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                                   Before the

                       Federal Communications Commission

                             Washington, D.C. 20554


                                         )                               
                                                                         
                                         )                               
                                                                         
                                         )                               
                                                                         
     In the Matter of                    )   File No. EB- 07-TC-051      
                                                                         
     DD&S Companies, Inc.                )   NAL/Acct. No. 200832170042  
                                                                         
     Apparent Liability for Forfeiture   )   FRN: 0017584947             
                                                                         
                                         )                               
                                                                         
                                         )                               
                                                                         
                                         )                               


                  NOTICE OF APPARENT LIABILITY FOR FORFEITURE

   Adopted: March 24, 2008 Released: March 25, 2008

   By the Chief, Enforcement Bureau:

   I. INTRODUCTION

    1. In this Notice of Apparent Liability for Forfeiture ("NAL"), we find
       that DD&S Companies, Inc. ("DD&S") apparently willfully or repeatedly
       violated section 227 of the Communications Act of 1934, as amended
       ("Act"), and the Commission's related rules and orders, by delivering
       at least two unsolicited advertisements to the telephone facsimile
       machines of at least two consumers. Based on the facts and
       circumstances surrounding these apparent violations, we find that DD&S
       is apparently liable for a forfeiture in the amount of $9,000.00.

   II. BACKGROUND

    2. Section 227(b)(1)(C) of the Act makes it "unlawful for any person
       within the United States, or any person outside the United States if
       the recipient is within the United States . . . to use any telephone
       facsimile machine, computer, or other device to send, to a telephone
       facsimile machine, an unsolicited advertisement."  The term
       "unsolicited advertisement" is defined in the Act and the Commission's
       rules as "any material advertising the commercial availability or
       quality of any property, goods, or services which is transmitted to
       any person without that person's prior express invitation or
       permission in writing or otherwise." Under the Commission's rules, an
       "established business relationship" exception permits a party to
       deliver a message to a consumer if the sender has an established
       business relationship with the recipient and the sender obtained the
       number of the facsimile machine through the voluntary communication by
       the recipient, directly to the sender, within the context of the
       established business relationship, or through a directory,
       advertisement, or a site on the Internet to which the recipient
       voluntarily agreed to make available its facsimile number for public
       distribution.

    3. On January 18, 2007, in response to one or more consumer complaints
       alleging that DD&S had faxed unsolicited advertisements, the
       Enforcement Bureau ("Bureau") issued a citation to DD&S, pursuant to
       section 503(b)(5) of the Act. The Bureau cited DD&S for using a
       telephone facsimile machine, computer, or other device, to send
       unsolicited advertisements to a telephone facsimile machine, in
       violation of section 227 of the Act and the Commission's related rules
       and orders. The citation, which was served by certified mail, return
       receipt requested, warned DD&S that subsequent violations could result
       in the imposition of monetary forfeitures of up to $11,000 per
       violation, and included a copy of the consumer complaint that formed
       the basis of the citation. The citation informed DD&S that within 30
       days of the date of the citation, it could either request an interview
       with Commission staff, or could provide a written statement responding
       to the citation. In response to the citation, DD&S's Chief Financial
       Officer and Secretary stated by letter that the fax referenced in the
       citation was sent by someone who was "no longer with our company, and
       I cannot find any documentation that this fax was authorized." The
       letter also stated that "[w]e believe that our existing corporate
       policy will prevent this error from reoccuring."

    4. Despite the citation's warning that subsequent violations could result
       in the imposition of monetary forfeitures, we have received two
       additional consumer complaints indicating that DD&S continued to
       engage in such conduct after receiving the citation. We base our
       action here specifically on two complaints filed by two consumers
       establishing that DD&S continued to send two unsolicited
       advertisements to telephone facsimile machines after the date of the
       citation.

    5. Section 503(b) of the Act authorizes the Commission to assess a
       forfeiture of up to $11,000 for each violation of the Act or of any
       rule, regulation, or order issued by the Commission under the Act by a
       non-common carrier or other entity not specifically designated in
       section 503 of the Act. In exercising such authority, we are to take
       into account "the nature, circumstances, extent, and gravity of the
       violation and, with respect to the violator, the degree of
       culpability, any history of prior offenses, ability to pay, and such
       other matters as justice may require."

   III. DISCUSSION

   A. Violations of the Commission's Rules Restricting Unsolicited Facsimile
   Advertisements

    6. We find that DD&S apparently violated section 227 of the Act and the
       Commission's related rules and orders by using a telephone facsimile
       machine, computer, or other device to send at least two unsolicited
       advertisements to the two consumers identified in the Appendix. This
       NAL is based on evidence that two consumers received unsolicited fax
       advertisements from DD&S after the Bureau's citation. The facsimile
       transmissions advertised workers' compensation insurance. Further,
       according to the complaints, the consumers neither had an established
       business relationship with DD&S nor gave DD&S permission to send the
       facsimile transmissions. The faxes at issue here therefore fall within
       the definition of an "unsolicited advertisement."  Based on the entire
       record, including the consumer complaints, we conclude that DD&S
       apparently violated section 227 of the Act and the Commission's
       related rules and orders by sending two unsolicited advertisements to
       two consumers' facsimile machines.

    B. Proposed Forfeiture

    7. We find that DD&S is apparently liable for a forfeiture in the amount
       of $9,000.00. Although the Commission's Forfeiture Policy Statement
       does not establish a base forfeiture amount for violating the
       prohibition against using a telephone facsimile machine to send
       unsolicited advertisements, the Commission has previously considered
       $4,500 per unsolicited fax advertisement to be an appropriate base
       amount. We apply that base amount to each of the two apparent
       violations. Thus, a total forfeiture of $9,000.00 is proposed. DD&S
       will have the opportunity to submit evidence and arguments in response
       to this NAL to show that no forfeiture should be imposed or that some
       lesser amount should be assessed.

   IV. CONCLUSION AND ORDERING CLAUSES

    8. We have determined that DD&S Companies, Inc. apparently violated
       section 227 of the Act and the Commission's related rules and orders
       by using a telephone facsimile machine, computer, or other device to
       send at least two unsolicited advertisements to the two consumers
       identified in the Appendix. We have further determined that DD&S
       Companies, Inc. is apparently liable for a forfeiture in the amount of
       $9,000.00.

    9. Accordingly, IT IS ORDERED, pursuant to section 503(b) of the Act, 47
       U.S.C. S: 503(b), and section 1.80 of the rules, 47 C.F.R. S: 1.80,
       and under the authority delegated by sections 0.111 and 0.311 of the
       Commission's rules, 47 C.F.R. S:S: 0.111, 0.311, that DD&S Companies,
       Inc. is hereby NOTIFIED of this APPARENT LIABILITY FOR A FORFEITURE in
       the amount of $9,000.00 for willful or repeated violations of section
       227(b)(1)(C) of the Communications Act, 47 U.S.C. S: 227(b)(1)(C),
       sections 64.1200(a)(3) of the Commission's rules, 47 C.F.R. S:
       64.1200(a)(3), and the related orders described in the paragraphs
       above.

   10. IT IS FURTHER ORDERED THAT, pursuant to section 1.80 of the
       Commission's rules, within thirty (30) days of the release date of
       this Notice of Apparent Liability for Forfeiture, DD&S Companies,
       Inc.SHALL PAY the full amount of the proposed forfeiture or SHALL FILE
       a written statement seeking reduction or cancellation of the proposed
       forfeiture.

   11. 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/Account Number and FRN Number referenced
       above. Payment by check or money order may be mailed to Federal
       Communications Commission, P.O. Box 979088, St. Louis, MO 63197-9000.
       Payment by overnight mail may be sent to U.S. Bank - Government
       Lockbox #979088, SL-MO-C2-GL, 1005 Convention Plaza, St. Louis, MO
       63101. Payment[s] by wire transfer may be made to ABA Number
       021030004, receiving bank TREAS/NYC, and account number 27000001. For
       payment by credit card, an FCC Form 159 (Remittance Advice) must be
       submitted.  When completing the FCC Form 159, enter the NAL/Account
       number in block number 23A (call sign/other ID), and enter the letters
       "FORF" in block number 24A (payment type code). Requests for full
       payment under an installment plan should be sent to:  Chief Financial
       Officer -- Financial Operations, 445 12th Street, S.W., Room 1-A625,
       Washington, D.C.  20554.   Please contact the Financial Operations
       Group Help Desk at 1-877-480-3201 or Email: ARINQUIRIES@fcc.gov with
       any questions regarding payment procedures.

   12. The response, if any, must be mailed both to the Office of the
       Secretary, Federal Communications Commission, 445 12th Street, SW,
       Washington, DC 20554, ATTN: Enforcement Bureau - Telecommunications
       Consumers Division, and to Colleen Heitkamp, Chief, Telecommunications
       Consumers Division, Enforcement Bureau, Federal Communications
       Commission, 445 12th Street, SW, Washington, DC 20554, and must
       include the NAL/Acct. No. referenced in the caption.

   13. 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; 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.

   14. Requests for payment of the full amount of this Notice of Apparent
       Liability for Forfeiture under an installment plan should be sent to:
       Chief, Revenue and Receivables Operations Group, 445 12th Street, SW,
       Washington, DC 20554.

   15. IT IS FURTHER ORDERED that a copy of this Notice of Apparent Liability
       for Forfeiture shall be sent by Certified Mail Return Receipt
       Requested to DD&S Companies, Inc., Attention: Thomas B. Rumfelt,
       President, 244 E. Park Ave., Lake Wales, FL 33853 and Post Office Box
       960, Lake Wales, FL 33859.

   FEDERAL COMMUNICATIONS COMMISSION

   Kris Anne Monteith

   Chief, Enforcement Bureau

                                    APPENDIX


     Complainant sent facsimile solicitations   Violation Date(s)  

     Rocco Pinto, Ferguson Associates           5/23/2007          

     James Maxim, Williams/Transco              5/29/2007          


   See 47 U.S.C. S: 503(b)(1). The Commission has the authority under this
   section of the Act to assess a forfeiture against any person who has
   "willfully or repeatedly failed to comply with any of the provisions of
   this Act or of any rule, regulation, or order issued by the Commission
   under this Act ...." See also 47 U.S.C. S: 503(b)(5) (stating that the
   Commission has the authority under this section of the Act to assess a
   forfeiture penalty against any person who is not a common carrier so long
   as such person (A) is first issued a citation of the violation charged;
   (B) is given a reasonable opportunity for a personal interview with an
   official of the Commission, at the field office of the Commission nearest
   to the person's place of residence; and (C) subsequently engages in
   conduct of the type described in the citation).

   According to publicly available information, DD&S has offices at 244 E.
   Park Ave., Lake Wales, FL 33853. Thomas B. Rumfelt, President, is listed
   as the contact person for DD&S. Accordingly, all references in this NAL to
   "DD&S" also encompass the foregoing individual and all other principals
   and officers of this entity, as well as the corporate entity itself.

   See  47 U.S.C. S: 227(b)(1)(C); 47 C.F.R. S: 64.1200(a)(3);  see also 
   Rules and Regulations Implementing the Telephone Consumer Protection Act
   of 1991, Report and  Order and Third Order on Reconsideration, 21 FCC Rcd
   3787 (2006).

   47 U.S.C. S: 227(b)(1)(C); 47 C.F.R. S: 64.1200(a)(3).

   47 U.S.C. S:227(a)(4); 47 C.F.R. S:64.1200 (f)(13).

   An "established business relationship" is defined as a prior or existing
   relationship formed by a voluntary two-way communication "with or without
   an exchange of consideration, on the basis of an inquiry, application,
   purchase or transaction by the business or residential subscriber
   regarding products or services offered by such person or entity, which
   relationship has not been previously terminated by either party." 47
   C.F.R. S: 64.1200(f)(5).

   See 47 C.F.R. S: 64 (a)(3)(i), (ii).

   Citation from Kurt A. Schroeder, Deputy Chief, Telecommunications
   Consumers Division, Enforcement Bureau, File No. EB-07-TC-051 issued to
   DD&S on January 18, 2007.

   See 47 U.S.C. S: 503(b)(5) (authorizing the Commission to issue citations
   to non-common carriers for violations of the Act or of the Commission's
   rules and orders).

   Commission staff mailed the citation to Thomas B. Rumfelt, President, 244
   E. Park Ave., Lake Wales, FL 33853 and Post Office Box 960, Lake Wales, FL
   33859. See n.2, supra.

   Letter from Helene Bradley, CPA, Chief Financial Officer/DD&S Secretary to
   Kurt A. Schroeder, Deputy Chief, Telecommunications Consumers Division,
   Enforcement Bureau, dated February 12, 2007.

   See Appendix for a listing of the consumer complaints against DD&S
   requesting Commission action.

   We note that evidence of additional instances of unlawful conduct by
   DD&Smay form the basis of subsequent enforcement action.

   Section 503(b)(2)(C) provides for forfeitures up to $10,000 for each
   violation in cases not covered by subparagraph (A) or (B), which address
   forfeitures for violations by licensees and common carriers, among others.
   See 47 U.S.C. S: 503(b). In accordance with the inflation adjustment
   requirements contained in the Debt Collection Improvement Act of 1996,
   Pub. L. 104-134, Sec. 31001, 110 Stat. 1321, the Commission implemented an
   increase of the maximum statutory forfeiture under section 503(b)(2)(C) to
   $11,000. See 47 C.F.R. S:1.80(b)(3); Amendment of Section 1.80 of the
   Commission's Rules and Adjustment of Forfeiture Maxima to Reflect
   Inflation, 15 FCC Rcd 18221 (2000); see also Amendment of Section 1.80(b)
   of the Commission's Rules and Adjustment of Forfeiture Maxima to Reflect
   Inflation, 19 FCC Rcd 10945 (2004) (this recent amendment of section
   1.80(b) to reflect inflation left the forfeiture maximum for this type of
   violator at $11,000).

   47 U.S.C. S: 503(b)(2)(D); The Commission's Forfeiture Policy Statement
   and Amendment of Section 1.80 of the Rules to Incorporate the Forfeiture
   Guidelines, Report and Order, 12 FCC Rcd 17087, 17100-01 para. 27 (1997)
   (Forfeiture Policy Statement), recon. denied, 15 FCC Rcd 303 (1999).

   See, e.g., complaint dated May 23, 2007, from Rocco Pisto (stating that he
   has never done any business with the fax advertiser, never made an inquiry
   or application to the fax advertiser, and never gave permission for the
   company to send the fax). The complainants involved in this action are
   listed in the Appendix below.

   See 47 U.S.C. S: 227(a)(4); 47 C.F.R. S: 64.1200(f)(13) (definition
   previously at S: 64.1200(f)(10)).

   See  Get-Aways, Inc., Notice of Apparent Liability For Forfeiture, 15 FCC
   Rcd 1805 (1999); Get-Aways, Inc., Forfeiture Order, 15 FCC Rcd 4843
   (2000); see also US Notary, Inc., Notice of Apparent Liability for
   Forfeiture, 15 Rcd 16999 (2000); US Notary, Inc., Forfeiture Order, 16 FCC
   Rcd 18398 (2001); Tri-Star Marketing, Inc., Notice of Apparent Liability
   For Forfeiture, 15 FCC Rcd 11295 (2000); Tri-Star Marketing, Inc.,
   Forfeiture Order, 15 FCC Rcd 23198 (2000).

   See  47 U.S.C. S: 503(b)(4)(C); 47 C.F.R. S: 1.80(f)(3).

   47 C.F.R. S: 1.80.

   47 C.F.R. S: 1.1914.

   (...continued from previous page)

                                                              (continued....)

   Federal Communications Commission DA 08-671

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   Federal Communications Commission DA 08-671