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Federal Communications Commission
Washington, D.C. 20554
In the Matter of
) File Number: EB-06-PA-001
) NAL/Acct. No. 200732400002
Former Licensee of Station KA3OMZ
) FRN: 0010-87-6589
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Released: August 15, 2007
By the District Director, Philadelphia Office, Northeast Region,
1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
that Ronald Mondgock, the former licensee of Novice Class Amateur
Radio Service station KA3OMZ in Honeybrook, Pennsylvania, apparently
willfully and repeatedly violated Section 301 of the Communications
Act of 1934, as amended ("Act") by operating radio transmitting
equipment on the frequencies 439.850 MHz and 147.560 MHz without a
license. We conclude, pursuant to Section 503(b) of the Communications
Act of 1934, as amended ("Act"), that Mondgock is apparently liable
for a forfeiture in the amount of ten thousand dollars ($10,000).
2. On June 3, 2006, the Philadelphia Office received information from a
person who wanted to remain anonymous alleging that Mondgock was
operating on frequencies which were not authorized by his Novice Class
license. In response, the Philadelphia Office conducted an
investigation between August 2006 and December 2006. The agents used
direction finding techniques to determine that Mondgock operated radio
transmitting equipment on the frequency 439.850 MHz from his residence
on September 19, 2006 between 8:45 p.m. and 9:30 p.m. and from his
vehicle on October 24, 2006, between 5:30 p.m. and 6:02 p.m. The
agents also found that Mondgock was using the frequency 439.850 MHz as
an input to a repeater station that he owned and operated on the
frequency 147.560 MHz at One Commerce Square Building, 2005 Market
Street, Philadelphia, Pennsylvania. Novice Class licensees are not
permitted to operate on the frequencies 439.850 MHz and 147.560 MHz.
3. Agents also determined that Mondgock's Novice Class license for
amateur radio station KA3OMZ had been in dismissal status as of March
17, 2006. Although Mondgock had filed a timely renewal application on
September 15, 2005, for his license that was scheduled to expire on
December 14, 2005, the renewal application was dismissed on March 18,
2006 because Mondgock failed to respond to Commission correspondence.
The Notice of Dismissal warned Mondgock that the dismissal was
effective March 17, 2006, and that he "must cease operations until
such time as you come into compliance with the Rules." On October 16,
2006, Mondgock filed another renewal application, which remains
pending with the Commission. Although Mondgock filed another renewal
application, his authority to operate station KA3OMZ does not resume,
if ever, until the Commission acts on his renewal application. As a
result, Mondgock did not have authority to operate station KA3OMZ as
of the date of the dismissal of his first license renewal application,
i.e., March 17, 2006.
4. On November 20, 2006, agents from the Philadelphia Office interviewed
Ronald Mondgock at his residence. During the interview, Mondgock
admitted that he operates radio transmitting equipment on the
frequency 439.850 MHz from his residence and vehicle and he owns and
operates a repeater station on the frequency 147.560 MHz from the One
Commerce Square in Philadelphia, Pennsylvania. Mondgock acknowledged
that his Novice Class Amateur Radio Service Station License KA3OMZ was
expired and that his license did not authorize him to operate on the
frequencies 147.560 MHz and 439.850 MHz.
5. Immediately after the interview, the agents inspected the Kenwood K700
radio transmitter in Mondgock's vehicle. The agents turned on the
radio transmitter and observed that the front panel digital display
listed the frequency 147.560 MHz. When the agents conducted a test
transmission with the radio transmitter, they measured the frequency
147.560 MHz with an Optoelectronics Frequency Counter.
6. On December 20, 2006, the Philadelphia Office issued a Letter of
Inquiry to Mondgock to request information about the operation of
station KA3OMZ. By letter dated January 7, 2007, Mondgock submitted a
response stating that he operated radio transmitting equipment on the
frequency 439.850 MHz from his vehicle and residence on September 19,
2006 and October 24, 2006. Mondgock also stated that he owned and
operated a repeater station on the frequency 147.560 MHz at the One
Commerce Square in Philadelphia, Pennsylvania. In the response,
Mondgock stated he had been operating on the frequency 439.850 MHz
for about 2 years and that he had no authorization to operate on the
frequencies 147.560 MHz and 439.850 MHz.
7. Section 503(b) of the 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. The term "willful" as used in Section 503(b) has been
interpreted to mean simply that the acts or omissions are committed
knowingly. The term "repeated" means the commission or omission of
such act more than once or for more than one day.
8. Section 301 of the Act requires 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. Mondgock.s authority to
operate station KA3OMZ terminated on March 17, 2006 when his renewal
application was dismissed for failure to respond to Commission
correspondence. In the Notice of Dismissal issued on March 18, 2006,
Mondgock was warned to immediately cease operations until he could
come into compliance with the Commission's Rules. Notwithstanding
this warning, on September 19, 2006, and October 24, 2006, Commission
agents determined that Mondgock operated radio transmitting equipment
from his residence and vehicle, respectively, on the frequency 439.850
MHz. Agents further determined that Mondgock operated a repeater
station on 147.560 MHz. Furthermore, even if the license for KA3OMZ
had been valid on September 19, 2006 and October 24, 2006, Mondgock.s
Novice Class license would not have authorized him to operate on the
frequencies 147.560 MHz and 439.850 MHz. Because Mondgock operated an
amateur radio station after being warned that he no longer had
authority to do so and because he admitted to such unauthorized
operation, we find that the violation was willful. Because the
violation continued for more than one day, it was repeated.
9. Based on the evidence before us, we find that Mondgock apparently
willfully and repeatedly violated Section 301 of the Act by operating
an amateur radio station without a valid license.
10. Pursuant to The Commission's Forfeiture Policy Statement and Amendment
of Section 1.80 of the Rules to Incorporate the Forfeiture Guidelines,
("Forfeiture Policy Statement"), and Section 1.80 of the Rules, the
base forfeiture amount for operating radio transmitting equipment
without an instrument of authorization is ten thousand dollars
($10,000). In assessing the monetary forfeiture amount, we must also
take into account the statutory factors set forth in Section
503(b)(2)(E) of the Act, which include the nature, circumstances,
extent, and gravity of the violations, 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.
Applying the Forfeiture Policy Statement, Section 1.80, and the
statutory factors to the instant case, we conclude that Mondgock is
apparently liable for a $10,000 forfeiture.
IV. ORDERING CLAUSES
11. Accordingly, IT IS ORDERED that, pursuant to Section 503(b) of the
Communications Act of 1934, as amended, and Sections 0.111, 0.311,
0.314 and 1.80 of the Commission's Rules, Ronald Mondgock is hereby
NOTIFIED of this APPARENT LIABILITY FOR A FORFEITURE in the amount of
ten thousand dollars ($10,000) for violations of Section 301 of the
12. 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 for Forfeiture, Ronald Mondgock SHALL PAY
the full amount of the proposed forfeiture or SHALL FILE a written
statement seeking reduction or cancellation of the proposed
13. 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/Acct. No. and FRN No. referenced above.
Payment by check or money order may be mailed to Federal
Communications Commission, P.O. Box 358340, Pittsburgh, PA
15251-8340. Payment by overnight mail may be sent to Mellon
Bank /LB 358340, 500 Ross Street, Room 1540670, Pittsburgh, PA
15251. Payment by wire transfer may be made to ABA Number 043000261,
receiving bank Mellon Bank, and account number 911-6106.
14. The response, if any, must be mailed to Federal Communications
Commission, Enforcement Bureau, Northeast Region, Philadelphia Office,
One Oxford Valley Building, Suite 404, 2300 East Lincoln Highway,
Langhorne, Pennsylvania 19047 and must include the NAL/Acct. No.
referenced in the caption.
15. 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.
16. Requests for payment of the full amount of this Notice of Apparent
Liability for Forfeiture under an installment plan should be sent to:
Associate Managing Director, Financial Operations, 445 12th Street,
S.W., Room 1A625, Washington, D.C. 20554.8
17. IT IS FURTHER ORDERED that a copy of this Notice of Apparent
Liability for Forfeiture shall be sent by Certified Mail, Return
Receipt Requested, and regular mail, to Ronald Mondgock at his address
FEDERAL COMMUNICATIONS COMMISSION
47 U.S.C. S: 301.
47 U.S.C. S: 503(b).
Section 97.301(e) of the Rules, 47 C.F.R. S: 97.301(e), specifies that an
operator with a Novice Class Amateur Radio Service license can operate on
the frequencies bands 3.675 MHz through 3.725 MHz, 7.100 MHz through 7.150
MHz, 21.10 MHz through 21.20 MHz, 28.10 MHz through 28.50 MHz, 222 MHz
through 225 MHz and 1270 MHz through 1296 MHz.
Section 97.21(a)(3)(iii) provides that, for the type of license held by
Mondgock, a renewal application must be filed in accordance with Section
1.913 of the Rules and if the renewal application is filed on or before
the license expiration date, "the license operating authority is continued
until the final disposition of the application."
The Notice of Dismissal stated that Mondgock failed to reply to a Citation
dated July 2, 2004. In that Citation, Mondgock was warned that, inter
alia, he had operated on unauthorized frequencies in violation of Section
97.301(e) of the Rules and he was directed to respond to each of the
alleged violations within twenty (20) days. We also note that Mondgock
received two additional letters regarding his failure to respond to the
July 2, 2004 letter. See Letters from Riley Hollingsworth, Special
Counsel, Enforcement, to Ronald Mondgock, dated November 15, 2004 and
February 7, 2006.
We also note that, on January 3, 2007, Mondgock filed another application
(File No. 0002867438) for the renewal of the license KA3OMZ. The
Commission dismissed that application because it was a duplicate of the
renewal application that is pending with the Commission.
Section 97.21(b) provides that, if a renewal application is not filed by
the license expiration date, a renewal application may be filed during a 2
year filing grace period, but "unless and until the license grant is
renewed, no privileges in this Part are conferred."
Section 312(f)(1) of the Act, 47 U.S.C. S: 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 or any rule or regulation of the Commission
authorized by this Act...." See Southern California Broadcasting Co., 6
FCC Rcd 4387 (1991).
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."
As noted above, Section 97.21(b) provides that, for renewal applications
filed after the license expiration date, .unless and until the license
grant is renewed, no privileges in this Part are conferred..
12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999); 47 C.F.R.
47 U.S.C. S: 503(b)(2)(E).
47 U.S.C. S:S: 503(b) and 301, 47 C.F.R. S:S: 0.111, 0.311, 0.314 and
8 See 47 C.F.R. S: 1.1914.
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Federal Communications Commission
Federal Communications Commission