Before the

Federal Communications Commission

Washington, D.C. 20554

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**NOTICE OF APPARENT LIABILITY**

**Adopted**: **May 1, 2000 Released: May 2, 2000**

By the Chief, Cable Services Bureau:

# INTRODUCTION

1.  In this Notice of Apparent Liability for Forfeiture, we initiate
    enforcement action against AT&T Corp. ("AT&T"), pursuant to Section
    503(b) of the Communications Act, as amended,[^1] and Section 1.80
    of the Commission's rules.[^2] For the reasons discussed below, we
    find that AT&T, and its predecessor Tele-Communications, Inc.
    ("TCI"), apparently willfully and repeatedly violated former Section
    76.503(c) of the Commission's rules.[^3] Section 76.503(c), in
    effect at the time of the conduct at issue here, required cable
    operators that reach 20% or more of homes passed by cable nationwide
    to certify, prior to acquiring additional systems, the percentage
    change in ownership resulting from such acquisition.[^4] AT&T and
    TCI violated this rule by failing to file certifications prior to
    acquiring additional systems on three separate occasions. Therefore,
    based upon a review of the facts and the circumstances surrounding
    these violations, we find that, for its and its predecessor's
    conduct, AT&T is apparently liable for forfeiture in the amount of
    nine thousand dollars (\$9,000).

# discussion

2.  Before its amendment, Section 76.503(c) provided:

    Prior to acquiring additional cable systems any person or entity
    holding an attributable interest in cable systems reaching 20
    percent, or more, of homes passed nationwide must certify to the
    Commission that no violation of the national subscriber limits
    prescribed in this section will occur as a result of such
    acquisition.[^5]

3.  In light of the Commission's stay of enforcement of the horizontal
    ownership rules, the Commission relieved cable operators of the
    Section 76.503(c) requirement that the cable operator certify that
    no violation of the 30% limit will occur as a result of an
    acquisition.[^6] Until the stay is lifted, the Commission directed
    that the certification should only specify the incremental change
    the acquisition makes in terms of the 30%.[^7] When the homes-passed
    standard was used, the certification required the cable operator to
    specify its percentage ownership in terms of homes passed before and
    after the acquisition was completed.[^8]

4.  On October 7, 1999, Consumers Union, Consumer Federation of America
    and Media Access Project ("CU") requested that the Commission
    initiate a forfeiture proceeding against AT&T for alleged violations
    of this certification rule.[^9] CU alleges that the rule required
    certifications to be filed concurrently with applications for
    approval of license transfers and that nine AT&T and TCI
    certifications were filed late under this standard.[^10] In
    addition, CU alleges that AT&T has made material misrepresentations
    to, and failed to be candid with, the Commission regarding AT&T's
    compliance with the rules and regarding its filing practices.[^11]
    Finally, CU alleges that AT&T's certification letters did not
    contain sufficient information for the Commission to review the
    transactions at issue.[^12]

5.  AT&T opposes CU's request and disputes its interpretation of the
    rule. AT&T contends that the rule required only that AT&T file the
    certification prior to closing a transaction, not at the time it
    filed applications for approval of transfers of licenses.[^13] While
    AT&T admits that some of its Section 76.503(c) letters were filed
    after transactions had closed, AT&T argues that pre-closure filing
    was not always possible because, in some instances, AT&T and its
    predecessor TCI were unable to obtain cable homes passed information
    from the systems they were acquiring prior to closing.[^14]

6.  In the *Horizontal Ownership Limits Third Report and Order*, we
    revised the horizontal certification provision to require
    information based on the number of multichannel video-programming
    distribution ("MVPD") subscribers served, rather than cable homes
    passed, and to clarify that certifications must be filed
    concurrently with applications for transfers of licenses.[^15] This
    new certification requirement went into effect on February 9,
    2000.[^16] As of that date, applications for transfers of licenses
    by cable operators serving 20% or more of all MVPD subscribers
    nationwide must include the new Section 76.503(g) certification.

7.  Former Section 76.503(c) did not specify that certifications be
    filed concurrently with applications for license transfers. Under
    these circumstances, we do not believe that AT&T's representations
    to the Commission with regard to its interpretation of the rules and
    its filing practices warrant the initiation of a forfeiture
    proceeding.

8.  However, our review of AT&T's and TCI's certification letters
    reveals that AT&T and TCI apparently willfully and repeatedly
    violated Section 76.503(c) on three different occasions by filing
    certification letters with the Commission only after AT&T and TCI
    had closed transactions to acquire cable systems. AT&T and/or TCI
    filed late certifications on Jan. 19, 2000 stating that AT&T had
    closed a transaction with Comcast Corp. on Jan. 18, 2000; on Aug.
    13, 1999 stating that AT&T had closed a transaction with FHF Cable,
    Inc. on Aug. 13, 1999; and on May 3, 1999 stating that TCI had
    closed a transaction with Galaxy Cablevision, Inc. on Apr. 13,
    1999.[^17] At the time that AT&T and TCI closed these transactions,
    they were obviously aware of Section 76.503(c); they admit that this
    rule required that certifications be made prior to closure.[^18]

9.  In determining the amount of the forfeiture, we are guided by *The
    Commission\'s Forfeiture Policy Statement and Amendment of Section
    1.80 of the Rules to Incorporate the Forfeiture Guidelines*,[^19]
    which takes into consideration the standards set forth in Section
    503(b)(2) of the Communications Act of 1934, as amended.[^20] Under
    these standards, \$3,000 is the forfeiture set forth in Section
    1.80(b)(4) (Section I) ("Failure to file required forms or
    information") for a late filing.[^21] We will apply this forfeiture
    to each of AT&T's three violations, thereby assessing a total
    forfeiture of \$9,000.

10. With regard to this forfeiture proceeding, AT&T Corp. may take any
    of the actions set forth in Section 1.80 of the Commission\'s rules,
    as presented in the Appendix attached to this Notice.

# Conclusion and Ordering Clauses

11. Accordingly, pursuant to Section 503(b) of the Communications Act of
    1934, as amended, 47 U.S.C. §503(b), and Section 1.80 of the
    Commission\'s Rules, 47 C.F.R. §1.80, **AT&T CORP. IS APPARENTLY
    LIABLE FOR A FORFEITURE** in the amount of nine thousand dollars
    (\$9,000) for its willful and repeated violation of former Section
    76.503(c) of the Commission\'s Rules, 47 C.F.R. §76.503(c).

12. **IT IS FURTHER ORDERED**, pursuant to Section 1.80(f)(3) of the
    Commission\'s Rules, 47 C.F.R. § 1.80(f)(3), that within 30 days of
    the release of this Notice, **AT&T CORP. SHALL PAY** the full amount
    of the proposed forfeiture **OR SHALL FILE** a response showing why
    the proposed forfeiture should not be imposed or should be reduced.

13. **IT IS FURTHER ORDERED** that a copy of this Notice **SHALL BE SENT
    TO AT&T CORP.** by Certified Mail, Return Receipt Requested.

14. This action is taken by the Chief, Cable Services Bureau, pursuant
    to authority delegated by Section 0.321 of the Commission's rules,
    47 C.F.R. § 0.321.

FEDERAL COMMUNICATIONS COMMISSION

Deborah A. Lathen

Chief, Cable Services Bureau

Appendix

Attachment

APPENDIX

**47 C.F.R. § 1.80**

47 C.F.R. § 1.80

**CODE OF FEDERAL REGULATIONS**

**TITLE 47‑‑TELECOMMUNICATION**

**CHAPTER I‑‑FEDERAL COMMUNICATIONS COMMISSION**

**SUBCHAPTER A‑‑GENERAL**

**PART 1‑‑PRACTICE AND PROCEDURE**

**SUBPART A‑‑GENERAL RULES OF PRACTICE AND PROCEDURE**

**MISCELLANEOUS PROCEEDINGS**

Current through January 1, 2000; 64 FR 73853

§ 1.80 Forfeiture proceedings.

\(a\) Persons against whom and violations for which a forfeiture may be
assessed. A forfeiture penalty may be assessed against any person found
to have:

\(1\) Willfully or repeatedly failed to comply substantially with the
terms and conditions of any license, permit, certificate, or other
instrument of authorization issued by the Commission;

\(2\) Willfully or repeatedly failed to comply with any of the
provisions of the Communications Act of 1934, as amended; or of any
rule, regulation or order issued by the Commission under that Act or
under any treaty, convention, or other agreement to which the United
States is a party and which is binding on the United States;

\(3\) Violated any provision of section 317(c) or 508(a) of the
Communications Act; or

\(4\) Violated any provision of section 1304, 1343, or 1464 of Title 18,
United States Code.

A forfeiture penalty assessed under this section is in addition to any
other penalty provided for by the Communications Act, except that the
penalties provided for in paragraphs (b)(1), (b)(2) and (b)(3) of this
section shall not apply to conduct which is subject to a forfeiture
penalty under sections 202(c), 203(e), 205(b), 214(d), 219(b), 220(d),
223(b), 362(a), 362(b), 386(a), 386(b), 503(b), 506, and 634 of the
Communications Act. The remaining provisions of this section are
applicable to such conduct.

\(b\) Limits on the amount of forfeiture assessed.

\(1\) If the violator is a broadcast station licensee or permittee, a
cable television operator, or an applicant for any broadcast or cable
television operator license, permit, certificate, or other instrument of
authorization issued by the Commission, except as otherwise noted in
this paragraph, the forfeiture penalty under this section shall not
exceed \$27,500 for each violation or each day of a continuing
violation, except that the amount assessed for any continuing violation
shall not exceed a total of \$275,000 for any single act or failure to
act described in paragraph (a) of this section. There is no limit on
forfeiture assessments for EEO violations by cable operators that occur
after notification by the Commission of a potential violation. See
section 634(f)(2) of the Communications Act.

\(2\) If the violator is a common carrier subject to the provisions of
the Communications Act or an applicant for any common carrier license,
permit, certificate, or other instrument of authorization issued by the
Commission, the amount of any forfeiture penalty determined under this
section shall not exceed \$110,000 for each violation or each day of a
continuing violation, except that the amount assessed for any continuing
violation shall not exceed a total of \$1,100,000 for any single act or
failure to act described in paragraph (a) of this section.

\(3\) In any case not covered in paragraphs (b)(1) or (b)(2) of this
section, the amount of any forfeiture penalty determined under this
section shall not exceed \$11,000 for each violation or each day of a
continuing violation, except that the amount assessed for any continuing
violation shall not exceed a total of \$82,500 for any single act or
failure to act described in paragraph (a) of this section.

\(4\) Factors considered in determining the amount of the forfeiture
penalty. In determining the amount of the forfeiture penalty, the
Commission or its designee will take into account the nature,
circumstances, extent and gravity of the violations 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.

Note to paragraph (b)(4):

Guidelines for Assessing Forfeitures

The Commission and its staff may use these guidelines in particular
cases. The Commission and its staff retain the discretion to issue a
higher or lower forfeiture than provided in the guidelines, to issue no
forfeiture at all, or to apply alternative or additional sanctions as
permitted by the statute. The forfeiture ceiling per violation or per
day for a continuing violation stated in Section 503 of the
Communications Act and the Commission\'s Rules are \$25,000 for
broadcasters and cable operators or applicants, \$100,000 for common
carriers or applicants, and \$10,000 for all others. These base amounts
listed are for a single violation or single day of a continuing
violation. 47 U.S.C. 503(b)(2); 47 CFR 1.80. For continuing violations
involving a single act or failure to act, the statute limits the
forfeiture to \$250,000 for broadcasters and cable operators or
applicants, \$1,000,000 for common carriers or applicants, and \$75,000
for all others. Id. Pursuant to the Debt Collection Improvement Act of
1996 (DCIA), Public Law 104‑134, section 31001, 110 Stat. 1321 (1996),
civil monetary penalties assessed by the federal government, whether set
by statutory maxima or specific dollar amounts as provided by federal
law, must be adjusted for inflation at least every four years based on
the formula outlined in the DCIA. Thus, the statutory maxima increased
to \$27,500 for broadcasters and cable operators or applicants;
\$110,000 for common carriers or applicants, and \$11,000 for others.
For continuing violations, the statutory maxima increased to \$275,000
for broadcasters, cable operators, or applicants; \$1,100,000 for common
carriers or applicants; and \$82,500 for others. The increased statutory
maxima became effective March 5, 1997. There is an upward adjustment
factor for repeated or continuous violations, see Section II, infra.
That upward adjustment is not necessarily applied on a per violation or
per day basis. Id. Unless Commission authorization is required for the
behavior involved, a Section 503 forfeiture proceeding against a
non‑licensee or non‑applicant who is not a cable operator or common
carrier can only be initiated for a second violation, after issuance of
a citation in connection with a first violation. 47 U.S.C. 503(b)(5). A
prior citation is not required, however, for non‑licensee tower owners
who have previously received notice of the obligations imposed by
Section 303(q) and part 17 of the Commission\'s rules from the
Commission. Forfeitures issued under other sections of the Act are dealt
with separately in Section III of this note.

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑

Section I.‑‑Base Amounts for Section 503 Forfeitures

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Violation                                  Amount

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Misrepresentation/lack of candor \...\...\...\...\...\...\...\...\...\...\...\.... ( \[FN1\])

Construction and/or operation without an instrument of authorization

for the service \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..........................................\$10,000

Failure to comply with prescribed lighting and/or marking \...\...\...\...................10,000

Violation of public file rules \...\...\...\...\...\...\...\...\...\...\...\...\.................................. 10,000

Violation of political rules: reasonable access, lowest unit charge,

equal opportunity, and discrimination \...\...\...\...\...\...\...\...\...\.............................. 9,000

Unauthorized substantial transfer of control \...\...\...\...\...\...\...\............................. 8,000

Violation of children\'s television commercialization or programming

requirements \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.......................................... 8,000

Violations of rules relating to distress and safety frequencies \...\...................... 8,000

False distress communications \...\...\...\...\...\...\...\...\...\...\...\...\.................................. 8,000

EAS equipment not installed or operational \...\...\...\...\...\...\...\...\.........................\... 8,000

Alien ownership violation \...\...\...\...\...\...\...\...\...\...\...\...\...\...\................................... 8,000

Failure to permit inspection \...\...\...\...\...\...\...\...\...\...\...\...\...\................................... 7,000

Transmission of indecent/obscene materials \...\...\...\...\...\...\...\...\........................... 7,000

Interference \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..........................................
7,000

Importation or marketing of unauthorized equipment \...\...\...\...\...\.......................
7,000

Exceeding of authorized antenna height \...\...\...\...\...\...\...\.............................\...\.... 5,000

Fraud by wire, radio or television \...\...\...\...\...\...\...\...\...............................\...\...\...
5,000

Unauthorized discontinuance of service \...\...\...\...\...\...\...\...\...\............................. 5,000

Use of unauthorized equipment \...\...\...\...\...\...\...\...\...\...\...\...\................................ 5,000

Exceeding power limits \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.................................. 4,000

Failure to respond to Commission communications \...\...\...\...\...\...\...................... 4,000

Violation of sponsorship ID requirements \...\...\...\...\...\...\...\...\..........................\... 4,000

Unauthorized emissions \...\...\...\...\...\...\...\...\...\...\...\...\...\...\.................................... 4,000

Using unauthorized frequency \...\...\...\...\...\...\...\...\...\...\...\...\................................. 4,000

Failure to engage in required frequency coordination \...\...\...\...\........................ 4,000

Construction or operation at unauthorized location \...\...\...\...\...\.....................\....
4,000

Violation of requirements pertaining to broadcasting of lotteries or

contests \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\............................................... 4,000

Violation of transmitter control and metering requirements \...\...\....................\... 3,000

Failure to file required forms or information \...\...\...\...\...\...\...\............................ 3,000

Failure to make required measurements or conduct required monitoring ........\... 2,000

Failure to provide station ID \...\...\...\...\...\...\...\...\...\...\...\...\.................................... 1,000

Unauthorized pro forma transfer of control \...\...\...\...\...\...\...\...\........................\.... 1,000

Failure to maintain required records \...\...\...\...\...\...\...\...\...\...\............................... 1,000

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

FN1 Statutory Maximum for each Service.

Violations Unique to the Service

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Violation                          Services affected    Amount

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Unauthorized conversion of long distance telephone....Common
Carrier.................. \$40,000

Service

Violation of operator services requirements \...\...\..... Common
Carrier ...............\............ 7,000

Violation of pay‑per‑call requirements \...\...\...\...\...\.... Common
Carrier ...........................7,000

Failure to implement rate reduction or refund order ..... Cable \...\..................................7,500

Violation of cable program access rules \...\...\..........\...\... Cable \................................... 7,500

Violation of cable leased access rules \...\...\..............\..... Cable \................................\... 7,500

Violation of cable cross‑ownership rules .......\...\...\...\..... Cable \...\..............\................... 7,500

Violation of cable broadcast carriage rules \...\............... Cable \.................................. 7,500

Violation of pole attachment rules \...\...\...\...\.................. Cable \...\............................... 7,500

Failure to maintain directional pattern within

prescribed parameters \...\...\...\...\...\...\...\...\.................\...Broadcast ......................\.......... 7,000

Violation of main studio rule \...\...\...\...\...\.................\...Broadcast ...................\...\........... 7,000

Violation of broadcast hoax rule \...\...\...\...\...\............\....Broadcast ......................\.......... 7,000

AM tower fencing \...\...\...\...\...\...\...\...\...\...\.....................Broadcast \...\.... ..........................7,000

Broadcasting telephone conversations without

authorization \...\...\...\...\...\...\...\...\...\...\...\...\... .................Broadcast .....................\........... 4,000

Violation of enhanced underwriting requirements \...\...Broadcast .....................\...........
2,000

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Section II. Adjustment Criteria for Section 503 Forfeitures

Upward Adjustment Criteria

\(1\) Egregious misconduct.

\(2\) Ability to pay/relative disincentive.

\(3\) Intentional violation.

\(4\) Substantial harm.

\(5\) Prior violations of any FCC requirements.

\(6\) Substantial economic gain.

\(7\) Repeated or continuous violation.

Downward Adjustment Criteria

\(1\) Minor violation.

\(2\) Good faith or voluntary disclosure.

\(3\) History of overall compliance.

\(4\) Inability to pay.

Section III. Non‑Section 503 Forfeitures That Are Affected by the
Downward Adjustment Factors

Unlike Section 503 of the Act, which establishes maximum forfeiture
amounts, other sections of the Act, with one exception, state prescribed
amounts of forfeitures for violations of the relevant section. These
amounts are then subject to mitigation or remission under Section 504 of
the Act. The one exception is Section 223 of the Act, which provides a
maximum of \$50,000 per day. For convenience, the Commission will treat
the \$50,000 set forth in Section 223 as if it were a prescribed base
amount, subject to downward adjustments. The following amounts were
adjusted for inflation pursuant to the Debt Collection Improvement Act
of 1996 (DCIA) Public Law 104‑134, section 31001, 110 Stat 1321 (1996).
The new amounts became effective on March 5, 1997. These non‑Section 503
forfeitures may be adjusted downward using the \"Downward Adjustment
Criteria\" shown for Section 503 forfeitures in Section II of this note.

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Violation                       Statutory amount(\$)

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Sec. 202(c) Common Carrier Discrimination \.......................................6,600
330/day

Sec. 203(e) Common Carrier Tariffs \...\...\............................................ 6,600 330/day

Sec. 205(b) Common Carrier Prescriptions \....................................\... 13,200

Sec. 214(d) Common Carrier Line Extensions \.................................\.... 1,200/day

Sec. 219(b) Common Carrier Reports \...\...\.......................................\....
1,200

Sec. 220(d) Common Carrier Records & Accounts ...........................\.... 6,600/day

Sec. 223(b) Dial‑a‑Porn \...\...\...\...\...\....................................................55,000 maximum/day

Sec. 364(a) Ship Station Inspection \...\.............................................\... 5,500 (owner)

Sec. 364(b) Ship Station Inspection \...\............................................\.... 1,100 (vessel master)

Sec. 386(a) Forfeitures \...\...\...\...\...\...\................................................\... 5,500/day (owner)

Sec. 386(b) Forfeitures \...\...\...\...\...\..................................................\.... 1,100 (vessel master)

Sec. 634 Cable EEO \...\...\...\...\...\...\...\...................................................... 500/day

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

\(5\) Inflation adjustments to the maximum forfeiture amount.

\(i\) Pursuant to the Debt Collection Improvement Act of 1996, Public
Law 104‑ 134 (110 Stat. 1321‑358), which amends the Federal Civil
Monetary Penalty Inflation Adjustment Act of 1990, Public Law 101‑410
(104 Stat. 890; 28 U.S.C. 2461 note), the statutory maximum amount of a
forfeiture penalty assessed under this section shall be adjusted for
inflation at least once every four years using the following formula.
First, obtain the inflation factor by dividing the CPI for June of the
preceding year by the CPI for June of the year the forfeiture was last
set or adjusted. Then, multiply the inflation factor by the statutory
maximum amount. Round off this result using the rules in paragraph
(b)(5)(ii) of this section. Add the rounded result to the statutory
maximum forfeiture penalty amount. The sum is the statutory maximum
amount, adjusted for inflation.

\(ii\) The rounding rules are as follows:

\(A\) Round increase to the nearest multiple of \$10 if the penalty is
from \$0 to \$100;

\(B\) Round increase to the nearest multiple of \$100 if the penalty is
from \$101 to \$1,000;

\(C\) Round increase to the nearest multiple of \$1,000 if the penalty
is from \$1,001 to \$10,000;

\(D\) Round increase to the nearest multiple of \$5,000 if the penalty
is from \$10,001 to \$100,000;

\(E\) Round increase to the nearest multiple of \$10,000 if the penalty
is from \$100,001 to \$200,000; or

\(F\) Round increase to the nearest multiple of \$25,000 if the penalty
is over \$200,001.

\(iii\) The first application of the inflation adjustments required by
Public Law 104‑134 results in the following adjustments to the statutory
forfeitures currently authorized by the Communications Act:

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

U.S. Code citation      Current statutory maximum Maximum penalty after
Public Law 104-134

penalty    Adjustment

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

47 USC 202(c) \...\...\...\...\...\...\..........\...  \$6,000 .............\...\...\...\...\...............\...  \$6,600

...........................\...300 ........................\...\...\...\...\...\...\...\..... 330

47 USC 203(e) \...\...\...\...\...\...\...\.........\... 6,000 ..............\...\...\...\...\.................... 6,600

.............................
300 ........................\...\...\...\...\...\...\........330

47 USC 205(b) \...\...\...\...\...\...\............. 12,000 ............\...\...\...\...\...\.................. 13,200

47 USC 214(d) \...\...\...\...\...\...\...\............ 1,200 .............\...\...\...\...\...\...............\.... 1,200

47 USC 219(b) \...\...\...\...\...\...\...\............ 1,200 .........................\...\...\...\...\...\...\.... 1,200

47 USC 220(d) \...\...\...\...\...\...\...\.........\... 6,000 ............\...\...\...\...\...\...............\..... 6,600

47 USC 223(b) \...\...\...\...\...\...\.......\...\... 50,000 ................\...\...\...\...\...\..............
 55,000

47 USC 362(a) \...\...\...\...\...\...\...\............
5,000 \...................\...\...\...\...\................5,500

47 USC 362(b) \...\...\...\...\...\...\...\............1,000 ................\...\...\...\...\...\............\.... 1,100

47 USC 386(a) \...\...\...\...\...\...\...\............ 5,000 ...............\...\...\...\...\...\.............\.... 5,500

47 USC 386(b) \...\...\...\...\...\...\...\............ 1,000 ................\...\...\...\...\.................. 1,100

47 USC 503(b)(2)(A) \...\...\...\...\.......\.... 25,000 ..................\...\...\...\...\...\........... 27,500

.................250,000 .....................\...\...\...\...\...\...\.... 275,000

47 USC 503(b)(2)(B) \...\...\...\.......\.....
100,000 ...................\...\...\...\......... .... 110,000

............\...1,000,000 .....................\...\...\...\...\...\.... 1,100,000

47 USC 503(b)(2)(C) \...\...\...\...\......\..... 10,000 ....................\...\...\...\...\............ 11,000

..................75,000 .....................\...\...\...\...\...\...\...\.... 82,500

47 USC 506(a) \...\...\...\...\...\...\...\...\............ 500 ............................\...\...\...\...\...\...\... 550

47 USC 506(b) \...\...\...\...\...\...\...\............... 100....................\...\...\.................\..... 110

47 USC 554 \...\...\...\...\...\...\...\...\............\..... 500 ................................\...\...\...\...\... 500

‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Note: Pursuant to Public Law 104‑134, the first inflation adjustment
cannot exceed 10 percent of the statutory maximum amount.

\(c\) Limits on the time when a proceeding may be initiated.

\(1\) In the case of a broadcast station, no forfeiture penalty shall be
imposed if the violation occurred more than 1 year prior to the issuance
of the appropriate notice or prior to the date of commencement of the
current license term, whichever is earlier. For purposes of this
paragraph, \"date of commencement of the current license term\" means
the date of commencement of the last term of license for which the
licensee has been granted a license by the Commission. A separate
license term shall not be deemed to have commenced as a result of
continuing a license in effect under section 307(c) pending decision on
an application for renewal of the license.

\(2\) In the case of a forfeiture imposed against a carrier under
sections 202(c), 203(e), and 220(d), no forfeiture will be imposed if
the violation occurred more than 5 years prior to the issuance of a
notice of apparent liability.

\(3\) In all other cases, no penalty shall be imposed if the violation
occurred more than 1 year prior to the date on which the appropriate
notice is issued.

\(d\) Preliminary procedure in some cases; citations. No forfeiture
penalty shall be imposed upon any person under this section, if such
person does not hold a license, permit, certificate, or other
authorization issued by the Commission, and if such person is not an
applicant for a license, permit, certificate, or other authorization
issued by the Commission, unless; prior to the issuance of the
appropriate notice, such person: (1) Is sent a citation reciting the
violation charged; (2) is given a reasonable opportunity (usually 30
days) to request a personal interview with a Commission official, at the
field office which is nearest to such person\'s place of residence; and
(3) subsequently engages in conduct of the type described in the
citation. However, a forfeiture penalty may be imposed, if such person
is engaged in (and the violation relates to) activities for which a
license, permit, certificate, or other authorization is required or if
such person is a cable television operator, or in the case of violations
of section 303(q), if the person involved is a nonlicensee tower owner
who has previously received notice of the obligations imposed by section
303(q) from the Commission or the permittee or licensee who uses that
tower. However, a forfeiture penalty may be imposed, if such person is
engaged in (and the violation relates to) activities for which a
license, permit, certificate, or other authorization is required, or if
such person is a cable television system operator. Paragraph (c) of this
section does not limit the issuance of citations. When the requirements
of this paragraph have been satisfied with respect to a particular
violation by a particular person, a forfeiture penalty may be imposed
upon such person for conduct of the type described in the citation
without issuance of an additional citation.

\(e\) Alternative procedures. In the discretion of the Commission, a
forfeiture proceeding may be initiated either: (1) By issuing a notice
of apparent liability, in accordance with paragraph (f) of this section,
or (2) a notice of opportunity for hearing, in accordance with paragraph
(g).

\(f\) Notice of apparent liability. Before imposing a forfeiture penalty
under the provisions of this paragraph, the Commission or its designee
will issue a written notice of apparent liability.

\(1\) Content of notice. The notice of apparent liability will:

\(i\) Identify each specific provision, term, or condition of any act,
rule, regulation, order, treaty, convention, or other agreement,
license, permit, certificate, or instrument of authorization which the
respondent has apparently violated or with which he has failed to
comply,

\(ii\) Set forth the nature of the act or omission charged against the
respondent and the facts upon which such charge is based,

\(iii\) State the date(s) on which such conduct occurred, and

\(iv\) Specify the amount of the apparent forfeiture penalty.

\(2\) Delivery. The notice of apparent liability will be sent to the
respondent, by certified mail, at his last known address (see § 1.5).

\(3\) Response. The respondent will be afforded a reasonable period of
time (usually 30 days from the date of the notice) to show, in writing,
why a forfeiture penalty should not be imposed or should be reduced, or
to pay the forfeiture. Any showing as to why the forfeiture should not
be imposed or should be reduced shall include a detailed factual
statement and such documentation and affidavits as may be pertinent.

\(4\) Forfeiture order. If the proposed forfeiture penalty is not paid
in full in response to the notice of apparent liability, the Commission,
upon considering all relevant information available to it, will issue an
order canceling or reducing the proposed forfeiture or requiring that it
be paid in full and stating the date by which the forfeiture must be
paid.

\(5\) Judicial enforcement of forfeiture order. If the forfeiture is not
paid, the case will be referred to the Department of Justice for
collection under section 504(a) of the Communications Act.

\(g\) Notice of opportunity for hearing. The procedures set out in this
paragraph will ordinarily be followed only when a hearing is being held
for some reason other than the assessment of a forfeiture (such as, to
determine whether a renewal application should be granted) and a
forfeiture is to be considered as an alternative or in addition to any
other Commission action. However, these procedures may be followed
whenever the Commission, in its discretion, determines that they will
better serve the ends of justice.

\(1\) Before imposing a forfeiture penalty under the provisions of this
paragraph, the Commission will issue a notice of opportunity for
hearing. The hearing will be a full evidentiary hearing before an
administrative law judge, conducted under procedures set out in subpart
B of this part, including procedures for appeal and review of initial
decisions. A final Commission order assessing a forfeiture under the
provisions of this paragraph is subject to judicial review under section
402(a) of the Communications Act.

\(2\) If, after a forfeiture penalty is imposed and not appealed or
after a court enters final judgment in favor of the Commission, the
forfeiture is not paid, the Commission will refer the matter to the
Department of Justice for collection. In an action to recover the
forfeiture, the validity and appropriateness of the order imposing the
forfeiture are not subject to review.

\(3\) Where the possible assessment of a forfeiture is an issue in a
hearing case to determine which pending application should be granted,
and the applicant facing a potential forfeiture is dismissed pursuant to
a settlement agreement or otherwise, and the presiding judge has not
made a determination on the forfeiture issue, the order of dismissal
shall be forwarded to the attention of the full Commission. Within the
time provided by § 1.117, the Commission may, on its own motion, proceed
with a determination of whether a forfeiture against the dismissing
applicant is warranted. If the Commission so proceeds, it will provide
the applicant with a reasonable opportunity to respond to the forfeiture
issue (see paragraph (f)(3) of this section) and make a determination
under the procedures outlined in paragraph (f) of this section.

\(h\) Payment. The forfeiture should be paid by check or money order
drawn to the order of the Federal Communications Commission. The
Commission does not accept responsibility for cash payments sent through
the mails. The check or money order should be mailed to: Federal
Communications Commission, P.O. Box 73482, Chicago, Illinois 60673‑7482.

\(i\) Remission and mitigation. In its discretion, the Commission, or
its designee, may remit or reduce any forfeiture imposed under this
section. After issuance of a forfeiture order, any request that it do so
shall be submitted as a petition for reconsideration pursuant to §
1.106.

\(j\) Effective date. Amendments to paragraph (b) of this section
implementing Pub. L. No. 101‑239 are effective December 19, 1989.

\[43 FR 49308, Oct. 23, 1978; 48 FR 15631, April 12, 1983; 50 FR 40855,
Oct. 7, 1985; 52 FR 5288, Feb. 20, 1987; 55 FR 25605, June 22, 1990; 56
FR 25638, June 5, 1991; 57 FR 23161, June 2, 1992; 57 FR 47006, Oct. 14,
1992; 57 FR 48333, Oct. 23, 1992; 58 FR 6896, Feb. 3, 1993; 58 FR 27473,
May 10, 1993; 62 FR 4918, Feb. 3, 1997; 62 FR 43475.\]

ATTACHMENT

[IMPORTANT]{.underline} - [READ INSTRUCTIONS AND RETURN ATTACHED
FORM]{.underline}

The document you have received is a Notice of Apparent Liability (NAL).
You may take any of the following actions under Section 1.80 of the
Commission\'s Rules:

You may pay the full amount of the forfeiture within 30 days of the date
of the NAL. In this case, you should complete the appropriate sections
of the attached form and send it along with a check or similar
instrument for the amount specified, made payable to the Federal
Communications Commission. To assure that your payment is properly
recorded, please enter on your check the control number appearing in the
upper right hand corner of the attached form and return the extra copy
of the NAL that is enclosed, together with the check, to:

Federal Communications Commission

Post Office Box 73482

Chicago, IL 60673-7482

Within 30 days of the date of the NAL you may file a statement, in
duplicate, as to why the proposed forfeiture should be reduced. The
statement must be signed by the licensee or registrant; a partner, if
the licensee or registrant is a partnership; by an officer, if the
licensee or registrant is a corporation; or by a duly elected or
appointed official, if an unincorporated association, and the statement
must be supported by pertinent documents and affidavits. The statement
may include any justification or any information that you desire to have
considered. If you elect to follow this course, you should complete the
appropriate section of the attached form and send it along with your
statement. Upon such consideration, it will be determined whether any
forfeiture should be imposed, and if so, whether any forfeiture should
be imposed in full or reduced to some lesser amount. An order stating
the result will be issued. Address your statement to:

Federal Communications Commission

Cable Services Bureau

Washington, D.C. 20554

You may take no action. In this case a Forfeiture Order will be issued
after expiration of the 30-day period ordering that you pay the
forfeiture in full. If you decide to take no action, you need not return
the attached form.

If, in response to this NAL, you claim a financial inability to pay the
full amount of the forfeiture, you should furnish data to support your
claim. The data submitted should include, but need not be limited to, a
profit and loss statement that has been prepared under generally
accepted accounting principles. The statement that you furnish should
contain no data older than one year from the date of your response.

Items in the statement should include income from cable operations,
expenses from cable operations (including noncash expenses, such as
amortization and depreciation) and payments to principals (including
salaries, commissions, management fees, interest, rents, etc.) If you
are an individual or company with multiple cable holdings, you should
furnish separate profit and loss statements for each entity you own or
control, or a consolidated profit and loss statement. You are advised
that all financial data furnished with your response will be routinely
available for public inspection absent a request for nondisclosure
setting forth the reasons therefor pursuant to Section 0.457(d)(2)(i) of
the Commission\'s Rules.

If you have any questions concerning this forfeiture proceeding please
communicate them in writing to:

Federal Communications Commission

Cable Services Bureau

Washington, D.C. 20554

or contact Commission staff personnel by telephone at (202) 418-1055 or
by facsimile at (202) 4l8-1069.

**FEDERAL COMMUNICATIONS COMMISSION**

Washington, D.C. 20554

NOTICE OF APPARENT LIABILITY

CONTROL NO: X12000001

In response to a Notice of Apparent Liability for a monetary forfeiture
under the provisions of Section 503(b) of the Communication Act of l934,
as amended:

(CHECK APPROPRIATE BOX)

\| \| I am returning a copy of the Notice of Apparent Liability and
enclosing a check or similar instrument, drawn to the order of the
Federal Communications commission, in full payment of the forfeiture
amount as indicated in the Notice of Apparent Liability. I have entered
the control number appearing in the upper right hand corner of this page
on my check and am submitting it to:

Federal Communications Commission

Post Office Box 73482

Chicago, IL 60673-7482

\| \| I am submitting a detailed statement of facts and reasons why I
believe the forfeiture as assessed in the Notice of apparent Liability
is not warranted and should be reduced or rescinded to:

Federal Communications Commission

Cable Services Bureau

Washington, D.C. 20554

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Licensee or Registrant Call sign or CUID, City, State

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of authorized official Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Amount of forfeiture as indicated by the NAL

**[NOTICE TO INDIVIDUAL REQUIRED BY THE PRIVACY ACT]{.underline}**

Section 308(b) and 503(b) of the Communications Act of 1934, as amended,
authorize the Commission to request this information, the purpose of
which is to determine your liability for forfeiture.

The staff will use all relevant and material information before it,
including the information disclosed in your statement to determine
whether the forfeiture should be cancelled, reduced or paid in full.
Notices of Apparent Liability are a matter of public record.

THE FOREGOING NOTICE IS REQUIRED BY THE PRIVACY ACT OF 1974, P.L.
93-570, DECEMBER 31, 1974, 5 U.S.C. 532a(e)(3).

[^1]: 47 U.S.C. § 503(b)(1)(B).

[^2]: 47 C.F.R. § 1.80.

[^3]: Section 76.503(c), 47 C.F.R. § 76.503(c), was amended effective
    Feb. 9, 2000. *See* 64 Fed. Reg. 67198 (1999).

[^4]: *See* former 47 C.F.R. § 76.503(c).

[^5]: *Id.*

[^6]: *See In re Implementation of Section 11(c) of the Cable Television
    Consumer Protection and Competition Act of 1992: Horizontal
    Ownership Limits*, MM Docket No. 92-264, Second Memorandum Opinion
    and Order on Reconsideration, 13 FCC Rcd 14462, 14492 ¶ 76 (1998).

[^7]: *Id.*

[^8]: *Id.*

[^9]: *See* Complaint Against AT&T Corp. and Tele-Communications, Inc.
    for Misrepresentation to the Commission, Willful and Repeated
    Violations of 47 C.F.R. § 76.503(c) and for Lack of Candor, filed by
    Consumers Union, Consumer Federation of America and Media Access
    Project on Oct. 7, 1999 ("CU Forfeiture Request") in NAL Account No.
    X12000001.

[^10]: *Id.* at 1-2; *see also* Motion to Dismiss, CS Docket No. 99-251,
    filed by Consumers Union, Consumer Federation of America and Media
    Access Project on Aug. 17, 1999, at 2-3 (arguing that the Commission
    should dismiss the applications for transfers of licenses from
    MediaOne Group, Inc. to AT&T because the applications were not
    accompanied by a certification).

[^11]: CU Forfeiture Request at 1-2 (CU contends that AT&T attempted to
    mislead the Commission by contending that it was complying with the
    rules, by filing certifications late, and by combining acquisitions
    in a single letter).

[^12]: *Id.* at 6 (CU contends that "AT&T sought to evade Commission
    review by reporting aggregate figures for a number of transactions
    in a single letter").

[^13]: *See* Opposition of AT&T Corp. and MediaOne Group, Inc. to Motion
    to Dismiss, CS Docket No. 99-251, filed on Aug. 23, 1999 ("Opp. to
    Motion to Dismiss") at 1-2.

[^14]: Opposition of AT&T Corp. to CU Forfeiture Request, filed on Oct.
    18, 1999, at 4, in NAL Account No. X12000001.

[^15]: *See In re Implementation of Section 11(c) of the Cable
    Television Consumer Protection and Competition Act of 1992:
    Horizontal Ownership Limits*, MM Docket No. 92-264, Third Report and
    Order ("*Horizontal Third Report and Order*"), 14 FCC Rcd 19098
    Attachment B, new Section 76.503(g) (rel. Oct. 20, 1999). New
    Section 76.503(g) provides:

    > Prior to acquiring additional multichannel video-programming
    > providers, any cable operator that serves 20% or more of
    > multichannel video-programming subscribers nationwide shall
    > certify to the Commission, concurrent with its applications to the
    > Commission for transfer of licenses at issue in the acquisition,
    > that no violation of the national subscriber limits prescribed in
    > this section will occur as a result of such acquisition.

    47 C.F.R. § 76.503(g).

[^16]: *See* 64 Fed. Reg. 67198 (1999).

[^17]: These letters were filed in MM Docket No. 92-264. *See also* CU
    Forfeiture Request at Attachment 2; Prepared Testimony of Andrew Jay
    Schwartzman, President and CEO of the Media Access Project, FCC
    Cable Services Bureau AT&T-MediaOne Public Forum (Feb. 4, 2000), CS
    Docket No. 99-251, at Attachments A & B. AT&T and/or TCI also filed
    late certifications for certain transactions with Hollis Corp.,
    Jones Intercable, Inc., and Adelphia Communications Corp. in 1998
    and 1999. However, under our rules, no forfeiture may be imposed for
    these violations because they occurred more than one year ago. *See*
    47 C.F.R. § 1.80(c)(3).

[^18]: *See* Opp. to Motion to Dismiss at 1-2.

[^19]: 12 FCC Rcd 17087 (1997).

[^20]: 47 U.S.C. § 534(b)(6).

[^21]: 47 C.F.R. §1.80(b)(4) (Section I). We note that this is the
    forfeiture that CU argued was appropriate for late filings. *See* CU
    Forfeiture Complaint at 6.