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Before the
Federal Communications Commission
Washington, D.C. 20554
)
)
In the Matter of
) File Number EB-06-ST-184
James J. Grinton
) NAL/Acct. No. 200732980002
Amateur Licensee K7VNI
) FRN: 0016955924
Bellingham, Washington
)
)
NOTICE OF APPARENT LIABILITY FOR FORFEITURE
Released: September 25, 2007
By the District Director, Seattle Office, Western Region, Enforcement
Bureau:
I. INTRODUCTION
1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
that James J. Grinton ("Grinton"), licensee of Amateur station K7VNI,
in Bellingham, Washington apparently willfully and repeatedly violated
Section 97.113(b) and Section 97.119(a) of the Commission's Rules
("Rules") by transmitting one-way communications and by failing to
transmit his assigned call sign in the Amateur Radio Service. We
conclude, pursuant to Section 503(b) of the Communications Act of
1934, as amended ("Act"), that Grinton is apparently liable for a
forfeiture in the amount of seven thousand dollars ($7,000).
II. BACKGROUND
2. On December 7, 2006, in response to a complaint alleging intentional
interference to amateur radio communications on the 146.340/146.940
MHz repeater (Call sign VE7RPT) repeater, an agent from the
Enforcement Bureau's Seattle Office, using mobile direction finding
techniques, located the source of the signal to the residence of
amateur radio operator K7VNI, James Grinton, in Bellingham,
Washington.
3. During the period of December 9, 2006 to January 1, 2007, the Seattle
agent monitored 146.340 MHz (repeater input frequency) and observed 59
transmissions of varying lengths from Grinton's residence.
4. On January 19, 2007, the Seattle Field Office issued a Warning of
Interference to Communications Letter to James J. Grinton, K7VNI
("Warning Letter"). The Warning Letter informed Grinton that his
station may be the source of willful or malicious interference to
amateur communications and that if the "transmissions continue, you
will be investigated during ongoing FCC enforcement efforts. If such
an investigation indicates that you have violated the Communications
Act or any FCC Rules, you could be subject to severe penalties,
including, but not limited to, substantial monetary forfeitures, and
criminal sanctions including imprisonment."
5. On January 25, 2007, Grinton received and signed a receipt for the
Warning Letter, but has not sent a response to the Seattle Office.
6. On February 27, 2007, in response to continued complaints, a Seattle
agent using mobile direction finding techniques, again located the
source of a signal on 146.340 MHz to Grinton's residence in
Bellingham, Washington. The Seattle agent monitored and recorded 17
minutes of a continuous transmission of one-way communications of
music by Grinton on 146.340 MHz.
7. On March 5, 2007, the Seattle agent, using mobile direction finding
techniques, again located the source of a signal on 146.340 MHz to
Grinton's residence in Bellingham, Washington. The Seattle agent
monitored and recorded 15 minutes of a continuous transmission of
one-way communications of music by Grinton on 146.340 MHz.
8. During the period of January 19, 2007 to June 23, 2007, the Seattle
agent monitored 146.340 MHz and observed 163 transmissions by Grinton
in which Grinton failed to transmit his assigned call sign (K7VNI).
III. DISCUSSION
9. 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.
10. Section 97.113(b) of the Rules states that "[a]n amateur station shall
not engage in any form of broadcasting, nor may an amateur station
transmit one-way communications . . . ." Grinton is a licensed amateur
operator and on February 27, 2007, and March 5, 2007, Grinton
transmitted one way communications of music of 17 and 15 minutes in
length, respectively. Grinton was previously warned by the Seattle
Office that any subsequent violation of the Commission's Rules could
result in monetary forfeitures. Consequently, Grinton's violation was
willful. The violation occurred on more than one day, therefore, it
was repeated.
11. Section 97.119(a) of the Rules states that "[e]ach amateur station,
except a space station or telecommand station, must transmit its
assigned call sign on its transmitting channel at the end of each
communication, and at least every 10 minutes during a communication,
for the purpose of clearly making the source of the transmissions from
the station known to those receiving the transmissions." Between
January 19, 2007, and June 23, 2007, a Seattle agent monitored 146.340
MHz and observed 163 transmissions by Grinton in which Grinton failed
to transmit his assigned call sign (K7VNI). Grinton was previously
warned by the Seattle Office that any subsequent violation of the
Commission's Rules could result in monetary forfeitures. Consequently,
Grinton's violation was willful. The violation occurred on more than
one day, therefore, it was repeated.
12. 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 unauthorized emissions is $4,000 and base
forfeiture amount for failure to provide station ID is $1,000. 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. Based on the criteria in Section
503(b)(2)(E) of the Act, and the upward adjustment criteria in the
Forfeiture Policy Statement, we find that an upward adjustment of the
base forfeiture amount of $1,000 for failure to provide station ID is
warranted. Grinton apparently failed to transmit his amateur operator
call sign on over 160 transmissions in a five month period. Grinton
had previously been warned by the Seattle Office concerning FCC Rule
violations. Considering the entire record and applying the factors
listed above, we conclude that Grinton is apparently liable for a
forfeiture in the amount of $3,000 for his failure to provide station
ID, and is apparently liable for a $4,000 forfeiture for unauthorized
emissions.
IV. ORDERING CLAUSES
13. 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, James J. Grinton is hereby
NOTIFIED of this APPARENT LIABILITY FOR A FORFEITURE in the amount of
seven thousand dollars ($7,000) for violations of Sections 97.113(b)
and 97.119(a) of the Rules.
14. 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, James J. Grinton SHALL
PAY the full amount of the proposed forfeiture or SHALL FILE a written
statement seeking reduction or cancellation of the proposed
forfeiture.
15. 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.
16. The response, if any, must be mailed to Federal Communications
Commission, Enforcement Bureau, Western Region, Seattle Office, 11410
NE 122nd Way, Suite 312, Kirkland, WA, 98034-6927 and must include the
NAL/Acct. No. referenced in the caption.
17. 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.
18. 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, Room 1A625, 445
12th Street, S.W., Washington, D.C. 20554.
19. 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 James J. Grinton at his address of
record.
FEDERAL COMMUNICATIONS COMMISSION
Kristine A. McGowan
District Director
Seattle Office
Western Region
Enforcement Bureau
47 C.F.R. S:S: 97.113(b), 97.119(a).
47 U.S.C. S: 503(b).
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."
47 C.F.R. S: 97.113(b).
47 C.F.R. S: 97.119(a).
12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999); 47 C.F.R.
S:1.80.
47 U.S.C. S: 503(b)(2)(E).
47 U.S.C. S: 503(b)(2)(E); 47 C.F.R. S: 1.80(b)(4); see also Forfeiture
Policy Statement, 12 FCC Rcd at 17100 - 01.
47 U.S.C. S: 503(b), 47 C.F.R. S:S: 0.111, 0.311, 0.314, 1.80, 97.113(b),
97.119(a).
See 47 C.F.R. S: 1.1914.
(...continued from previous page)
(continued....)
Federal Communications Commission
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Federal Communications Commission