway 35, Kalispell, Montana. Commission agents interviewed
Alan-Leonard Brockway at his residence, 5663 Highway 35,
concerning the unlicensed operation. Mr. Brockway freely
admitted to operating an unlicensed station on 101.9 MHz. After
the interview, Commission agents hand-delivered an Unlicensed
Warning Letter to Mr. Brockway. The agents requested to inspect
the radio station, and Mr. Brockway refused and continued
transmitting on 101.9 MHz. Field strength measurements revealed
that Mr. Brockway's radio emission exceeded the level allowed for
non-licensed operation under Sections 15.209(a) and 15.239(b) of
the Rules.3 The measured field strength at the edge of the
property was 1,084mV/m, or over 130 times that expected for a
legally operating Part 15 device capable of producing a maximum
field of 250mV/m at 3 meters from the device.
4. On January 25, 2001, Commission agents returned to
Kalispell, Montana, monitored, observed continuing transmission
on 101.9 MHz and located the source of the radio transmissions at
Mr. Brockway's residence at 5663 Highway 35. Field strength
measurements indicated that the operation was at the same signal
level as observed on January 23, 2001.
5. Section 301 of the Act sets forth generally that no
person shall use or operate any apparatus for the transmission of
energy or communications or signals by radio within the United
States except under and in accordance with the Act and with a
license.4 Section 303(n) of the Act sets forth the Commission's
authority to inspect all radio installations associated with
stations required to be licensed by, or subject to the provisions
of, any Act, in order to ascertain whether they conform to the
provisions of any Act.5
6. Based on the evidence before us, we find that on
January 23 and 25, 2001, Alan-Leonard Brockway operated radio
transmission apparatus without a Commission authorization in
repeated6 and willful7 violation of Section 301 of the Act and
willfully violated Section 303(n) of the Act by refusing to allow
an inspection of his radio station upon reasonable request by an
authorized Commission representative.
7. The Commission's Forfeiture Policy Statement and
Amendment of Section 1.80 of the Rules to Incorporate the
Forfeiture Guidelines (``Forfeiture Policy Statement''), set the
base forfeiture amounts of $10,000 for unlicensed operation and
$7,000 for failure to allow inspection.8 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,
which include the nature, circumstances, extent, and gravity of
the violation(s), and with respect to the violator, the degree of
culpability, any history of prior offenses, ability to pay, and
other such matters as justice may require.9 Applying the
Forfeiture Policy Statement and statutory factors to the instant
case, a $17,000 forfeiture is warranted.
IV. ORDERING CLAUSES
8. Accordingly, IT IS ORDERED THAT, pursuant to Section
503(b) of the Act10 and Sections 0.111, 0.311 and 1.80 of the
Rules11, Alan-Leonard Brockway is hereby NOTIFIED of his APPARENT
LIABILITY FOR A FORFEITURE in the amount of seventeen thousand
dollars ($17,000) for willfully and repeatedly violating Section
301 of the Act and Section 303(n) of the Act.
9. 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, Alan-Leonard Brockway SHALL
PAY the full amount of the proposed forfeiture or SHALL FILE a
written statement seeking reduction or cancellation of the
10. 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 should note the
NAL/Acct. No. 200132980001.
11. Any response to this NAL 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. 200132980001.
12. 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
13. Requests for payment of the full amount of this Notice
of Apparent Liability under an installment plan should be sent
to: Chief, Revenue and Receivable Operations Group, 445 12th
Street, S.W., Washington, D.C. 20554.12
14. IT IS FURTHER ORDERED THAT a copy of this NOTICE OF
APPARENT LIABILITY shall be sent by Certified Mail Return Receipt
Requested to Alan-Leonard Brockway, c/o 5663 Highway 35,
Kalispell, Montana, (59937).
Dennis J. Anderson
1 47 U.S.C. § 301.
2 47 U.S.C. § 303(n).
3 47 C.F.R. §§ 15.209(a), 15.239(b).
4 47 U.S.C. § 301
5 47 U.S.C. § 303(n)
6 Section 312(f)(2) of the Act, 47 U.S.C. § 312(f)(2), which
applies to 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.''
7 Section 312(f)(1) of the Act, 47 U.S.C. § 312(f)(1), which
applies to 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).
8 12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999).
9 47 U.S.C. § 503(b)(2)(D).
1047 U.S.C. . § 503(b).
11 47 C.F.R. §§ 0.111, 0.311, 1.80.
12 See 47 C.F.R. § 1.1914.